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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
Note: The totals include only those entries matched to a parent company. The industry designation is the primary one for the parent's operations overall. The totals are adjusted to account for the fact that each parent's entries may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. They are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the individual records list below.
Top 10 Current Parent CompaniesTotal Penalty $Number of Records
Bank of America$87,286,650,890328
JPMorgan Chase$39,340,688,209275
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,780,502,443203
BNP Paribas$10,363,464,66623

Individual Penalty Records:

Click on the company or penalty amount for more information on each case. Click on the parent name to reach the summary page for that parent company.

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CompanyCurrent ParentPrimary Offense TypeYear sort iconAgencyPenalty Amount
Heartland Payment Systems, LLC dba HPS Heartland Payroll Solutions, Inc.Global Payments Inc.consumer protection violation2019CT-BKG$12,450
Mutual of Omaha Insurance Co.Mutual of Omahainsurance violation2019CT-INS$60,500
Horace Mann Property & Casualty Insurance Co.Horace Mann Educators Corp.insurance violation2019CT-INS$18,000
American Alternative Insurance Corp.Munich Reinsurance violation2019CT-INS$49,500
Lincoln Life & Annuity Company of New YorkLincoln Nationalinsurance violation2019CT-INS$7,500
The Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2019CT-INS$65,000
Allstate Insurance Co. et al.Allstateinsurance violation2019DE-INS$12,500
United Service Automobile Association et al.USAAinsurance violation2019DE-INS$32,500
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2019DE-INS$13,500
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2019DE-INS$8,000
American General Life Insurance Co.American International Groupinsurance violation2019DE-INS$85,000
State Farm Life Insurance Co.State Farm Insuranceinsurance violation2019DE-INS$18,000
Hartford Underwriters Insurance Co. et al.Hartford Financial Servicesinsurance violation2019DE-INS$23,000
Bankers Life and Casualty Co.CNO Financialinsurance violation2019DE-INS$41,200
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2019DE-INS$20,000
Bankers Standard Insurance Co. et al.Chubb Limitedinsurance violation2019DE-INS$16,000
Nationwide General Insurance Co. et al.Nationwideinsurance violation2019DE-INS$56,600
First American Title Insurance Co.First American Financialinsurance violation2019DE-INS$36,000
Praetorian Insurance Co. and QBE Insurance Corp. and QBE Speciality Insurance Co.QBE Insuranceinsurance violation2019DE-INS$70,100
Foremost Property and Casualty Insurance Co. et al.Zurich Insuranceinsurance violation2019DE-INS$11,000
Western Union International Services LLCWestern Unionconsumer protection violation2019FL-OFR$10,000
Arch Insurance Co.Arch Capitalinsurance violation2019ID-INS$5,000
Liberty Mutual InsuranceLiberty Mutual Insuranceinsurance violation2019IN-INS$5,000
ServiceLink LLCFidelity National Financialinsurance violation2019IN-INS$7,500
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2019KS-INS$60,000
Auto-Owners (Mutual) Insurance Co. and Owners Insurance Co.Auto-Owners Insuranceinsurance violation2019KS-INS$10,000
AmeriSave Mortgage Corp.AmeriSave Mortgageconsumer protection violation2019KY-FIN$5,000
American Health and Life Insurance Co.OneMain Holdingsinsurance violation2019LA-INS$11,000
Progressive Paloverde Insurance Co.Progressiveinsurance violation2019LA-INS$5,000
Axa Insurance Co.AXAinsurance violation2019LA-INS$6,000
The Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2019LA-INS$10,000
LPL Financial LLCLPL Financialinvestor protection violation2019MA-SEC$1,100,000
Wells Fargo Clearing Services, LLCWells Fargoinvestor protection violation2019MA-SEC$450,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2019MA-SEC$382,500
Next Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2019MA-SEC$150,000
LPL Financial LLCLPL Financialinvestor protection violation2019MD-SEC$499,000
United Casualty Insurance Company of AmericaKemperinsurance violation2019MD-INS$54,900
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceinsurance violation2019MD-INS$23,863
Privilege Underwriters Reciprocal ExchangeTokio Marineinsurance violation2019MD-INS$15,300
Praetorian Insurance CompanyQBE Insuranceinsurance violation2019MD-INS$5,920
Transamerica Life Insurance CompanyAegoninsurance violation2019MD-INS$184,000
NYLIFE Securities LLCNew York Life Insuranceinvestor protection violation2019ME-SEC$50,000
Auto-Owners Insurance Co. and Owners Insurance Co.Auto-Owners Insuranceinsurance violation2019MN-FIN$35,000
Esurance Property and Casualty Co. and Esurance Insurance Co.Allstateinsurance violation2019MN-FIN$35,000
Transamerica Life Insurance Co. and Transamerica Premier Life Insurance Co.Aegoninsurance violation2019MN-FIN$100,000
Allstate Insurance Co. and Encompass Indemnity Co. et al.Allstateinsurance violation2019MN-FIN$75,000
Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2019MN-FIN$10,000
Austin Mutual Insurance Co.American Family Insuranceinsurance violation2019MN-FIN$10,000
Homesite Insurance Co.American Family Insuranceinsurance violation2019MN-FIN$5,000
Time Insurance Co.Haven Holdingsinsurance violation2019MN-FIN$5,000
Bankers Life and Casualty Co. and Colonial Penn Life Insurance Co.CNO Financialinsurance violation2019MN-FIN$175,000
The Travelers Indemnity Co.Travelersinsurance violation2019MN-FIN$10,000
ServiceLink, LLCFidelity National Financialinsurance violation2019MO-INS$24,450
Regent Insurance Co.QBE Insuranceinsurance violation2019MO-INS$47,500
American Alternative Insurance Corp.Munich Reinsurance violation2019MO-INS$85,000
Transamerica Life Insurance Co.Aegoninsurance violation2019MO-INS$6,000
Transamerica Life Insurance Co.Aegoninsurance violation2019MO-INS$5,000
Transamerica Premier Life Insurance Co.Aegoninsurance violation2019MO-INS$5,000
Old Republic National Title Insurance Co.Old Republic Internationalinsurance violation2019MO-INS$60,050
Transamerica Life Insurance Co.Aegoninsurance violation2019MO-INS$26,000
Transamerica Premier Life Insurance Co.Aegoninsurance violation2019MO-INS$36,000
American Income Life Insurance Co.Globe Life Inc.insurance violation2019MT-FIN$15,000
Horace Mann Insurance Co.Horace Mann Educators Corp.insurance violation2019MT-FIN$25,000
Great Plains Specialty Finance, Inc. d/b/a Check 'n GoCNG Financialconsumer protection violation2019NE-DBF$12,850
Great Plains Specialty Finance, Inc. d/b/a Check 'n GoCNG Financialconsumer protection violation2019NE-DBF$13,500
Solium Financial Services LLCMorgan Stanleyconsumer protection violation2019NE-DBF$14,000
CashCall, Inc.CashCall Inc.consumer protection violation2019NH-BKG$188,880
CashCall Inc. and WS Funding LLCCashCall Inc.consumer protection violation2019NH-BKG$188,800
Berthel Fisher & Company Financial Services, IncBerthel Fisherinvestor protection violation2019NH-BSR$415,407
Santander Securities, LLCBanco Santanderinvestor protection violation2019NH-BSR$50,000
NEXT Financial Group, IncAtria Wealth Solutionsinvestor protection violation2019NH-BSR$325,000
Transamerica Life Insurance CompanyAegoninsurance violation2019NJ-DBI$5,942,519
Horizon Healthcare of New Jersey, Inc.Horizon Healthcare Servicesinsurance violation2019NJ-DBI$1,940,000
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesinsurance violation2019NJ-DBI$250,000
Genworth Life Insurance CompanyGenworth Financialinsurance violation2019NJ-DBI$10,000
Arch Insurance CompanyArch Capitalinsurance violation2019NY-DFS$5,000,000
National Union Fire Insurance CompanyAmerican International Groupinsurance violation2019NY-DFS$5,200,000
Globe Life Insurance Company of New YorkGlobe Life Inc.insurance violation2019NY-DFS$7,769,000
MetLife Insurance CompanyMetLifeinsurance violation2019NY-DFS$208,750,000
Standard Chartered BankStandard Charteredprice-fixing or anti-competitive practices2019NY-DFS$40,000,000
Mercury Casualty CompanyMercury General Corporationinsurance violation2019NY-DFS$31,000
Standard Chartered BankStandard Charteredeconomic sanction violation2019NY-DFS$180,000,000
UniCredit GroupUniCrediteconomic sanction violation2019NY-DFS$405,000,000
Mid-Century Insurance CompanyZurich Insuranceinsurance violation2019NY-DFS$50,000
Titan Insurance CompanyNationwideinsurance violation2019NY-DFS$149,300
MUFG Bank Ltd.U.S. Bancorpbanking violation2019NY-DFS$33,000,000
Bankers Conseco Life InsuranceCNO Financialinsurance violation2019NY-DFS$27,900
Companion Life Insurance Co.BlueCross BlueShield of South Carolinainsurance violation2019NY-DFS$648,122
The Guardian Insurance & Annuity Company, Inc.Guardian Life Insuranceinsurance violation2019NY-DFS$442,589
Northwestern Mutual Life Insurance Co.Northwestern Mutualinsurance violation2019NY-DFS$57,937
The Penn Mutual Life Insurance Co.Penn Mutualinsurance violation2019NY-DFS$455,584
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2019NY-DFS$49,020
The United States Life Insurance CompanyAmerican International Groupinsurance violation2019NY-DFS$171,902
Great Plains Specialty Finance Inc. dba Check 'N GoCNG Financialconsumer protection violation2019OK-DCC$48,600
Liberty Northwest Insurance CorporationLiberty Mutual Insuranceinsurance violation2019OR-FIN$15,000
Hartford Insurance Company of the MidwestHartford Financial Servicesinsurance violation2019OR-FIN$50,000
Minnesota Life Insurance CompanySecurian Financialinsurance violation2019OR-FIN$5,000
Cadaret Grant & Co. Inc.Atria Wealth Solutionsinvestor protection violation2019PA-BKG$90,000
Progressive Casualty Insurance CompanyProgressiveinsurance violation2019RI-FIN$10,000
USAA Casualty Insurance CompanyUSAAinsurance violation2019RI-FIN$8,000
Metropolitan Property and Casualty CompanyZurich Insuranceinsurance violation2019RI-FIN$5,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.