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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $347,416,567,662
Number of Records: 7,172
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$83,354,221,356271
JPMorgan Chase$36,129,286,132223
Wells Fargo$25,781,458,643230
Citigroup$25,740,655,365159
Deutsche Bank$18,541,562,80279
UBS$17,082,743,334106
Goldman Sachs$16,603,475,84890
NatWest Group PLC$13,515,546,85731
Credit Suisse$11,427,400,12652
Morgan Stanley$10,167,765,234190

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 icon . AgencyPenalty Amount
First American Title Insurance Company of LouisianaFirst American Financialinsurance violation2021LA-INS$5,000
National Union Fire Insurance Company of Pittsburgh, PaAmerican International Groupinsurance violation2021LA-INS$9,000
The Cincinnati Insurance CompanyCincinnati Financialinsurance violation2021MD-INS$96,980
American States Preferred Insurance CompanyLiberty Mutual Insuranceinsurance violation2021MD-INS$111,176
SAFECO Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2021MD-INS$196,044
American General Life Insurance CompanyAmerican International Groupinsurance violation2021MD-INS$32,250
ACE American Insurance Company and Insurance Company of North America, and ACE Fire Underwriters Insurance CompanyChubb Limitedinsurance violation2021MN-FIN$15,400
Great American Assurance CompanyAmerican Financial Groupinsurance violation2021MN-FIN$25,000
American Fire & Casualty CompanyLiberty Mutual Insuranceinsurance violation2021MO-INS$64,000
New York Life Insurance Company and New York Life Insurance and Annuity CorporationNew York Life Insuranceinsurance violation2021MT-INS$10,000
Rocket Mortgage, LLC fka Quicken Loans, LLCRocket Companies Inc.consumer protection violation2021MULTI-AG$500,000
Old Republic National Title Insurance CompanyOld Republic Internationalinsurance violation2021NH-INS$10,000
Trustmark National BankTrustmarkbanking violation2021OCC$4,000,000
Washington Federal Bank, National AssociationWashington Federal Inc.banking violation2021OCC$2,500,000
Washington Federal Bank, National AssociationWashington Federal Inc.banking violation2021OCC$40,500
American Bankers Insurance Company of FloridaAssurantinsurance violation2021OR-FIN$20,000
Generali - U.S. Branch dba The General Insurance Company of Trieste & VeniceAssicurazioni Generaliinsurance violation2021OR-FIN$10,000
Academy Mortgage Corp.Academy Mortgage Corp.consumer protection violation2021PA-BKG$232,200
Allstate Property & Casualty Insurance Company, et al.Allstateinsurance violation2021RI-FIN$7,500
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2021SEC$1,207,000
WEX Inc.WEX Inc.investor protection violation2021SEC$350,000
Credit Suisse Group AGCredit SuisseForeign Corrupt Practices Act2021SEC$99,000,000
LPL Financial LLCLPL Financialinvestor protection violation2021SEC$891,202
XL Insurance America, Inc.AXAinsurance violation2021TX-INS$10,000
Safety National Casualty Corp.Tokio Marineinsurance violation2021TX-INS$15,500
Great American Alliance Insurance CompanyAmerican Financial Groupinsurance violation2021TX-INS$7,000
Praetorian Insurance CompanyQBE Insuranceinsurance violation2021TX-INS$39,000
LM Insurance Corp.Liberty Mutual Insuranceinsurance violation2021TX-INS$11,500
Everest National Insurance CompanyEverest Re Groupinsurance violation2021TX-INS$5,500
Unitrin Direct Property & Casualty CompanyKemperinsurance violation2021TX-INS$7,500
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2021TX-INS$19,500
American Bankers Insurance Company of FloridaAssurantinsurance violation2021TX-INS$45,000
Safety National Casualty Corp.Tokio Marineinsurance violation2021TX-INS$39,000
Hartford Insurance Company of the Midwest et al.Hartford Financial Servicesinsurance violation2021TX-INS$120,000
Wells Fargo Bank, N.A.Wells Fargobanking violation2021USAO$72,600,000
Privilege Underwriters Reciprocal ExchangeTokio Marineinsurance violation2021VA-INS$19,295
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2021VA-SEC$10,000
Rocket Mortgage, LLC fka Quicken Loans, LLCRocket Companies Inc.consumer protection violation2021WA-FIN$87,500
American General Life Insurance CompanyAmerican International Groupinsurance violation2021WA-INS$10,000
Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2021WA-INS$10,000
Nationwide Life And Annuity Insurance Company et al.Nationwideinsurance violation2021WA-INS$5,000
Farmers Insurance Company of Washington et al.Zurich Insuranceinsurance violation2021WA-INS$20,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2021WA-INS$5,000
Combined Insurance Company of AmericaChubb Limitedinsurance violation2021WA-INS$10,000
Premera Blue CrossPremera Blue Crossinsurance violation2021WA-INS$5,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2021WA-INS$20,000
American Memorial Life Insurance CompanyAssurantinsurance violation2021WA-INS$20,000
Allstate Fire & Casualty Insurance CompanyAllstateinsurance violation2021WA-INS$10,000
Allstate Fire & Casualty Insurance Company et al.Allstateinsurance violation2021WA-INS$7,500
North River Insurance Company et al.Fairfax Financial Holdingsinsurance violation2021WA-INS$25,000
Transamerica CorporationAegonbenefit plan administrator violation2021private lawsuit-federal$5,400,000
BlackRock Institutional Trust Company, N.A.BlackRockbenefit plan administrator violation2021private lawsuit-federal$9,650,000
Wells Fargo Bank, N.A.Wells Fargoprivacy violation2021private lawsuit-federal$28,000,000
John Hancock Life Insurance CompanyManulife Financialbenefit plan administrator violation2021private lawsuit-federal$14,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chaseinvestor protection violation2021CFTC$75,000,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2021SEC$125,000,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2021CA-MHC$12,500
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2021CA-MHC$12,500
Synchrony BankSynchrony Financialconsumer protection violation2021CA-MULTI$3,500,000
LPL Financial LLCLPL Financialinvestor protection violation2021CT-SEC$500,000
NatWest Markets PlcNatWest Group PLCfraud2021DOJ_CRIMINAL$35,000,000
FMR LLCFidelity Investmentsbenefit plan administrator violation2021EBSA$10,001
Buckeye Pipe Line Company, L.P. and West Shore Pipe Line ComanyIFM Investorsenvironmental violation2021IL-ENV$8,700,000
Louis Dreyfus Company Agricultural Industries LLCLouis Dreyfusenvironmental violation2021IN-ENV$17,400
LendingTree, LLCLendingTreeconsumer protection violation2021MA-BKG$34,000
Allstate Indemnity CompanyAllstateinsurance violation2021MD-INS$50,000
Travelers Home and Marine Insurance Company et al.Travelersinsurance violation2021MN-FIN$30,000
Farmers Insurance Exchange et al.Farmers Insurance Exchangeinsurance violation2021MN-FIN$35,000
Security National Insurance Co.Zurich Insuranceinsurance violation2021MO-INS$23,150
Barclays Capital Inc.Barclaystoxic securities abuses2021NM-AG$4,642,857
Citigroup Global Markets Inc.Citigrouptoxic securities abuses2021NM-AG$4,642,857
Goldman Sachs & Co. LLCGoldman Sachstoxic securities abuses2021NM-AG$4,642,857
J.P. Morgan Securities LLCJPMorgan Chasetoxic securities abuses2021NM-AG$4,642,857
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americatoxic securities abuses2021NM-AG$4,642,857
NatWest Markets Securities Inc.NatWest Group PLCtoxic securities abuses2021NM-AG$4,642,857
Washington Mutual Mortgage Securities Corp.JPMorgan Chasetoxic securities abuses2021NM-AG$4,642,857
Pacific Life Insurance CompanyPacific Lifeinsurance violation2021NY-DFS$3,000,000
Oscar Insurance CorporationOscar Health Inc.insurance violation2021NY-DFS$1,465,800
Variable Annuity Life Insurance CompanyAmerican International Groupinsurance violation2021NY-DFS$230,820
Principal Life Insurance CompanyPrincipal Financialinsurance violation2021NY-DFS$1,997,866
Union Security Life Insurance Company of New YorkAssurantinsurance violation2021NY-DFS$20,000
Allstate Life Insurance Company of New YorkAllstateinsurance violation2021NY-DFS$196,250
Flagstar Bank, FSBNew York Community Bancorpbanking violation2021OCC$3,620,000
TD Bank, N.A.Toronto-Dominion Bankeconomic sanction violation2021OFAC$115,005
XL Specialty Insurance CompanyAXAconsumer protection violation2021RI-FIN$15,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2021TX-INS$5,500
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2021TX-INS$38,000
Horace Mann Insurance Company et al.Horace Mann Educators Corp.insurance violation2021TX-INS$25,000
Pacific Indemnity CompanyChubb Limitedinsurance violation2021TX-INS$45,000
Allstate Fire & Casualty Insurance Company et al.Allstateinsurance violation2021VT-FIN$225,000
Sentry Select Insurance CompanySentry Insuranceinsurance violation2021WA-INS$5,000
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceinsurance violation2021WA-INS$100,000
Jackson National Life Insurance CompanyJackson Financialinsurance violation2021WA-INS$10,000
Regions Financial CorporationRegions FinancialFamily and Medical Leave Act2021WHD$7,210
Wells Fargo Bank, N.A.Wells Fargowage and hour violation2021private lawsuit-federal$95,696,122
Wilmington Trust, N.A.M&T Bankbenefit plan administrator violation2021private lawsuit-federal$5,500,000
Travelers Casualty and Surety Company of AmericaTravelersinsurance violation2021NY-DFS$75,000
National Union Fire Insurance Company of Pittsburgh, PA. et al.American International Groupinsurance violation2021NY-DFS$50,000
Erie Insurance Company and Erie Insurance Company of New YorkErie Indemnityinsurance violation2021NY-DFS$561,900
Nationwide Mutual Insurance CompanyNationwidewage and hour violation2021WHD$13,808
Flagstar Bancorp, Inc. a Michigan CorporationNew York Community Bancorpwage and hour violation2021CA-LCO$30,677
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.