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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $390,617,479,816
Number of Records: 7,879
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$87,294,669,499330
JPMorgan Chase$40,013,908,209280
UBS$31,275,299,125181
Wells Fargo$27,616,269,231266
Citigroup$27,081,211,792183
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,854,391,249113
NatWest Group PLC$14,264,317,61841
Morgan Stanley$10,907,502,443205
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
USAA Indemnity Co.USAAinsurance violation2021CT-INS$32,500
GreenSky, LLCGoldman Sachsconsumer protection violation2021CFPB$11,500,000
Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2021DE-INS$91,000
Principal Life Insurance Co.Principal Financialinsurance violation2021DE-INS$23,000
Umpqua BankUmpqua Holdingsbanking violation2021FDIC$1,800,000
LendingClub Corp.LendingClub Corp.consumer protection violation2021FTC$18,000,000
Robinhood Financial LLCRobinhood Marketsinvestor protection violation2021FINRA$69,600,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2021FINRA$11,650,000
Wheelabrator South Broward, Inc.Macquarieenvironmental violation2021FL-DEP$78,000
Coinbase, Inc.Coinbase Global Inc.consumer protection violation2021FL-OFR$6,500
Cadence Bank N.A.Cadence Bankdiscriminatory practices (non-employment)2021DOJ_RIGHTS$5,545,000
National Union Fire Insurance Company of Pittsburgh, PaAmerican International Groupinsurance violation2021KS-INS$5,000
Ace American Insurance Co. and Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2021MD-INS$7,000
Credit Acceptance CorporationCredit Acceptance Corp.consumer protection violation2021MA-AG$27,200,000
U.S. BankU.S. Bancorpconsumer protection violation2021MA-AG$230,000
MML Investors Services, LLCMassachusetts Mutual Life Insuranceinvestor protection violation2021MA-SEC$4,000,000
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceinsurance violation2021MN-FIN$6,000
SantanderBanco Santanderconsumer protection violation2021MS-AG$3,700,000
Companion Life Insurance Co.BlueCross BlueShield of South Carolinainsurance violation2021MULTI-FIN$5,000,000
Scottsdale Insurance Co.Nationwideinsurance violation2021NH-INS$10,579
Old Republic National Title Insurance CompanyOld Republic Internationalwage and hour violation2021NY-AG$1,000,000
TIAA-CREF Individual & Institutional Services, LLCTIAAbenefit plan administrator violation2021NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $97,000,000
Bank of China (UK) LimitedBank of Chinaeconomic sanction violation2021OFAC$2,329,991
Wells Fargo Bank, National AssociationWells Fargobanking violation2021OCC$250,000,000
Cadence Bank, National AssociationCadence Bankbanking violation2021OCC$3,000,000
Foremost Insurance Company Grand Rapids, MichiganZurich Insuranceinsurance violation2021OR-FIN$15,000
Liberty Mutual Group Inc. and Safeco Insurance Company of OregonLiberty Mutual Insuranceinsurance violation2021OR-FIN$120,000
RBC Capital Markets LLCRoyal Bank of Canadainvestor protection violation2021SEC$863,326
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherinvestor protection violation2021SEC$389,425
MML Investors Services, LLCMassachusetts Mutual Life Insuranceinvestor protection violation2021SEC$2,109,458
UBS Financial Services Inc.UBSinvestor protection violation2021SEC$8,112,174
TIAA-CREF Individual & Institutional Services LLCTIAAaccounting fraud or deficiencies2021SEC$97,000,000
Hilltop Securities Inc.Hilltop Holdingsinvestor protection violation2021SEC$340,193
First American Financial CorporationFirst American Financialprivacy violation2021SEC$487,616
XL Specialty Insurance Co.AXAinsurance violation2021TX-INS$15,825
Travelers Indemnity Co.Travelersinsurance violation2021TX-INS$11,000
Trumbull Insurance Co.Hartford Financial Servicesinsurance violation2021TX-INS$5,000
XL Insurance America, Inc.AXAinsurance violation2021TX-INS$17,000
Accident Fund General Insurance Co.AF Groupinsurance violation2021TX-INS$6,500
Federal Insurance Co.Chubb Limitedinsurance violation2021TX-INS$19,000
New Hampshire Insurance Co.American International Groupinsurance violation2021TX-INS$6,200
Old Republic InsuranceOld Republic Internationalinsurance violation2021TX-INS$6,750
Protective Insurance Co.Progressiveinsurance violation2021TX-INS$8,500
Safety National Casualty Corp.Tokio Marineinsurance violation2021TX-INS$9,500
Travelers Indemnity Co.Travelersinsurance violation2021TX-INS$23,500
Liberty Insurance Corp.Liberty Mutual Insuranceinsurance violation2021TX-INS$7,000
Travelers Indemnity Co.Travelersinsurance violation2021TX-INS$5,000
Trumbull Insurance Co.Hartford Financial Servicesinsurance violation2021TX-INS$7,500
New Hampshire Insurance Co.American International Groupinsurance violation2021TX-INS$7,500
Ace American Insurance Co.Chubb Limitedinsurance violation2021TX-INS$5,000
QBE Insurance Corp.QBE Insuranceinsurance violation2021TX-INS$10,000
Standard Fire Insurance Co.Travelersinsurance violation2021TX-INS$7,500
Arch Insurance Co.Arch Capitalinsurance violation2021TX-INS$6,000
Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2021TX-INS$9,000
Sagamore Insurance Co.Progressiveinsurance violation2021TX-INS$20,000
New Hampshire Insurance Co.American International Groupinsurance violation2021TX-INS$15,000
LM Insurance Corp.Liberty Mutual Insuranceinsurance violation2021TX-INS$40,000
New Hampshire Insurance Co.American International Groupinsurance violation2021TX-INS$6,000
Accident Fund General Insurance Co.AF Groupinsurance violation2021TX-INS$5,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2021TX-INS$5,000
Liberty Insurance Corp.Liberty Mutual Insuranceinsurance violation2021TX-INS$14,000
Arch Insurance Co.Arch Capitalinsurance violation2021TX-INS$69,000
Hartford Fire Insurance Co.Hartford Financial Servicesinsurance violation2021TX-INS$5,000
Acadia Insurance Co.W.R. Berkleyinsurance violation2021TX-INS$8,250
Accident Fund National Insurance Co.AF Groupinsurance violation2021TX-INS$7,500
Buckeye Terminals, LLCIFM Investorsenvironmental violation2021VA-ENV$78,045
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2021WA-INS$100,000
Nationwide General Insurance Co.Nationwideinsurance violation2021WA-INS$35,000
Foremost Insurance Company Grand Rapids MichiganZurich Insuranceinsurance violation2021WA-INS$75,000
Transamerica Life Insurance Co.Aegoninsurance violation2021WA-INS$30,000
State Farm Fire and Casualty Co.State Farm Insuranceinsurance violation2021WI-INS$10,000
Edward D. Jones & Co.Jones Financialemployment discrimination2021private lawsuit-federal$58,000,000
Affinity Insurance Services, Inc.Aoninsurance violation2021AK-INS$35,000
CUNA Brokerage Services, Inc.CUNA Mutualinvestor protection violation2021AR-SEC$50,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2021CA-MHC$7,500
UBS AGUBSinvestor protection violation2021CFTC$500,000
Societe Generale S.A.Societe Generaleinvestor protection violation2021CFTC$1,500,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2021CFTC$84,320,000
Mizuho Capital Markets LLCMizuho Financialinvestor protection violation2021CFTC$1,500,000
Citibank, N.A.Citigroupinvestor protection violation2021CFTC$1,000,000
Navient Solutions, LLCNavientconsumer protection violation2021CT-BKG$25,400
Homesite Insurance CompanyAmerican Family Insuranceinsurance violation2021CT-INS$193,000
Great American Life Insurance CompanyMassachusetts Mutual Life Insuranceinsurance violation2021CT-INS$6,000
Trustmark National BankTrustmarkdiscriminatory practices (non-employment)2021CFPB(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $5,000,000
Progressive Direct Insurance CompanyProgressiveinsurance violation2021DE-INS$6,500
American General Life Insurance CompanyAmerican International Groupinsurance violation2021DE-INS$106,000
Synagro Northeast, LLCGoldman Sachsair pollution violation2021EPA$373,660
The Gas Company, LLCMacquarieair pollution violation2021EPA$230,000
Buckeye Pipe Line Co.IFM Investorswater pollution violation2021EPA$4,350,000
Arthur J. Gallagher & Co.Arthur J. Gallagher & Co.employment discrimination2021EEOC$40,000
Santander Consumer USA Inc, dba Chrysler CapitalBanco Santanderconsumer protection violation2021DOJ_RIGHTS$134,282
Credit Suisse Group AGUBSfraud2021DOJ_CRIMINAL$175,500,000
USAA Casualty Insurance Company et al.USAAinsurance violation2021KS-INS$5,000
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
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.