Basic Search  |  Summaries  |  Advanced Search

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentPrimary Offense TypeYear sort iconAgencyPenalty Amount
The Standard Fire Insurance CompanyTravelersinsurance violation2016TX-INS$5,000
Fidelity and Guaranty Insurance CompanyFidelity National Financialinsurance violation2016TX-INS$12,000
Unitrin County Mutual Insurance CompanyKemperinsurance violation2016TX-INS$10,000
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2016TX-INS$13,000
Twin City Fire Insurance CompanyHartford Financial Servicesinsurance violation2016TX-INS$9,500
American Home Assurance CompanyAmerican International Groupinsurance violation2016TX-INS$20,000
Scottrade Inc.Charles Schwab Corp.investor protection violation2016TX-SEC$100,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2016TX-INS$13,571
Fireman's Fund Insurance CompanyAllianzinsurance violation2016TX-INS$15,000
Commerce and Industry Insurance CompanyAmerican International Groupinsurance violation2016TX-INS$12,500
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2016TX-INS$21,500
Sentry InsuranceSentry Insuranceinsurance violation2016TX-INS$12,000
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2016TX-INS$18,000
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2016TX-INS$8,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2016TX-INS$35,012
Berkley National Insurance CompanyW.R. Berkleyinsurance violation2016TX-INS$8,000
National Interstate Insurance CompanyAmerican Financial Groupinsurance violation2016TX-INS$17,000
Granite State Insurance CompanyAmerican International Groupinsurance violation2016TX-INS$10,200
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2016TX-INS$70,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2016TX-INS$6,500
Lincoln National Life Insurance CompanyLincoln Nationalinsurance violation2016TX-INS$100,000
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2016TX-INS$5,500
Illinois National Insurance CoAmerican International Groupinsurance violation2016TX-INS$24,250
QBE Insurance CorporationQBE Insuranceinsurance violation2016TX-INS$21,565
The Travelers Indemnity Co. of ConnecticutTravelersinsurance violation2016TX-INS$18,000
Old Republic Insurance CoOld Republic Internationalinsurance violation2016TX-INS$28,921
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2016TX-INS$8,000
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2016TX-INS$117,500,000
American Fire and Casualty CoLiberty Mutual Insuranceinsurance violation2016TX-INS$20,000
AIG Assurance CompanyAmerican International Groupinsurance violation2016TX-INS$51,750
AIG Property Casualty CompanyAmerican International Groupinsurance violation2016TX-INS$55,800
AIU Insurance CompanyAmerican International Groupinsurance violation2016TX-INS$27,180
American Home Assurance CompanyAmerican International Groupinsurance violation2016TX-INS$9,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2016TX-INS$6,000
Charles Schwab & Co. Inc.Charles Schwab Corp.investor protection violation2016TX-SEC$125,000
American States Insurance CompanyLiberty Mutual Insuranceinsurance violation2016TX-INS$27,500
Federal Insurance CompanyChubb Limitedinsurance violation2016TX-INS$16,000
Travelers Property Casualty Company of AmericaTravelersinsurance violation2016TX-INS$62,000
Old Republic National Title Insurance CompanyOld Republic Internationalinsurance violation2016TX-INS$7,500
Marsh USA, Inc.Marsh & McLennaninsurance violation2016TX-INS$6,500
Bannockburn Global Forex, LLCFirst Financial Bancorp.consumer protection violation2016TX-FIN$23,608
Arch Insurance CompanyArch Capitalinsurance violation2016TX-INS$32,500
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2016TX-INS$19,000
Hartford Underwriters Insurance CompanyHartford Financial Servicesinsurance violation2016TX-INS$45,000
Sentinel Insurance Company, LtdHartford Financial Servicesinsurance violation2016TX-INS$32,000
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2016TX-INS$7,000
Travelers Casualty and Surety Company of AmericaTravelersinsurance violation2016TX-INS$100,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2016TX-INS$6,300
First American Title Insurance CompanyFirst American Financialinsurance violation2016UT-INS$6,500
Liberty Mutual General Insurance CompanyLiberty Mutual Insuranceinsurance violation2016UT-INS$5,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2016UT-INS$172,250
Liberty Mutual General Insurance CompanyLiberty Mutual Insuranceinsurance violation2016UT-INS$10,000
COMPANION LIFE INSURANCE CO.BlueCross BlueShield of South Carolinainsurance violation2016VA-INS$44,220
AMERIPRISE FINANCIAL SERVICES, INC.Ameriprise Financialinvestor protection violation2016VA-SEC$14,000
FREEDOM MORTGAGE CORPORATIONFreedom Mortgageconsumer protection violation2016VA-FIN$17,000
ALLIED PROPERTY & CASUALTY INSURANCE CO.Nationwideinsurance violation2016VA-INS$68,669
HOMESITE INSURANCE COMPANYAmerican Family Insuranceinsurance violation2016VA-INS$94,986
Hartford Accident and Indemnity CompanyHartford Financial Servicesinsurance violation2016VA-INS$8,131
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2016VA-SEC$11,500
CINCINNATI INSURANCE COMPANYCincinnati Financialinsurance violation2016VA-INS$54,475
Victoria Fire & Casualty Insurance CompanyNationwideinsurance violation2016VA-INS$2,236,476
ALLIED INSURANCE COMPANY OF AMERICANationwideinsurance violation2016VA-INS$8,000
PROGRESSIVE NORTHERN INSURANCEProgressiveinsurance violation2016VA-INS$52,619
AMERICAN STRATEGIC INSURANCEProgressiveinsurance violation2016VA-INS$15,147
ACE CASH EXPRESS, INC.ACE Cash Expressconsumer protection violation2016VA-FIN$45,000
Liberty Insurance Corp.Liberty Mutual Insuranceinsurance violation2016VT-FIN$28,000
Travelers Indemnity Co. et al.Travelersinsurance violation2016VT-FIN$96,000
Prosper Marketplace Inc.Prosper Marketplaceconsumer protection violation2016VT-FIN$60,000
Raymond James and Associates Inc.Raymond James Financialinvestor protection violation2016VT-FIN$4,200,000
Wells Fargo Advisors LLCWells Fargoinvestor protection violation2016VT-FIN$300,000
American Family Mutual Insurance Company S.I.American Family Insuranceinsurance violation2016WA-INS$15,000
Qbe Insurance CorporationQBE Insuranceinsurance violation2016WA-INS$10,000
National Casualty CompanyNationwideinsurance violation2016WA-INS$9,000
Jackson National Life Insurance CompanyJackson Financialinsurance violation2016WA-INS$8,000
Jackson National Life Insurance CompanyJackson Financialinsurance violation2016WA-INS$20,000
American Family Connect Property And Casualty Insurance CompanyAmerican Family Insuranceinsurance violation2016WA-INS$10,000
Unitrin Auto And Home Insurance CompanyKemperinsurance violation2016WA-INS$20,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2016WA-INS$20,000
Permanent General Assurance CorporationAmerican Family Insuranceinsurance violation2016WA-INS$5,000
Jefferson Insurance CompanyAllianzinsurance violation2016WA-INS$5,000
Transamerica Life Insurance CompanyAegoninsurance violation2016WA-INS$5,000
American Modern Home Insurance CompanyMunich Reinsurance violation2016WA-INS$5,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2016WA-INS$25,000
AGCS Marine Insurance CompanyAllianzinsurance violation2016WA-INS$15,000
Metropolitan Life Insurance CompanyMetLifeinsurance violation2016WA-INS$100,000
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2016WA-FIN$59,678
Ocwen Loan Servicing, LLCOcwen Financialconsumer protection violation2016WA-FIN$900,000
ACE Cash Express, Inc.ACE Cash Expressconsumer protection violation2016WA-FIN$76,421
Quicken Loans Inc.Rocket Companies Inc.consumer protection violation2016WA-FIN$250,000
MLD Mortgage, Inc. d/b/a The Money Store and Mortgage Loan DirectMLD Mortgage Inc. dba The Money Storeconsumer protection violation2016WA-FIN$407,103
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2016WA-FIN$55,000
Assurant Inc.Assurantinsurance violation2016MULTI-FIN$80,217,000
Homesite Insurance GroupAmerican Family Insuranceinsurance violation2016MULTI-FIN$500,000
Minnesota Life Insurance Company et al.Securian Financialinsurance violation2016MULTI-FIN$625,000
RiverSource Life Insurance CompanyAmeriprise Financialinsurance violation2016MULTI-FIN$1,500,000
HARLEYSVILLE MUTUAL INS CONationwideenvironmental violation2016PA-ENV$6,150
LOUIS DREYFUS AGRICULTURAL INDUSTRIES LLCLouis Dreyfusenvironmental violation2016IN-ENV$8,750
BUCKEYE TERMINALS LLCIFM Investorsenvironmental violation2016IN-ENV$49,750
THE HENNEGAN COChatham Asset Managementenvironmental violation2016KY-ENV$5,000
WHEELABRATOR GLOUCESTER COMPANY L PMacquarieenvironmental violation2016NJ-ENV$12,900
Buckeye Albany Terminal LLCIFM Investorsenvironmental violation2016NY-ENV$30,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.