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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $364,987,502,767
Number of Records: 7,424
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$83,860,718,022283
JPMorgan Chase$36,735,865,891239
Citigroup$26,665,437,031170
Wells Fargo$25,943,801,143236
Deutsche Bank$19,684,396,13592
UBS$17,479,735,000115
Goldman Sachs$17,054,777,59197
NatWest Group PLC$14,007,380,19038
Credit Suisse$11,673,430,79257
Morgan Stanley$10,440,931,900196

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
Deutsche Bank Securities, Inc.Deutsche Bankinvestor protection violation2006SEC$442,954
Deutsche Asset Management, Inc. and Deutsche Investment Management Americas, Inc.Deutsche Bankinvestor protection violation2006SEC$17,200,000
Strong Capital Management, Inc.Wells Fargoinvestor protection violation2006SEC$2,185,927
Deutsche Investment Management Americas, Inc. et al.Deutsche Bankinvestor protection violation2006SEC$19,329,729
Waddell & Reed, Inc.Macquarieinvestor protection violation2006SEC$50,000,000
Metropolitan Life Insurance CompanyMetLifeinvestor protection violation2006SEC$250,000
New England Securities Corp.MetLifeinvestor protection violation2006SEC$2,614,865
Morgan Keegan & Co., Inc.Raymond James Financialinvestor protection violation2006SEC$558,806
Cincinnati Insurance CompanyCincinnati Financialemployment discrimination2006private lawsuit-federal$537,500
Northern TrustNorthern Trustbenefit plan administrator violation2006private lawsuit-federal$37,500,000
UBS Global Asset ManagementUBSbenefit plan administrator violation2006private lawsuit-federal$5,493,000
Nationwide Mutual Insurance CompanyNationwideFair Credit Reporting Act violation2006private lawsuit-federal$19,250,000
ACE, LtdChubb Limitedprice-fixing or anti-competitive practices2006MULTI-AG$80,000,000
American Bankers Insurance Co.Assurantconsumer protection violation2006MA-AG$20,000
American International GroupAmerican International Groupprice-fixing or anti-competitive practices2006NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,619,000,000
American International Group, Inc.American International Grouptax violations2006MI-AG$5,279,484
Ameriquest MortgageCitigroupconsumer protection violation2006MULTI-AG$325,000,000
Bank of AmericaBank of Americadiscriminatory practices (non-employment)2006MA-AG$50,000
BB&T Leasing CorporationTruist Financialconsumer protection violation2006MULTI-AG$6,000,000
Brown & Brown, Inc.Brown & Brownconsumer protection violation2006FL-AG$5,800,000
Chase BankJPMorgan Chaseconsumer protection violation2006MULTI-AG$3,850,000
ChubbChubb Limitedprice-fixing or anti-competitive practices2006MULTI-AG$17,000,000
Countrywide Home Loans, Inc.,Bank of Americaconsumer protection violation2006NY-AG$3,200,000
Deutsche Bank AGDeutsche Bankinvestor protection violation2006NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $208,000,000
GE Capital Corp.Synchrony Financialconsumer protection violation2006CT-AG$336,000
INGVoya Financialinvestor protection violation2006MULTI-AG$33,000,000
Metropolitan Life Insurance CompanyMetLifeconsumer protection violation2006NY-AG$19,000,000
National City Commercial Capital CorporationPNC Financial Servicesconsumer protection violation2006NY-AG$817,700
PayPal, Inc.PayPal Holdingsconsumer protection violation2006MULTI-AG$1,700,000
Prudential Equity GroupPrudential Financialinvestor protection violation2006MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $270,000,000
Prudential Equity GroupPrudential Financialinvestor protection violation2006NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $270,000,000
St. Paul TravelersTravelersprice-fixing or anti-competitive practices2006MULTI-AG$77,000,000
The Hartford Financial Services GroupHartford Financial Servicesinvestor protection violation2006MULTI-AG$20,000,000
UBS Financial Services Inc.UBSinvestor protection violation2006NJ-AG$24,750,000
UnumProvident CorporationUnumconsumer protection violation2006NY-AG$17,400,000
Wachovia Capital Markets LLCWells Fargoinvestor protection violation2006MULTI-AG$25,000,000
Waddell & Reed, Inc.Macquarieinvestor protection violation2006NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $75,000,000
Zurich American Insurance CompanyZurich Insuranceprice-fixing or anti-competitive practices2006MULTI-AG$171,700,000
Zurich American Insurance CompanyZurich Insuranceprice-fixing or anti-competitive practices2006OH-AG$7,000,000
Mellon Bank N.A.Bank of New York MellonFalse Claims Act and related2006USAO$18,130,405
Bank of America Corp.Bank of Americaanti-money-laundering deficiencies2006NY-MANDA$7,500,000
Zenith Insurance Co.Fairfax Financial Holdingsemployment discrimination2006EEOC$180,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2006NY-AG$1,040,964
Seabury & Smith, Inc.Marsh & McLennaninsurance violation2006AK-INS$6,530
Titan Insurance Co.Nationwideinsurance violation2006AZ-DIFI$40,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2006AZ-CC$1,250,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2006CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2006CA-MHC$5,000
Farmers Insurance Exchange et al.Farmers Insurance Exchangeinsurance violation2006CA-INS$1,000,000
Mercury Insurance Co.Mercury General Corporationinsurance violation2006CA-INS$9,000
Zurich American Insurance Co.Zurich Insuranceinsurance violation2006CA-INS$15,000
Commonwealth Land Title Insurance Co. et al.Fidelity National Financialinsurance violation2006CA-INS$4,499,997
Amex Assurance Co.American Expressinsurance violation2006CA-INS$170,000
Workmen's Auto Insurance Co.Mercury General Corporationinsurance violation2006CA-INS$100,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2006CA-MHC$50,000
Mercury Insurance GroupMercury General Corporationinsurance violation2006CA-INS$300,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2006CA-MHC$50,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2006CA-MHC$7,500
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2006CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2006CA-MHC$7,500
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2006CA-INS$700,000
UnumProvident Corp. et al.Unuminsurance violation2006CA-INS$700,000
Hartford Fire Insurance Co. et al.Hartford Financial Servicesinsurance violation2006CA-INS$125,000
Old Republic Insurance Co.Old Republic Internationalinsurance violation2006CO-INS$6,000
Unitrin Auto and Home Insurance Co.Kemperinsurance violation2006CO-INS$7,500
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2006CO-INS$6,000
Farmers Insurance Exchange and Truck Insurance Exchange and Mid-Century Insurance Co.Farmers Insurance Exchangeinsurance violation2006CO-INS$49,500
New England Life Insurance Co.Brighthouse Financialinsurance violation2006CO-INS$32,000
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2006CO-INS$34,800
Thomas Weisel Partners LLCStifel Financialinvestor protection violation2006CT-SEC$52,480
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2006CT-SEC$3,500,000
American General Life and Accident Insurance Co.American International Groupinsurance violation2006FL-OFR$1,568,324
Combined Insurance Company of AmericaChubb Limitedinsurance violation2006FL-OFR$9,750
Pacific Life & Annuity Co.Pacific Lifeinsurance violation2006FL-OFR$38,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2006FL-OFR$12,100
Life Investors Insurance Company of AmericaAegoninsurance violation2006FL-OFR$53,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2006ID-SEC$415,000
Banc of America Investment Services, Inc.Bank of Americainvestor protection violation2006IL-SEC$250,000
Universal Underwriters Insurance CompanyZurich Insuranceinsurance violation2006IN-INS$948,240
Nationwide Agribusiness Insurance Co.Nationwideinsurance violation2006KS-INS$7,500
Metropolitan Property and Casualty Co.Zurich Insuranceinsurance violation2006KS-INS$5,000
St. Paul Fire & Marine Insurance Co.Travelersinsurance violation2006KS-INS$5,000
Bankers Life & Casualty Co.CNO Financialinsurance violation2006ME-INS$7,500
American Family Life Assurance Company of ColumbusAflacinsurance violation2006MN-FIN$15,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2006MN-FIN$5,000
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2006MN-FIN$5,000
MetLife Investors USA Insurance Co. et al.MetLifeinsurance violation2006MN-FIN$250,000
John Hancock Variable Life Insurance Co.Manulife Financialinsurance violation2006MO-INS$11,040
Waddell & Reed, Inc.Macquarieinvestor protection violation2006MO-SEC$172,161
Stewart Title Guarantee Co.Stewart Information Servicesinsurance violation2006MO-INS$75,087
Allstate Insurance Co.Allstateinsurance violation2006MO-INS$60,000
Allied Property & Casualty Insurance Co. et al.Nationwideinsurance violation2006MO-INS$65,000
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2006MO-INS$7,373
World Group Securities, Inc.Aegoninvestor protection violation2006MO-SEC$228,600
Metropolitan Life Insurance Co.MetLifeinsurance violation2006MO-INS$12,162
MetLife Securities, Inc.MetLifeinvestor protection violation2006MS-SEC$50,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2006MT-SEC$345,000
UBS Financial Services, Inc.UBSinvestor protection violation2006MT-SEC$4,503,166
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2006ND-SEC$17,204
Investment Centers of America Inc.LPL Financialinvestor protection violation2006ND-SEC$6,000
Berthel Fisher and Company Financial Services Inc.Berthel Fisherinvestor protection violation2006ND-SEC$8,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.