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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
Gerber Life Insurance Co.Western & Southern Financial Groupinsurance violation2020NC-INS$3,635,665
Mid-Century Insurance CompanyZurich Insuranceinsurance violation2020NY-DFS$200,000
Praetorian Insurance CompanyQBE Insuranceinsurance violation2020NY-DFS$20,000
The Signal, LP, an Assurant CompanyAssurantinsurance violation2020NY-DFS$2,800,000
Deutsche Bank AG and Deutsche Bank Trust Co. AmericaDeutsche Bankbanking violation2020NY-DFS$150,000,000
Capital One Bank (USA), National AssociationCapital One Financialbanking violation2020OCC$80,000,000
Deutsche Bank Trust Company AmericasDeutsche Bankeconomic sanction violation2020OFAC$583,100
Teachers Insurance and Annuity AssociationTIAAemployment discrimination2020OFCCP$1,500,000
Wells Fargo Bank, N.A.Wells Fargoemployment discrimination2020OFCCP$7,800,000
USAA Casualty Insurance Co.USAAinsurance violation2020OR-FIN$50,000
Mutual of Omaha Mortgage, Inc.Mutual of Omahaconsumer protection violation2020PA-BKG$7,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020PA-BKG$52,372
Federal Insurance Co.Chubb Limitedinsurance violation2020SD-INS$25,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020SD-SEC$5,750
Northern Trust Hedge Fund Services LLCNorthern Trustinvestor protection violation2020SEC$167,629
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2020SEC$11,500,000
World Acceptance CorporationWorld Acceptance CorporationForeign Corrupt Practices Act2020SEC$21,700,000
VALIC Financial Advisors Inc.American International Groupinvestor protection violation2020SEC$39,900,000
UBS Financial Services Inc.UBSinvestor protection violation2020SEC$10,000,000
Franklin Advisers and Inc.Franklin Resourcesinvestor protection violation2020SEC$250,000
Franklin Templeton Investments Corp.Franklin Resourcesinvestor protection violation2020SEC$75,000
BNP Paribas Securities Corp.BNP Paribasinvestor protection violation2020SEC$250,000
SG Americas Securities LLCSociete Generaleinvestor protection violation2020SEC$1,550,000
New Hampshire Insurance Co.American International Groupinsurance violation2020TX-INS$7,000
Old Republic Insurance Co.Old Republic Internationalinsurance violation2020TX-INS$18,150
Zurich American Insurance Co. of IllinoisZurich Insuranceinsurance violation2020TX-INS$10,800
Property and Casualty Insurance Co. of HartfordHartford Financial Servicesinsurance violation2020TX-INS$20,000
Travelers Property Casualty Co. of AmericaTravelersinsurance violation2020TX-INS$10,000
Old Republic Insurance Co.Old Republic Internationalinsurance violation2020TX-INS$7,000
Twin City Fire Insurance Co.Hartford Financial Servicesinsurance violation2020TX-INS$6,000
New Hampshire Insurance Co.American International Groupinsurance violation2020TX-INS$16,500
XL Specialty Insurance Co.AXAinsurance violation2020TX-INS$7,000
Ace American Insurance Co.Chubb Limitedinsurance violation2020TX-INS$19,500
New Hampshire Insurance Co.American International Groupinsurance violation2020TX-INS$9,500
New Hampshire Insurance Co.American International Groupinsurance violation2020TX-INS$5,500
Amica Mutual Insurance Co.Amica Mutual Insuranceinsurance violation2020TX-INS$120,000
Trumbull Insurance Co.Hartford Financial Servicesinsurance violation2020TX-INS$15,000
Sentinel Insurance Company, Ltd.Hartford Financial Servicesinsurance violation2020TX-INS$10,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020TX-SEC$46,073
Dairyland Insurance Co. and Peak Property and Casualty Insurance Corp.Sentry Insuranceinsurance violation2020VA-INS$140,492
Carefirst Bluechoice, Inc.CareFirst of Marylandinsurance violation2020VA-INS$90,600
Group Hospitalization and Medical Services, Inc.CareFirst of Marylandinsurance violation2020VA-INS$36,250
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2020VT-AG$105,000
State Farm Life Insurance Co.State Farm Insuranceinsurance violation2020VT-FIN$204,000
Arch Insurance Co.Arch Capitalinsurance violation2020WA-INS$10,000
Premera Blue CrossPremera Blue Crossinsurance violation2020WA-INS$25,000
Crestbrook Insurance Co.Nationwideinsurance violation2020WA-INS$5,000
Cincinnati Insurance Co.Cincinnati Financialinsurance violation2020WA-INS$5,000
National Union Fire Insurance Company of Pittsburgh, PA. et al.American International Groupinsurance violation2020WA-INS$20,000
Guardian Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2020WA-INS$5,000
Northwestern Mutual Life Insurance Co.Northwestern Mutualinsurance violation2020WA-INS$50,000
Security National Insurance Co.Zurich Insuranceinsurance violation2020WA-INS$5,000
Privilege Underwriters Reciprocal ExchangeTokio Marineinsurance violation2020WA-INS$5,000
Farmers Insurance ExchangeFarmers Insurance Exchangewage and hour violation2020private lawsuit-federal$5,400,000
U.S. Bank National AssociationU.S. Bancorpwage and hour violation2020private lawsuit-federal$6,500,000
JPMorgan Chase Bank, N.A.JPMorgan Chasewage and hour violation2020private lawsuit-federal$3,750,000
HSBCHSBCFalse Claims Act and related2020CA-AG$7,000,000
Morgan Stanley Smith Barney FA Notes Holdings LLCMorgan Stanleyconsumer protection violation2020CA-DFPI$1,000,000
PHH Mortgage CorporationOcwen Financialconsumer protection violation2020CA-DFPI$62,000
Freedom Mortgage CorporationFreedom Mortgageconsumer protection violation2020CA-DFPI$75,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2020CA-MHC$5,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2020CA-MHC$30,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2020CA-MHC$5,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2020CA-MHC$15,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2020CA-MHC$10,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2020CA-MHC$5,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2020CA-MHC$5,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2020CA-MHC$5,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2020CA-MHC$15,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2020CA-MHC$7,500
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2020CA-MHC$10,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2020CA-MHC$5,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2020CA-MHC$5,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2020CA-MHC$7,500
Nationstar Mortgage, LLC dba Mr. CooperMr. Cooper Groupconsumer protection violation2020CFPB$74,500,000
Washington Federal Bank, N.A.Washington Federal Inc.consumer protection violation2020CFPB$200,000
Encore Capital Group, Inc.Encore Capital Groupconsumer protection violation2020CFPB$15,079,308
Vitol Inc.Vitolfraud2020CFTC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $95,700,000
Morgan Stanley Capital Services LLCMorgan Stanleyinvestor protection violation2020CFTC$5,000,000
Gain Capital Group, LLCStoneX Groupinvestor protection violation2020CFTC$300,000
JPMorgan Chase & CompanyJPMorgan Chaseinvestor protection violation2020CFTC$920,200,000
Citibank N.A.Citigroupinvestor protection violation2020CFTC$4,500,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020CO-SEC$69,338
Janney Montgomery Scott, LLCPenn Mutualinvestor protection violation2020CT-BKG$150,000
Schupp & Grochmal, LLCSchupp & Grochmalinvestor protection violation2020CT-BKG$10,510
Highmark BCBSD IncHighmark Inc.insurance violation2020DE-INS$299,000
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2020DE-INS$20,000
Vitol Inc.VitolForeign Corrupt Practices Act2020DOJ_CRIMINAL$135,000,000
Goldman Sachs Group Inc.Goldman SachsForeign Corrupt Practices Act2020DOJ_CRIMINAL$2,921,088,000
JPMorgan Chase & Co.JPMorgan Chasefraud2020DOJ_CRIMINAL(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $920,000,000
Nationstar Mortgage, LLCMr. Cooper Groupmortgage abuses2020DOJ_UTP$40,000,000
U.S. Bank National AssociationU.S. Bancorpmortgage abuses2020DOJ_UTP$29,000,000
PNC Bank, NAPNC Financial Servicesmortgage abuses2020DOJ_UTP$5,000,000
OCWEN FINANCIAL CORPORATIONOcwen Financialbenefit plan administrator violation2020EBSA$50,001
OCWEN FINANCIAL CORPORATIONOcwen Financialbenefit plan administrator violation2020EBSA$50,001
OCWEN FINANCIAL CORPORATIONOcwen Financialbenefit plan administrator violation2020EBSA$50,001
Goldman Sachs Group, Inc.Goldman Sachsbanking violation2020FED$154,000,000
M&T BankM&T Bankbanking violation2020FED$546,000
Ocwen Financial CorporationOcwen Financialmortgage abuses2020FL-AG$11,600,000
Premera Blue CrossPremera Blue Crossprivacy violation2020HHSOCR$6,850,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020IL-SEC$11,385
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.