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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$340,660,984,318
Number of Records: 7,055
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$83,124,221,356268
JPMorgan Chase$36,129,269,434222
Citigroup$25,540,655,365157
Wells Fargo$22,081,446,244228
Deutsche Bank$18,341,457,30276
UBS$16,880,243,334103
Goldman Sachs$16,399,475,84887
NatWest Group PLC$13,515,546,85731
BNP Paribas$12,154,369,73321
Credit Suisse$10,732,400,12649

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 TypeYearAgencyPenalty Amount sort icon
Travelers Casualty & Surety Company of America et al.Travelersinsurance violation2011IA-INS$5,000
National Union Fire Insurance Company of Pittsburgh, Pa.American International Groupinsurance violation2009ID-INS$5,000
Time Insurance Co.Haven Holdingsinsurance violation2014ID-INS$5,000
Nationwide Life Insurance Co.Nationwideinsurance violation2015ID-INS$5,000
Zurich American Insurance Co.Zurich Insuranceinsurance violation2015ID-INS$5,000
Transamerica Life Insurance Co.Aegoninsurance violation2017ID-INS$5,000
Arch Insurance Co.Arch Capitalinsurance violation2019ID-INS$5,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2004IL-SEC$5,000
Victoria Fire & Casualty Co.Nationwideinsurance violation2003IN-INS$5,000
Safeco Insurance Co. of AmericaLiberty Mutual Insuranceinsurance violation2005IN-INS$5,000
Liberty Mutual Insurance Co.Liberty Mutual Insuranceinsurance violation2009IN-INS$5,000
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2010IN-INS$5,000
Mid-Century Insurance Co.Zurich Insuranceinsurance violation2012IN-INS$5,000
Liberty Mutual InsuranceLiberty Mutual Insuranceinsurance violation2019IN-INS$5,000
United Services Automobile AssociationUSAAinsurance violation2001KS-INS$5,000
Metropolitan Property and Casualty Co.Zurich Insuranceinsurance violation2006KS-INS$5,000
St. Paul Fire & Marine Insurance Co.Travelersinsurance violation2006KS-INS$5,000
Old Republic Insurance Co.Old Republic Internationalinsurance violation2009KS-INS$5,000
Progressive Direct Insurance Co.Progressiveinsurance violation2009KS-INS$5,000
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2012KS-INS$5,000
Seneca Insurance Co.Fairfax Financial Holdingsinsurance violation2014KS-INS$5,000
Mortgage Access Corp. dba Weichert Financial ServicesWeichert Financial Servicesconsumer protection violation2009KY-FIN$5,000
PHH Mortgage Corp.Ocwen Financialconsumer protection violation2011KY-FIN$5,000
Stonegate Mortgage Corp.Home Point Capitalconsumer protection violation2013KY-FIN$5,000
AmeriSave Mortgage Corp.AmeriSave Mortgageconsumer protection violation2019KY-FIN$5,000
Progressive Paloverde Insurance Co.Progressiveinsurance violation2019LA-INS$5,000
American Modern Home Insurance Co.Munich Reinsurance violation2010MD-INS$5,000
Travelers Casualty and Surety Company of AmericaTravelersinsurance violation2011MD-INS$5,000
Gerber Life Insurance Co.Western & Southern Financial Groupinsurance violation2011MD-INS$5,000
Transamerica Life Insurance Co.Aegoninsurance violation2011MD-INS$5,000
United States Life Insurance Company In the City of New YorkAmerican International Groupinsurance violation2011MD-INS$5,000
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2012MD-INS$5,000
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2012MD-INS$5,000
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2012MD-INS$5,000
Metropolitan Life Insurance Co.MetLifeinsurance violation2012MD-INS$5,000
Peerless Indemnity Insurance Co. et al.Liberty Mutual Insuranceinsurance violation2013MD-INS$5,000
Group Hospitalization & Medical Services, Inc.CareFirst of Marylandinsurance violation2013MD-INS$5,000
CareFirst BlueChoice, Inc.CareFirst of Marylandinsurance violation2013MD-INS$5,000
CareFirst BlueChoice, Inc.CareFirst of Marylandinsurance violation2013MD-INS$5,000
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2013MD-INS$5,000
Allstate Indemnity Co.Allstateinsurance violation2014MD-INS$5,000
Elephant Insurance Co.Admiral Groupinsurance violation2014MD-INS$5,000
USAA Casualty Insurance Co. et al.USAAinsurance violation2014MD-INS$5,000
SAFECO Insurance Company of America et al.Liberty Mutual Insuranceinsurance violation2014MD-INS$5,000
Elephant Insurance Co.Admiral Groupinsurance violation2014MD-INS$5,000
Allstate Insurance Co.Allstateinsurance violation2015MD-INS$5,000
Homesite Insurance Company of the MidwestAmerican Family Insuranceinsurance violation2015MD-INS$5,000
Unitrin Direct Property & Casualty Co. et al.Kemperinsurance violation2015MD-INS$5,000
American Automobile Insurance Co.Allianzinsurance violation2015MD-INS$5,000
Fireman's Fund Insurance Co.Allianzinsurance violation2015MD-INS$5,000
Erie Insurance ExchangeErie Indemnityinsurance violation2016MD-INS$5,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2016MD-INS$5,000
Safety National Casualty Corp.Tokio Marineinsurance violation2017MD-INS$5,000
Allied Property And Casualty Insurance Co. et al.Nationwideinsurance violation2017MD-INS$5,000
CareFirst BlueChoice, Inc.CareFirst of Marylandinsurance violation2018MD-INS$5,000
Bankers Life & Casualty Co.CNO Financialinsurance violation2003ME-INS$5,000
John Alden Life Insurance Co.Assurantinsurance violation2004ME-INS$5,000
John Alden Life Insurance Co.Assurantinsurance violation2004ME-INS$5,000
Hartford Fire Insurance Co.Hartford Financial Servicesinsurance violation2007ME-INS$5,000
Hartford Accident and Indemnity Co.Hartford Financial Servicesinsurance violation2007ME-INS$5,000
Hartford Casualty Insurance Co.Hartford Financial Servicesinsurance violation2007ME-INS$5,000
Hartford Underwriters Insurance Co.Hartford Financial Servicesinsurance violation2007ME-INS$5,000
Twin City Fire Insurance Co.Hartford Financial Servicesinsurance violation2007ME-INS$5,000
Prosper Marketplace, Inc.Prosper Marketplaceinvestor protection violation2011ME-SEC$5,000
Solium Financial Services, LLCMorgan Stanleyinvestor protection violation2020ME-SEC$5,000
Fortis Insurance Co. and Fortis Benefits Insurance Co.Assurantinsurance violation2001MN-FIN$5,000
American Express Financial Advisors, Inc.Ameriprise Financialinvestor protection violation2002MN-FIN$5,000
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2002MN-FIN$5,000
Travelers Indemnity Co.Travelersinsurance violation2002MN-FIN$5,000
Illinois Union Insurance Co.Chubb Limitedinsurance violation2002MN-FIN$5,000
Chubb Indemnity Insurance Co.Chubb Limitedinsurance violation2002MN-FIN$5,000
Auto-Owners Insurance Co.Auto-Owners Insuranceinsurance violation2003MN-FIN$5,000
Foremost Insurance Co.Zurich Insuranceinsurance violation2003MN-FIN$5,000
Conseco Senior Health Insurance Co.CNO Financialinsurance violation2004MN-FIN$5,000
Conseco Health Insurance Co.CNO Financialinsurance violation2004MN-FIN$5,000
Fortis Insurance Co.Assurantinsurance violation2004MN-FIN$5,000
John Alden Life Insurance Co.Assurantinsurance violation2004MN-FIN$5,000
Safeco Insurance Company of IllinoisLiberty Mutual Insuranceinsurance violation2004MN-FIN$5,000
Metropolitan Property and Casualty Insurance Co.Zurich Insuranceinsurance violation2005MN-FIN$5,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2006MN-FIN$5,000
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2006MN-FIN$5,000
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2011MN-FIN$5,000
ING Financial Partners, Inc.Voya Financialinvestor protection violation2012MN-FIN$5,000
State Farm Fire and Casualty Co.State Farm Insuranceinsurance violation2012MN-FIN$5,000
Allstate Insurance Co.Allstateinsurance violation2012MN-FIN$5,000
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2013MN-FIN$5,000
QBE Insurance Co.QBE Insuranceinsurance violation2013MN-FIN$5,000
American Security Insurance CompanyAssurantinsurance violation2013MN-FIN$5,000
Progressive Casualty Insurance Co.Progressiveinsurance violation2014MN-FIN$5,000
QBE North AmericaQBE Insuranceinsurance violation2014MN-FIN$5,000
USAA Casualty Insurance Co.USAAinsurance violation2014MN-FIN$5,000
Philadelphia Indemnity Insurance Co.Tokio Marineinsurance violation2015MN-FIN$5,000
Transamerica Premier Life Insurance Co.Aegoninsurance violation2015MN-FIN$5,000
Philadelphia Indemnity Insurance Co.Tokio Marineinsurance violation2015MN-FIN$5,000
Prudential Insurance Company of AmericaPrudential Financialinsurance violation2016MN-FIN$5,000
AXA Equitable Life Insurance Co.Equitable Holdingsinsurance violation2016MN-FIN$5,000
State Farm Mutual Automobile Insurance Co.State Farm Insuranceinsurance violation2016MN-FIN$5,000
HCC Life Insurance Co.Tokio Marineinsurance violation2016MN-FIN$5,000
Allstate Insurance Co.Allstateinsurance violation2016MN-FIN$5,000
John Hancock Life & Health Insurance Co.Manulife Financialinsurance violation2016MN-FIN$5,000
ReliaStar Insurance Co.Voya Financialinsurance violation2017MN-FIN$5,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.