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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
ReliaStar Insurance Co.Voya Financialinsurance violation2017MN-FIN$5,000
Homesite Insurance Co.American Family Insuranceinsurance violation2019MN-FIN$5,000
Time Insurance Co.Haven Holdingsinsurance violation2019MN-FIN$5,000
Horace Mann Insurance Co.Horace Mann Educators Corp.insurance violation2020MN-FIN$5,000
Progressive Casualty Insurance CompanyProgressiveinsurance violation2020MN-FIN$5,000
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherinvestor protection violation2011MO-SEC$5,000
National General Insurance Co.Allstateinsurance violation2012MO-INS$5,000
Accident Fund General Insurance Co.AF Groupinsurance violation2018MO-INS$5,000
Accident Fund National Insurance Co.AF Groupinsurance violation2018MO-INS$5,000
Accident Fund Insurance Company of AmericaAF Groupinsurance violation2018MO-INS$5,000
United Wisconsin Insurance Co.AF Groupinsurance violation2018MO-INS$5,000
Transamerica Life Insurance Co.Aegoninsurance violation2019MO-INS$5,000
Transamerica Premier Life Insurance Co.Aegoninsurance violation2019MO-INS$5,000
Seneca Ins Co. Inc.Fairfax Financial Holdingsinsurance violation2004MS-INS$5,000
Safety National Casualty Corp.Tokio Marineinsurance violation2004MS-INS$5,000
Seneca Insurance Co. Inc.Fairfax Financial Holdingsinsurance violation2004MS-INS$5,000
Trumbull Insurance Co.Hartford Financial Servicesinsurance violation2002MT-INS$5,000
NEXT Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2010MT-SEC$5,000
Genworth Life and Annuity Insurance Co.Genworth Financialinsurance violation2011MT-INS$5,000
Metlife Investors USA Insurance CoMetLifeinvestor protection violation2012MT-SEC$5,000
John Hancock Life Insurance Co.Manulife Financialinsurance violation2013MT-INS$5,000
Travelers Casualty and Surety Co. et al.Travelersinsurance violation2013MT-INS$5,000
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2015MT-INS$5,000
AXA Equitable Life & Annuity Co.Equitable Holdingsinsurance violation2016MT-INS$5,000
Liberty Mutual Insurance Co.Liberty Mutual Insuranceinsurance violation2016MT-INS$5,000
Conseco Senior Health Insurance CompanyCNO Financialinsurance violation2001ND-INS$5,000
American Family Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2009ND-INS$5,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2002NE-DBF$5,000
Berthel, Fisher & Company Financial Services, Inc.Berthel Fisherinvestor protection violation2007NE-DBF$5,000
Progressive Northern Insurance CompanyProgressiveinsurance violation2006NH-INS$5,000
Allstate New Jersey Insurance CompanyAllstateinsurance violation2009NJ-DBI$5,000
Gallagher Benefit Services, Inc.Arthur J. Gallagher & Co.insurance violation2014NJ-DBI$5,000
LifeWise, A Premera Health Plan, Inc.Premera Blue Crossinsurance violation2002OR-FIN$5,000
Globe Life And Accident Insurance CompanGlobe Life Inc.insurance violation2002OR-FIN$5,000
Great American Insurance Company of New YorkAmerican Financial Groupinsurance violation2005OR-FIN$5,000
Ameritas Life Insurance Corp.Ameritas Mutual Holding Companyinsurance violation2006OR-FIN$5,000
Granite State Insurance CompanyAmerican International Groupinsurance violation2007OR-FIN$5,000
Reliance Standard Life Insurance CompanyTokio Marineinsurance violation2007OR-FIN$5,000
Liberty Northwest Insurance CorporationLiberty Mutual Insuranceinsurance violation2009OR-FIN$5,000
Bankers Life and Casualty CompanyCNO Financialinsurance violation2011OR-FIN$5,000
United of Omaha Life Insurance CompanyMutual of Omahainsurance violation2011OR-FIN$5,000
Metropolitan Life Insurance CompanyMetLifeinsurance violation2011OR-FIN$5,000
Hartford Life and Accident Insurance CompanyHartford Financial Servicesinsurance violation2012OR-FIN$5,000
USAA General Indemnity CompanyUSAAinsurance violation2018OR-FIN$5,000
Minnesota Life Insurance CompanySecurian Financialinsurance violation2019OR-FIN$5,000
Affinity Insurance Services Inc.Aoninsurance violation2004PA-INS$5,000
Bankers Life and Casualty CompanyCNO Financialinsurance violation2004PA-INS$5,000
Foremost Insurance Company of Grand Rapids, MichiganZurich Insuranceinsurance violation2005PA-INS$5,000
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2005PA-INS$5,000
Selective Insurance Company of South CarolinaSelective Insurance Groupinsurance violation2005PA-INS$5,000
Selective Way Insurance CompanySelective Insurance Groupinsurance violation2005PA-INS$5,000
Aon Risk Services Central Inc.Aoninsurance violation2008PA-INS$5,000
T.H.E. Insurance CompanyAXAinsurance violation2009PA-INS$5,000
Scor Reinsurance CompanySCORinsurance violation2009PA-INS$5,000
MLD Mortgage Inc. dba The Money StoreMLD Mortgage Inc. dba The Money Storeconsumer protection violation2009PA-BKG$5,000
Jefferson National Life Insurance CompanyNationwideinsurance violation2009PA-INS$5,000
MLD Mortgage Inc. dba The Money StoreMLD Mortgage Inc. dba The Money Storeconsumer protection violation2010PA-BKG$5,000
Lincoln Financial Advisors Corp.Lincoln Nationalinvestor protection violation2007RI-FIN$5,000
Travelers Indemnity Company of AmericaTravelersinsurance violation2009RI-FIN$5,000
Allstate Insurance CompanyAllstateinsurance violation2009RI-FIN$5,000
Homesite Insurance CompanyAmerican Family Insuranceinsurance violation2013RI-FIN$5,000
Metropolitan Property and Casualty CompanyZurich Insuranceinsurance violation2019RI-FIN$5,000
Merrill Lynch Life Insurance CompanyBank of Americainsurance violation2000SC-INS$5,000
Dairyland Insurance CompanySentry Insuranceinsurance violation2003SC-INS$5,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2013SD-INS$5,000
Catlin Insurance Company Inc.AXAinsurance violation2013SD-INS$5,000
Hartford Underwriters Insurance CompanyHartford Financial Servicesinsurance violation2013SD-INS$5,000
Hartford Insurance Company of the MidwestHartford Financial Servicesinsurance violation2013SD-INS$5,000
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2013SD-INS$5,000
Hartford Accident and IndemnityHartford Financial Servicesinsurance violation2013SD-INS$5,000
Hartford Fire Insurance CompanyHartford Financial Servicesinsurance violation2013SD-INS$5,000
Hartford Accident and IndemnityHartford Financial Servicesinsurance violation2013SD-INS$5,000
Hartford Fire Insurance CompanyHartford Financial Servicesinsurance violation2013SD-INS$5,000
Sentinel Insurance Company Ltd.Hartford Financial Servicesinsurance violation2013SD-INS$5,000
Twin City Fire Insurance CompanyHartford Financial Servicesinsurance violation2013SD-INS$5,000
Property & Casualty Insurance Company of HartfordHartford Financial Servicesinsurance violation2013SD-INS$5,000
Protective Life Insurance CompanyDai-ichi Lifeinsurance violation2014SD-INS$5,000
General Casualty Company of WisconsinQBE Insuranceinsurance violation2014SD-INS$5,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2014SD-INS$5,000
American Memorial Life Insurance CompanyAssurantinsurance violation2016SD-INS$5,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2016SD-INS$5,000
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2017SD-INS$5,000
Genworth Life Insurance CompanyGenworth Financialinsurance violation2019SD-INS$5,000
Sentry InsuranceSentry Insuranceinsurance violation2008TX-INS$5,000
A.G. Edwards & Sons Inc.Wells Fargoinvestor protection violation2008TX-SEC$5,000
LPL Financial CorporationLPL Financialinvestor protection violation2008TX-SEC$5,000
Wausau Business Insurance CompanyLiberty Mutual Insuranceinsurance violation2010TX-INS$5,000
Safeco Lloyds Insurance Co.Liberty Mutual Insuranceinsurance violation2010TX-INS$5,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2011TX-INS$5,000
Hartford Underwriters Insurance CompanyHartford Financial Servicesinsurance violation2012TX-INS$5,000
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2012TX-INS$5,000
Wausau Underwriters Insurance CompanyLiberty Mutual Insuranceinsurance violation2012TX-INS$5,000
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2012TX-INS$5,000
Hartford Insurance Company of the MidwestHartford Financial Servicesinsurance violation2012TX-INS$5,000
Standard Fire Insurance CompanyTravelersinsurance violation2013TX-INS$5,000
National Interstate Insurance CompanyAmerican Financial Groupinsurance violation2014TX-INS$5,000
Safety National Casualty CorporationTokio Marineinsurance violation2015TX-INS$5,000
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2015TX-INS$5,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2016TX-INS$5,000
The Standard Fire Insurance CompanyTravelersinsurance violation2016TX-INS$5,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2017TX-INS$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.