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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $388,129,347,579
Number of Records: 7,728
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$39,688,888,209277
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.

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CompanyCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount sort icon
Morgan Stanley & Co. Inc.Morgan Stanleyinvestor protection violation2009MD-SEC$100,000
JPMorgan Chase Bank, N.A.JPMorgan Chaseinvestor protection violation2017MD-SEC$100,000
CUNA Mutual Insurance SocietyCUNA Mutualinsurance violation2011ME-INS$100,000
Progressive Northwestern Insurance Co.Progressiveinsurance violation2011ME-INS$100,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2003MN-FIN$100,000
American Bankers Life Assurance Company of FloridaAssurantinsurance violation2003MN-FIN$100,000
National Union Fire Insurance Company of Pittsburgh, Pa.American International Groupinsurance violation2010MN-FIN$100,000
Transamerica Life Insurance Co. and Transamerica Premier Life Insurance Co.Aegoninsurance violation2019MN-FIN$100,000
Edward JonesJones Financialinvestor protection violation2010MT-FIN$100,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2010NH-INS$100,000
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesinsurance violation2012NJ-DBI$100,000
Pruco Securities, LLCPrudential Financialinvestor protection violation2013NJ-BOS$100,000
Travelers Home & Marine Insurance CompanyTravelersinsurance violation2014NY-DFS$100,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2015NY-DFS$100,000
BCS Insurance CompanyBCS Financial Corporationinsurance violation2016NY-DFS$100,000
LPL Financial LLCLPL Financialinvestor protection violation2011OR-FIN$100,000
MML Investors Services LLCMassachusetts Mutual Life Insuranceinvestor protection violation2015PA-BKG$100,000
Travelers Indemnity Co.Travelersinsurance violation2017PA-INS$100,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2015SD-INS$100,000
American Family Life Assurance CompanyAflacinsurance violation2019SD-INS$100,000
Scottrade Inc.Charles Schwab Corp.investor protection violation2016TX-SEC$100,000
Lincoln National Life Insurance CompanyLincoln Nationalinsurance violation2016TX-INS$100,000
Travelers Casualty and Surety Company of AmericaTravelersinsurance violation2016TX-INS$100,000
The General Automobile Insurance Company Inc.American Family Insuranceinsurance violation2018TX-INS$100,000
Catlin Insurance Company Inc.AXAinsurance violation2018UT-INS$100,000
UBS FINANCIAL SERVICES, INC.UBSinvestor protection violation2007VA-SEC$100,000
AIU INSURANCE COMPANY ET AL.American International Groupinsurance violation2008VA-INS$100,000
National Union Fire Insurance Company Of Pittsburgh, PaAmerican International Groupinsurance violation2010WA-INS$100,000
Fidelity National Title Insurance CompanyFidelity National Financialinsurance violation2012WA-INS$100,000
Hartford Accident & Indemnity Company et al.Hartford Financial Servicesinsurance violation2013WA-INS$100,000
Farmers Insurance Company Of WashingtonZurich Insuranceinsurance violation2015WA-INS$100,000
Metropolitan Life Insurance CompanyMetLifeinsurance violation2016WA-INS$100,000
Lincoln National Life Insurance CompanyLincoln Nationalinsurance violation2019WA-INS$100,000
Principal Life Insurance Co.Principal Financialinsurance violation2000WA-INS$100,000
AIG Warranty Guard, Inc.American International Groupinsurance violation2000WI-INS$100,000
Conseco Senior Health Insurance Co.CNO Financialinsurance violation2008WI-INS$100,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2020MO-INS$100,000
Ameritas Investment Company LLCAmeritas Mutual Holding Companyinvestor protection violation2020PA-BKG$100,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2009FINRA$100,000
UBS Financial Services, Inc.UBSinvestor protection violation2009FINRA$100,000
Pruco SecuritiesPrudential Financialinvestor protection violation2008FINRA$100,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2008FINRA$100,000
Northwestern Mutual Investment Services, LLCNorthwestern Mutualinvestor protection violation2007FINRA$100,000
AllianceBernstein Investments, Inc.Equitable Holdingsinvestor protection violation2007FINRA$100,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2006FINRA$100,000
SunTrust Capital Markets, Inc.Truist Financialinvestor protection violation2005FINRA$100,000
SunAmerica Securities, Inc.American International Groupinvestor protection violation2004FINRA$100,000
CUNA Brokerage Services, Inc.CUNA Mutualinvestor protection violation2001FINRA$100,000
Kemper Distributors, Inc.Kemperinvestor protection violation2000FINRA$100,000
Prudential Securities, Inc.Wells Fargoinvestor protection violation2000FINRA$100,000
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2021WA-INS$100,000
Chubb Seguros Mexico, S.A.Chubb Limitedinsurance violation2022TX-INS$100,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2009TX-PUC$100,000
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceinsurance violation2021WA-INS$100,000
Acadia Insurance CompanyW.R. Berkleyinsurance violation2022VT-FIN$100,000
State Farm Mutual Automobile Insurance Company et al.State Farm Insuranceinsurance violation2022AZ-DIFI$100,000
Citizens BankCitizens Financial Groupemployment discrimination2023EEOC$100,000
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceinsurance violation2024OR-FIN$100,000
STATE FARM FIRE & CASUALTY COMPANY et al.State Farm Insuranceinsurance violation2024WA-INS$100,000
Universal Property & Casualty Insurance Co.Universal Insurance Holdingsinsurance violation2009FL-OFR$99,000
SCOR Global Life U.S. Re Insurance CompanySCORinsurance violation2011TX-INS$99,000
Glencore Ltd.Glencoreair pollution violation2013EPA$98,954
Mutual of Omaha BankFirst Citizens BancSharesbanking violation2019OCC$98,415
Peter Cremer North AmericaCremerenvironmental violation2013EPA$98,000
Synagro West, LLCGoldman Sachswage and hour violation2005WHD$97,862
Branch Banking and Trust CompanyTruist Financialinvestor protection violation2016SC-SEC$97,500
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2023TX-INS$97,200
AMERICAN BANKERS LIFEAssurantinsurance violation2007VA-INS$97,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2000FINRA$97,000
The Cincinnati Insurance CompanyCincinnati Financialinsurance violation2021MD-INS$96,980
Travelers Indemnity Co. et al.Travelersinsurance violation2016VT-FIN$96,000
Independent BankIndependent Bank Corp. (Michigan)benefit plan administrator violation2011EBSA$95,700
Swiss Re Financial Products CorporationSwiss Reinvestor protection violation2007SEC$95,000
Regions Financial CorporationRegions Financialemployment discrimination2013EEOC$95,000
Hartford Life and Accident Insurance Co.Hartford Financial Servicesinsurance violation2011MD-INS$95,000
Safeco Insurance Company of IllinoisLiberty Mutual Insuranceinsurance violation2015MT-FIN$95,000
LPL Financial LLCLPL Financialinvestor protection violation2016TX-SEC$95,000
John Hancock Life Insurance CompanyManulife Financialinsurance violation2023RI-FIN$95,000
VITOL SA, INCVitolair pollution violation2002EPA$95,000
HOMESITE INSURANCE COMPANYAmerican Family Insuranceinsurance violation2016VA-INS$94,986
New York LifeNew York Life Insurancewage and hour violation2016private lawsuit-federal$94,818
Zenith Insurance Co.Fairfax Financial Holdingsinsurance violation2012MO-INS$93,842
Lawyers Title CompanyFidelity National Financialinsurance violation2018UT-INS$93,500
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2010MO-SEC$92,015
Bristol West Casualty Insurance Company and Bristol West Insurance CompanyZurich Insuranceinsurance violation2020VA-INS$91,872
IFCO SYSTEMSTriton Investments Adviserslabor relations violation2013NLRB$91,866
ACADIA INSURANCE COMPANY ET ALW.R. Berkleyinsurance violation2018VA-INS$91,793
Hartford Life and Annuity Insurance CompanyHartford Financial Servicesinsurance violation2012NC-INS$91,500
Watson Wyatt & Co.Willis Towers Watsonlabor relations violation2005NLRB$91,000
Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2021DE-INS$91,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2023TX-INS$90,950
UBS, Inc.UBSwage and hour violation2013WHD$90,902
UMPQUA BANKUmpqua Holdingsbanking violation2008FDIC$90,240
Erie Insurance Company and Erie Insurance ExchangeErie Indemnityinsurance violation2019VA-INS$90,219
GOODRICH AVIATION TECHNICAL SERVICES INCMacquarieaviation safety violation2005FAA$90,000
Goldman Sachs Bank USAGoldman Sachsbanking violation2018FED$90,000
John Alden Life Insurance Co.Assurantinsurance violation2013AZ-DIFI$90,000
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2020MD-INS$90,000
Genworth Mortgage Insurance Corp.Genworth Financialinsurance violation2015MN-FIN$90,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2014NH-BSR$90,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020NH-BSR$90,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.