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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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$39,340,688,209275
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
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2015NH-BKG$75,000
Transamerica Premier Life Insurance CompanyAegoninsurance violation2016NJ-DBI$75,000
Permanent General Assurance CorporationAmerican Family Insuranceinsurance violation2014NY-DFS$75,000
Marsh USA, Inc.Marsh & McLennaninsurance violation2005OR-FIN$75,000
American General Financial Services Inc.OneMain Holdingsprivacy violation2010OR-FIN$75,000
State Farm VP Management Corp.State Farm Insuranceinvestor protection violation2013PA-BKG$75,000
Accident Fund General Insurance CompanyAF Groupinsurance violation2018TX-INS$75,000
Oscar Insurance CompanyOscar Health Inc.insurance violation2018TX-INS$75,000
Merrill Lynch, Pierce, Fenner & Smith, IncorporatedBank of Americainvestor protection violation2006VA-SEC$75,000
Unum Life Insurance Company Of AmericaUnuminsurance violation2011WA-INS$75,000
American Income Life Insurance CompanyGlobe Life Inc.insurance violation2013WA-INS$75,000
National General Insurance CompanyAllstateinsurance violation2020AZ-DIFI$75,000
Franklin Templeton Investments Corp.Franklin Resourcesinvestor protection violation2020SEC$75,000
Freedom Mortgage CorporationFreedom Mortgageconsumer protection violation2020CA-DFPI$75,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2021CA-MHC$75,000
Nationwide Mutual Insurance Company et al.Nationwideinsurance violation2021TX-INS$75,000
Spear, Leeds & Kellogg, L.P.Goldman Sachsinvestor protection violation2004FINRA$75,000
BB&T Equipment Finance LLCTruist Financialconsumer protection violation2021CA-DFPI$75,000
Foremost Insurance Company Grand Rapids MichiganZurich Insuranceinsurance violation2021WA-INS$75,000
Bankers Conseco Life Insurance CompanyCNO Financialinsurance violation2020NY-DFS$75,000
Travelers Casualty and Surety Company of AmericaTravelersinsurance violation2021NY-DFS$75,000
AIG Property Casualty CompanyAmerican International Groupinsurance violation2023TX-INS$75,000
State Farm Fire and Casualty Company et al.State Farm Insuranceinsurance violation2023TX-INS$75,000
AllstateAllstatewage and hour violation2021IL-DOL$75,000
American General Financial ServicesOneMain Holdingsconsumer protection violation2009WA-FIN$74,984
CIT Group Inc.First Citizens BancSharesexport control violation2005BIS$74,800
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2011PHMSA$74,400
Old Republic National Title Insurance Co.Old Republic Internationalinsurance violation2011MO-INS$74,000
Ace American Insurance CompanyChubb Limitedinsurance violation2010TX-INS$74,000
IFCO SYSTEMS NORTH AMERICA INC.Triton Investments Advisersworkplace safety or health violation2011OSHA$73,950
Trafigura AGTrafiguraenvironmental violation2012EPA$73,465
JP Morgan Chase & Co.JPMorgan Chaseeconomic sanction violation2004OFAC$73,281
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2010MO-INS$73,113
John Hancock Life Insurance Company of New YorkManulife Financialinsurance violation2017NY-DFS$73,000
First American Title Insurance Company:First American Financialinsurance violation2014UT-INS$73,000
AllstateAllstatewage and hour violation2021IL-DOL$73,000
Ameritas Life Insurance Corp. of New YorkAmeritas Mutual Holding Companyinsurance violation2015NY-DFS$72,975
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2019MSHA$72,600
UBS Financial Services Inc.UBSinvestor protection violation2012NH-BSR$72,500
Ace American Insurance CompanyChubb Limitedinsurance violation2023CT-INS$72,500
CITIGROUP GLOBAL MARKETS INCCitigroupinvestor protection violation2004VA-SEC$72,486
VICTORIA FIRE AND CASUALTY CO.Nationwideinsurance violation2014VA-INS$72,400
The First American Title CompanyFirst American Financialwage and hour violation2006WHD$72,363
BB&TTruist Financialwage and hour violation2018private lawsuit-federal$72,336
Seneca Insurance Co.Fairfax Financial Holdingsinsurance violation2005NJ-DBI$72,256
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2022DE-SEC$72,255
Seterus, Inc.Mr. Cooper Grouplabor relations violation2013NLRB$72,162
American Zurich Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$72,000
United Services Automobile Association et al.USAAconsumer protection violation2022VA-INS$71,358
Standard Fire Insurance CompanyTravelersinsurance violation2018OR-FIN$71,200
Litton Loan ServicingOcwen Financialconsumer protection violation2010MD-FIN$71,000
Saxon Mortgage ServicesOcwen Financialconsumer protection violation2010MD-FIN$71,000
Compass BankPNC Financial Servicesbanking violation2009FED$70,625
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2012CO-INS$70,400
Transamerica Life Insurance CompanyAegonwage and hour violation2015WHD$70,143
Praetorian Insurance Co. and QBE Insurance Corp. and QBE Speciality Insurance Co.QBE Insuranceinsurance violation2019DE-INS$70,100
UBS Financial Services, Inc.UBSinvestor protection violation2013DE-AG$70,077
German American BancorpGerman American Bancorpbanking violation2013FDIC$70,000
Grandbridge Real Estate Capital, LLCTruist Financiallabor relations violation2015NLRB$70,000
Wilmington Trust Co.M&T Bankemployment discrimination2004EEOC$70,000
Permanent General Assurance Corp.American Family Insuranceinsurance violation2011AZ-DIFI$70,000
John Hancock Life Insurance Co.Manulife Financialinsurance violation2011CA-INS$70,000
Progressive Direct Insurance Co.Progressiveinsurance violation2018MD-INS$70,000
Illinois Farmers Insurance Co.Zurich Insuranceinsurance violation2008MN-FIN$70,000
Fortis Insurance Co. et al.Assurantinsurance violation2004MT-FIN$70,000
AXA Art Insurance CorporationAXAinsurance violation2015NY-DFS$70,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2016TX-INS$70,000
Permanent General Assurance CorporationAmerican Family Insuranceinsurance violation2018TX-INS$70,000
LM General Insurance CompanyLiberty Mutual Insuranceinsurance violation2019UT-INS$70,000
Progressive Northern Insurance Co.Progressiveinsurance violation2001WI-INS$70,000
Vitol, Inc.Vitolenvironmental violation2014CA-ARB$70,000
THE HENNEGAN COMPANYChatham Asset Managementenvironmental violation2004KY-ENV$70,000
Schwab Capital Markets, L.P.UBSinvestor protection violation2004FINRA$70,000
Ace American Insurance CompanyChubb Limitedinsurance violation2023TX-INS$69,750
CNO Services, LLCCNO Financialwage and hour violation2010WHD$69,610
ALLSTATEAllstateworkplace safety or health violation2002OSHA$69,500
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020CO-SEC$69,338
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2013PHMSA$69,100
Arch Insurance Co.Arch Capitalinsurance violation2021TX-INS$69,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2023TX-INS$69,000
Northwestern MutualNorthwestern Mutualwage and hour violation2016MI-LEO$68,815
ALLIED PROPERTY & CASUALTY INSURANCE CO.Nationwideinsurance violation2016VA-INS$68,669
Fidelity National Title Insurance CompanyFidelity National Financialkickbacks and bribery2007HUD$68,635
Safeco Insurance Company of America et al.Liberty Mutual Insuranceinsurance violation2007MO-INS$68,524
Nationwide Credit, Inc.Altisource Portfolio Solutionswage and hour violation2005WHD$68,433
BANK OF THE WESTBank of Montrealbanking violation2010FDIC$68,200
Chubb National Insurance Co.Chubb Limitedinsurance violation2012MO-INS$68,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2011TX-INS$68,000
John Hancock Life Insurance Company (U.S.A.)Manulife Financialinsurance violation2022CT-INS$68,000
BUCKEYE TERMINALS, LLCIFM Investorsenvironmental violation2021EPA$67,856
Investment Professionals Inc.Ameriprise Financialinvestor protection violation2014SEC$67,800
Wells Fargo Bank, N.AWells Fargoeconomic sanction violation2010OFAC$67,500
Trumbull Insurance Co.Hartford Financial Servicesinsurance violation2017MD-INS$67,500
Travelers Casualty and Surety Co.Travelersinsurance violation2018MD-INS$67,500
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2017UT-INS$67,500
USAA General Indemnity Co. et al.USAAinsurance violation2020MD-INS$67,500
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2014SEC$67,200
ServiceLink LLCFidelity National Financialinsurance violation2022IN-INS$67,175
THE GENERAL AUTOMOBILE INSURANCE CO.American Family Insuranceinsurance violation2018VA-INS$66,996
American International Insurance Co. and AIG National Insurance Company, Inc.American International Groupinsurance violation2003FL-OFR$66,750
SENTINEL INSURANCE COMPANY LTDHartford Financial Servicesinsurance violation2012VA-INS$66,735
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.