Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $394,610,993,640
Number of Records: 7,983
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$87,299,969,499332
JPMorgan Chase$40,164,908,209281
UBS$31,275,299,125181
Wells Fargo$27,617,269,231267
Citigroup$27,081,211,792183
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,919,491,249115
NatWest Group PLC$14,264,317,61841
Morgan Stanley$10,909,502,443206
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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount sort icon
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
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2013NJ-DBI$90,000
National Interstate Insurance CompanyAmerican Financial Groupinsurance violation2015NY-DFS$90,000
Cadaret Grant & Co. Inc.Atria Wealth Solutionsinvestor protection violation2019PA-BKG$90,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2016SC-INS$90,000
SCOR Global Life U.S. Re Insurance Company of TexasSCORinsurance violation2011TX-INS$90,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2015TX-INS$90,000
American Home Assurance CompanyAmerican International Groupinsurance violation2015TX-INS$90,000
Fidelity National Title Insurance CompanyFidelity National Financialinsurance violation2019TX-INS$90,000
HARTFORD CASUALTY INSURANCE COMPANYHartford Financial Servicesinsurance violation2020WA-INS$90,000
Banc of America Investment Services, Inc.Bank of Americainvestor protection violation2005FINRA$90,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2005FINRA$90,000
E-Trade SecuritiesMorgan Stanleyinvestor protection violation2001FINRA$90,000
Homesite Insurance CompanyAmerican Family Insuranceinsurance violation2024TX-INS$90,000
BUCKEYE PARTNERS LPIFM Investorspipeline safety violation2015PHMSA$89,400
Standard Fire Insurance Co.Travelersinsurance violation2015MO-INS$89,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2014TX-INS$89,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2007IN-INS$87,500
Rocket Mortgage, LLC fka Quicken Loans, LLCRocket Companies Inc.consumer protection violation2021WA-FIN$87,500
Mid-Century Insurance Co.Zurich Insuranceinsurance violation2015MO-INS$87,000
United American Insurance Co.Globe Life Inc.insurance violation2012CO-INS$86,500
John Alden Life Insurance Co.Assurantinsurance violation2012CO-INS$86,500
Allstate Fire and Casualty Insurance CompanyAllstateinsurance violation2022CT-INS$86,500
Farmers Insurance Exchange et al.Farmers Insurance Exchangeinsurance violation2022VA-INS$86,400
State Farm Fire & Casualty Co.State Farm Insuranceinsurance violation2015MO-INS$85,750
Safeco Insurance Company of AmericaLiberty Mutual Insurancewage and hour violation2009WHD$85,353
Wilmington Savings Fund Society, Federal Savings BankWSFS Financial Corp.banking violation2019OCC$85,265
Capital City BankCapital City Bank Groupbanking violation2007FED$85,045
Credit Lyonnais Rouse LimitedCredit Agricoleinvestor protection violation2005CFTC$85,000
American General Life Insurance Co.American International Groupinsurance violation2019DE-INS$85,000
American Alternative Insurance Corp.Munich Reinsurance violation2019MO-INS$85,000
Hartford Fire Insurance CompanyHartford Financial Servicesinsurance violation2011TX-INS$85,000
United Services Automobile Association (USAA)USAAinsurance violation2017VT-FIN$85,000
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2020SD-INS$85,000
AllstateAllstatewage and hour violation2021IL-DOL$85,000
Ameritas Life Insurance Corp. of New YorkAmeritas Mutual Holding Companyinsurance violation2020NY-DFS$84,668
Federal Insurance Co.Chubb Limitedinsurance violation2016MO-INS$84,500
IFCO Systems of North America, Inc.Triton Investments Adviserswage and hour violation2006WHD$84,459
Ocwen Financial CorporationOcwen Financialconsumer protection violation2019ME-AG$84,000
Sentinel Insurance Co.Hartford Financial Servicesinsurance violation2019CT-INS$84,000
Transamerica Premier Life Insurance CompanyAegoninsurance violation2021VT-FIN$84,000
BUCKEYE PARTNERS LPIFM Investorspipeline safety violation2013PHMSA$83,500
BUCKEYE PIPELINEIFM Investorsenvironmental violation2009IL-ENV$82,845
CIT Bank, National AssociationFirst Citizens BancSharesbanking violation2020OCC$82,500
IFCO Systems of North America Inc.Triton Investments Adviserswage and hour violation2006WHD$82,085
TD Ameritrade, Inc.Charles Schwab Corp.consumer protection violation2022TX-FIN$81,750
Progressive Casualty Insurance Co.Progressiveinsurance violation2018MD-INS$81,520
Nationwide Insurance Company of AmericaNationwideinsurance violation2007CO-INS$81,500
CMFG Life Insurance Co.CUNA Mutualinsurance violation2016MO-INS$81,500
CitiFinancial, Inc.Citigroupconsumer protection violation2007NE-DBF$81,500
BUCKEYE PARTNERS LPIFM Investorspipeline safety violation2011PHMSA$81,400
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2011CO-INS$81,400
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2015KS-INS$81,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2023TX-INS$80,300
Stifel, Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2011IL-SEC$80,224
Capital One BankCapital One Financialbanking violation2005WI-AG$80,032
LPL Financial LLCLPL Financialinvestor protection violation2018AL-SEC$80,000
Homebridge Financial Services, Inc.Homebridge Financial Servicesconsumer protection violation2017CA-DFPI$80,000
Liberty Mutual InsuranceLiberty Mutual Insuranceinsurance violation2018KS-INS$80,000
Harleysville Insurance Co.Nationwideinsurance violation2002MN-FIN$80,000
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherinvestor protection violation2013MO-SEC$80,000
Provident Life and Accident Insurance Co.Unuminsurance violation2000NC-INS$80,000
AXA Advisors LLCEquitable Holdingsinvestor protection violation2011OR-FIN$80,000
ACE Cash Express Inc.ACE Cash Expressconsumer protection violation2017PA-BKG$80,000
Elephant Insurance CompanyAdmiral Groupinsurance violation2020TX-INS$80,000
UBS AGUBSenvironmental violation2011CT-ENV$80,000
Imperial-Savannah, L.P.Louis Dreyfuswater pollution violation2011GA-ENV$80,000
Unitrin County Mutual Insurance CompanyKemperinsurance violation2020TX-INS$80,000
Aon Risk ServicesAonemployment discrimination2022NY-NYCCHR$80,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2024CA-MHC$80,000
Allstate Fire & Casualty Insurance CompanyAllstateinsurance violation2024NY-DFS$80,000
El Paso Electric CompanyJPMorgan Chaselabor relations violation2012NLRB$79,692
Lasalle Bank National AssociationBank of Americabanking violation2007OCC$79,524
Securian Financial Services, Inc.Securian Financialinvestor protection violation2009MO-SEC$79,445
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020FL-OFR$79,045
ELEPHANT INSURANCE COMPANYAdmiral Groupinsurance violation2018VA-INS$79,017
Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2017DE-INS$79,000
Ace American Insurance CompanyChubb Limitedinsurance violation2023UT-INS$79,000
BUCKEYE PARTNERS LPIFM Investorspipeline safety violation2013PHMSA$78,900
Buckeye Pipe Line Co.IFM Investorsoil spill2010EPA$78,780
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.