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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
Monumental Life Insurance Co.Aegoninsurance violation2015AZ-DIFI$57,000
FORTIS INSURANCE COMPANYAssurantinsurance violation2001VA-INS$57,000
National City BankPNC Financial Servicesbanking violation2003OCC$56,800
Nationwide General Insurance Co. et al.Nationwideinsurance violation2019DE-INS$56,600
TCF National BankHuntington Bancsharesbanking violation2016OCC$56,500
Progressive Direct Insurance CompanyProgressiveinsurance violation2020CT-INS$56,500
Permanent General Assurance Corp.American Family Insuranceinsurance violation2019CO-INS$56,494
UBS Financial ServicesUBSinvestor protection violation2014SEC$56,400
INDEPENDENT BANKIndependent Bank Corp. (Michigan)banking violation2015FED$56,205
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2014SEC$56,000
Old National BankOld National Bancorpbanking violation2008OCC$56,000
Ace American Insurance Co.Chubb Limitedinsurance violation2007FL-OFR$56,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2014TX-INS$56,000
Federal Home Loan Mortgage Corp.Freddie Mac (Federal Home Loan Mortgage Corporation)environmental violation2012VA-ENV$55,802
AIG Property Casualty CompanyAmerican International Groupinsurance violation2016TX-INS$55,800
CATHAY BANKCathay General Bancorpbanking violation2008FDIC$55,500
Bankers Life and Casualty Co.CNO Financialinsurance violation2016DE-INS$55,500
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2009MO-INS$55,496
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankwage and hour violation2005WHD$55,208
Citibank N.A.Citigroupprivacy violation2013CT-AG$55,000
The Travelers Indemnity Company of America et al.Travelersinsurance violation2014MD-INS$55,000
Household Finance CorpoationHSBCconsumer protection violation2008NE-DBF$55,000
MLD Mortgage Inc. dba The Money StoreMLD Mortgage Inc. dba The Money Storeconsumer protection violation2016PA-BKG$55,000
Stewart Title Guaranty CompanyStewart Information Servicesinsurance violation2009TX-INS$55,000
Travelers Indemnity CompanyTravelersinsurance violation2010TX-INS$55,000
Chubb Lloyds Insurance Company of TexasChubb Limitedinsurance violation2018TX-INS$55,000
National Union Fire Insurance Company Of Pittsburgh, PaAmerican International Groupinsurance violation2010WA-INS$55,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2016WA-FIN$55,000
First American Title Co.First American Financialinsurance violation2021CA-INS$55,000
Marsh USA Inc.Marsh & McLennaninsurance violation2023AK-INS$55,000
R.R. DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2002OSHA$55,000
United Casualty Insurance Company of AmericaKemperinsurance violation2019MD-INS$54,900
MetLife Investors USA Insurance CompanyMetLifeinsurance violation2009NH-INS$54,524
CINCINNATI INSURANCE COMPANYCincinnati Financialinsurance violation2016VA-INS$54,475
Countrywide Financial CorporationBank of Americawage and hour violation2004WHD$54,453
Household InternationalHSBCwage and hour violation2003WHD$54,328
Highmark, Inc.Highmark Inc.campaign finance violation2005FEC$54,078
J.P. Morgan SecuritiesJPMorgan Chaseinvestor protection violation2014SEC$54,000
Countrywide Home Loans, Inc.Bank of Americaconsumer protection violation2010IL-BKG$54,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2014CT-SEC$53,800
American Zurich Insurance CompanyZurich Insuranceinsurance violation2018TX-INS$53,750
Sentry InsuranceSentry Insuranceconsumer protection violation2014MA-AG$53,430
Wausau Underwriters Insurance Co.Liberty Mutual Insuranceinsurance violation2002FL-OFR$53,000
Life Investors Insurance Company of AmericaAegoninsurance violation2006FL-OFR$53,000
Jackson National Life Insurance Co.Jackson Financialinsurance violation2010FL-OFR$53,000
Freedom Mortgage Corp.Freedom Mortgageconsumer protection violation2009WA-FIN$52,791
PROGRESSIVE NORTHERN INSURANCEProgressiveinsurance violation2016VA-INS$52,619
Investment Professionals, Inc.Ameriprise Financialinvestor protection violation2009MO-SEC$52,500
Thomas Weisel Partners LLCStifel Financialinvestor protection violation2006CT-SEC$52,480
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020PA-BKG$52,372
Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2009MO-SEC$52,300
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020CA-DFPI$52,047
Ocwen Financial Solutions, Private Ltd.Ocwen Financialconsumer protection violation2017CA-DFPI$52,000
Nationwide Insurance Company of America et al.Nationwideinsurance violation2011IA-INS$52,000
First American Title Insurance Co.First American Financialinsurance violation2020MD-INS$52,000
CIT GroupFirst Citizens BancSharesconsumer protection violation2009NE-DBF$52,000
Hartford Accident and Indemnity CompanyHartford Financial Servicesinsurance violation2022TX-INS$52,000
Mutual of Omaha BankFirst Citizens BancSharesbanking violation2013OCC$51,765
AIG Assurance CompanyAmerican International Groupinsurance violation2016TX-INS$51,750
RBC Capital Markets Corp.Royal Bank of Canadainvestor protection violation2010NJ-AG$51,724
SunTrust Mortgage Inc.Truist Financialwage and hour violation2012WHD$51,518
J.P. Morgan SecuritiesJPMorgan Chaseinvestor protection violation2014DE-AG$51,400
NATIONWIDE MUTUAL FIRE, ET AL.Nationwideinsurance violation2011VA-INS$51,384
Huntington National BankHuntington Bancshareswage and hour violation2005WHD$51,259
Nationwide Mutual Insurance Co.Nationwideinsurance violation2016MO-INS$51,250
Wells Fargo Bank, National AssociationWells Fargobanking violation2009OCC$51,205
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020CT-SEC$51,136
J.P. Morgan Securities, LLCJPMorgan Chaseinvestor protection violation2014AK-DBS$51,120
Jackson FinancialJackson Financialwage and hour violation2018MI-LEO$51,118
Permanent General Assurance Corporation of OhioAmerican Family Insuranceinsurance violation2019CO-INS$50,974
STATE FARM MUTUAL INSURANCE COState Farm Insuranceinsurance violation2017VA-INS$50,600
ESURANCE INSURANCE COMPANYAllstateinsurance violation2015VA-INS$50,508
J.P. Morgan Securities, LLCJPMorgan Chaseinvestor protection violation2014NJ-AG$50,460
Buckeye Partners LPIFM Investorsenvironmental violation2017PHMSA$50,400
Banco PopularPopular Inc.wage and hour violation2016private lawsuit-federal$50,243
USAA General Indemnity CompanyUSAAinsurance violation2023OR-FIN$50,200
E*Trade Group, Inc.Morgan Stanleybenefit plan administrator violation2008EBSA$50,001
FRED ALGER & COMPANY, INCORPORATEDAlger Associatesbenefit plan administrator violation2007EBSA$50,001
FIRST FINANCIAL BANCORPFirst Financial Bancorp.benefit plan administrator violation2007EBSA$50,001
LAVA TRADING INC.Citigroupbenefit plan administrator violation2006EBSA$50,001
AMERICAN INTERNATIONAL GROUP INC GROUP LIFE & MEDICAL INSURANCE PLANAmerican International Groupbenefit plan administrator violation2005EBSA$50,001
OCWEN FINANCIAL CORPORATIONOcwen Financialbenefit plan administrator violation2020EBSA$50,001
OCWEN FINANCIAL CORPORATIONOcwen Financialbenefit plan administrator violation2020EBSA$50,001
OCWEN FINANCIAL CORPORATIONOcwen Financialbenefit plan administrator violation2020EBSA$50,001
Buckeye PartnersIFM Investorsrailroad safety violation2014FRA$50,000
UBS Fund Advisor, LLCUBSdata submission deficiencies2009CFTC$50,000
Guy Carpenter & Company, IncMarsh & McLennaneconomic sanction violation2003OFAC$50,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2009SEC$50,000
Western Asset Management Co.Franklin Resourcesinvestor protection violation2001SEC$50,000
Legg Mason Fund Adviser, Inc.Franklin Resourcesinvestor protection violation2001SEC$50,000
Legg Mason Wood Walker, IncorporatedFranklin Resourcesinvestor protection violation2001SEC$50,000
Asurion, LLCAsurionemployment discrimination2019EEOC$50,000
Bank of AmericaBank of Americadiscriminatory practices (non-employment)2006MA-AG$50,000
Liberty MutualLiberty Mutual Insuranceconsumer protection violation2007MA-AG$50,000
Liberty Mutual Insurance Group Inc.Liberty Mutual Insuranceconsumer protection violation2018MA-AG$50,000
Metropolitan Property and Casualty Insurance Co.Zurich Insuranceconsumer protection violation2013MA-AG$50,000
United Services Automobile AssociationUSAAdiscriminatory practices (non-employment)2014MA-AG$50,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2017AR-INS$50,000
IberiaBank Mortgage Co.First Horizon Nationalconsumer protection violation2016AR-SEC$50,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2018AR-SEC$50,000
American Family Connect Property and Casualty Insurance CompanyAmerican Family Insuranceinsurance violation2020AZ-DIFI$50,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.