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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
American Family Connect Property and Casualty Insurance CompanyAmerican Family Insuranceinsurance violation2020AZ-DIFI$50,000
21st Century Insurance Co. and 21st Century Casualty Co.Zurich Insuranceinsurance violation2007CA-INS$50,000
SunTrust Mortgage, Inc.Truist Financialmortgage abuses2016CA-DFPI$50,000
Guaranteed Rate, Inc.Guaranteed Rate Inc.consumer protection violation2017CA-DFPI$50,000
Amerisave Mortgage Corp.AmeriSave Mortgageconsumer protection violation2017CA-DFPI$50,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2007CO-INS$50,000
Wilmington Trust Co.M&T Bankinvestor protection violation2005DE-SEC$50,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2005FL-OFR$50,000
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2005FL-OFR$50,000
Ticor Title Insurance Co.Fidelity National Financialinsurance violation2005FL-OFR$50,000
USAA Life Insurance Co.USAAinsurance violation2009FL-OFR$50,000
GMAC Mortgage, LLCAlly Financialconsumer protection violation2010IL-BKG$50,000
State Farm Mutual Automobile Insurance Co. and State Farm Fire and Casualty Co.State Farm Insuranceinsurance violation2011IL-INS$50,000
Farmers Insurance Company, Inc.Zurich Insuranceinsurance violation2013KS-INS$50,000
Wachovia Securities, LLCWells Fargoinvestor protection violation2008MD-SEC$50,000
National General Assurance Co.Allstateinsurance violation2011MD-INS$50,000
Wells Fargo Advisors LLCWells Fargoinvestor protection violation2012MD-SEC$50,000
Erie Insurance ExchangeErie Indemnityinsurance violation2012MD-INS$50,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2013MD-SEC$50,000
Phoenix Insurance Co. and Travelers Property Casualty Company of AmericaTravelersinsurance violation2013MD-INS$50,000
NYLIFE Securities LLCNew York Life Insuranceinvestor protection violation2019ME-SEC$50,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2020MI-SEC$50,000
Transamerica Life Insurance Co. et al.Aegoninsurance violation2012MN-FIN$50,000
USAA Casualty Insurance Co.USAAinsurance violation2015MN-FIN$50,000
Safeco Insurance Company of IllinoisLiberty Mutual Insuranceinsurance violation2016MN-FIN$50,000
State Farm Mutual Automobile Insurance Co.State Farm Insuranceinsurance violation2017MN-FIN$50,000
American Income Life Insurance Co.Globe Life Inc.insurance violation2002MS-INS$50,000
Conseco Life Insurance Co.CNO Financialinsurance violation2003MS-INS$50,000
MetLife Securities, Inc.MetLifeinvestor protection violation2006MS-SEC$50,000
Stifel, Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2017MS-SEC$50,000
Time Insurance Co.Haven Holdingsinsurance violation2010MT-FIN$50,000
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2013MT-FIN$50,000
Bankers Life and Casualty Co.CNO Financialinsurance violation2013MT-FIN$50,000
Hartford Life Insurance Co. and Hartford Life and Accident Insurance Co.Hartford Financial Servicesinsurance violation2016MT-FIN$50,000
Santander Securities, LLCBanco Santanderinvestor protection violation2019NH-BSR$50,000
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2015NJ-DBI$50,000
Western Sky Financial, LLC et al.CashCall Inc.consumer protection violation2013NV-BKG$50,000
Seneca Insurance Company, Inc.Fairfax Financial Holdingsinsurance violation2013NY-DFS$50,000
Selective Insurance Company of New YorkSelective Insurance Groupinsurance violation2014NY-DFS$50,000
Selective Insurance Company of AmericaSelective Insurance Groupinsurance violation2014NY-DFS$50,000
Selective Way Insurance CompanySelective Insurance Groupinsurance violation2014NY-DFS$50,000
Combined Life Insurance Company of New YorkChubb Limitedinsurance violation2015NY-DFS$50,000
Allstate Fire and Casualty Insurance CompanyAllstateinsurance violation2016NY-DFS$50,000
Hartford Life Insurance CompanyHartford Financial Servicesinsurance violation2016NY-DFS$50,000
Guardian Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2016NY-DFS$50,000
Mid-Century Insurance CompanyZurich Insuranceinsurance violation2019NY-DFS$50,000
Allstate Insurance CompanyAllstateinsurance violation2013OR-FIN$50,000
Hartford Insurance Company of the MidwestHartford Financial Servicesinsurance violation2019OR-FIN$50,000
Combined Insurance Company of AmericaChubb Limitedinsurance violation2005PA-INS$50,000
Marsh USA Inc.Marsh & McLennaninsurance violation2008PA-INS$50,000
Amerisave Mortgage CorporationAmeriSave Mortgageconsumer protection violation2009PA-BKG$50,000
Safeco Insurance Company of IndianaLiberty Mutual Insuranceinsurance violation2010PA-INS$50,000
General Casualty Company of WisconsinQBE Insuranceinsurance violation2015PA-INS$50,000
Ace American Insurance Company et al.Chubb Limitedinsurance violation2008TX-INS$50,000
Securian Financial Services Inc.Securian Financialinvestor protection violation2009TX-SEC$50,000
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2010TX-INS$50,000
Fidelity & Guaranty Insurance CompanyFidelity National Financialinsurance violation2010TX-INS$50,000
Stewart Title CompanyStewart Information Servicesinsurance violation2015TX-INS$50,000
Colonial County Mutual Insurance Company and Titan Insurance Services Inc.Nationwideinsurance violation2018TX-INS$50,000
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2011UT-INS$50,000
ALLSTATE INSURANCE CO., ET AL.Allstateinsurance violation2003VA-INS$50,000
Ace American Insurance CompanyChubb Limitedinsurance violation2011WA-INS$50,000
Allstate Insurance CompanyAllstateinsurance violation2011WA-INS$50,000
State Farm Fire & Casualty CompanyState Farm Insuranceinsurance violation2012WA-INS$50,000
American Guarantee & Liability Insurance Company et al.Zurich Insuranceinsurance violation2013WA-INS$50,000
Farmers Insurance Exchange And Mid-Century Insurance CompanyFarmers Insurance Exchangeinsurance violation2017WA-INS$50,000
Crestbrook Insurance CompanyNationwideinsurance violation2018WA-INS$50,000
Ameritas Life Insurance CorpAmeritas Mutual Holding Companyinsurance violation2019WA-INS$50,000
Producers Agriculture Insurance CompanyTokio Marineinsurance violation2019WA-INS$50,000
Farmers Insurance Company Of Washington And Farmers Insurance ExchangeZurich Insuranceinsurance violation2020WA-INS$50,000
AIG Warranty Guard, Inc.American International Groupinsurance violation2003WI-INS$50,000
Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2007WI-FIN$50,000
USAA Casualty Insurance Co.USAAinsurance violation2020OR-FIN$50,000
Northwestern Mutual Life Insurance Co.Northwestern Mutualinsurance violation2020WA-INS$50,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2020OR-FIN$50,000
Allstate Insurance CompanyAllstateinsurance violation2020OR-FIN$50,000
ACE AMERICAN INSURANCE COMPANY ET AL.Chubb Limitedinsurance violation2020WA-INS$50,000
JPMorgan Chase BankJPMorgan Chasediscriminatory practices (non-employment)2021HUD$50,000
First American Title Co.First American Financialinsurance violation2021CA-INS$50,000
PNC Capital Markets LLCPNC Financial Servicesinvestor protection violation2016FINRA$50,000
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.investor protection violation2008FINRA$50,000
Credit Suisse First Boston, L.L.C.UBSinvestor protection violation2004FINRA$50,000
AMERICAN FAMILY INSURANCE COMPANYAmerican Family Insuranceinsurance violation2021WA-INS$50,000
NATIONAL CASUALTY COMPANYNationwideinsurance violation2021WA-INS$50,000
OCWEN FINANCIAL CORPORATIONOcwen Financialbenefit plan administrator violation2021EBSA$50,000
United States Fire Insurance Co.Fairfax Financial Holdingsconsumer protection violation2021CO-AG$50,000
CUNA Brokerage Services, Inc.CUNA Mutualinvestor protection violation2021AR-SEC$50,000
Allstate Indemnity CompanyAllstateinsurance violation2021MD-INS$50,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2010TX-PUC$50,000
Homesite Insurance CompanyAmerican Family Insuranceinsurance violation2022WA-INS$50,000
National Union Fire Insurance Company of Pittsburgh, PA. et al.American International Groupinsurance violation2021NY-DFS$50,000
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceinsurance violation2022WA-INS$50,000
LAWYERS TITLE COMPANYFidelity National Financialinsurance violation2022CA-INS$50,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2022SC-SEC$50,000
UNITED SERVICES AUTOMOBILE ASSOCIATION et a.USAAinsurance violation2022WA-INS$50,000
American Family Connect Insurance CompanyAmerican Family Insuranceinsurance violation2022NY-DFS$50,000
Nationwide Agribusiness Insurance CompanyNationwideinsurance violation2023NY-DFS$50,000
Arthur J. Gallagher & Co. Insurance Brokers of California, Inc.Arthur J. Gallagher & Co.insurance violation2023NY-DFS$49,850
BUCKEYE TERMINALS LLCIFM Investorsenvironmental violation2016IN-ENV$49,750
Capital One BankCapital One Financialdiscriminatory practices (non-employment)2022DOJ_RIGHTS$49,728
Great Plains Specialty Finance, Inc., d/b/a Check 'n goCNG Financialconsumer protection violation2017NE-DBF$49,600
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.