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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.

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CompanyCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount sort icon
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
State Farm Fire and Casualty CompanyState Farm Insuranceinsurance violation2024IL-INS$50,000
CIBC World Markets, Inc.Canadian Imperial Bank of Commerceinvestor protection violation2024AZ-CC$50,000
CIBC World Markets, Inc.Canadian Imperial Bank of Commerceinvestor protection violation2024AZ-CC$50,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2024CA-MHC$50,000
Arthur J. Gallagher & Co. Insurance Brokers of California, Inc.Arthur J. Gallagher & Co.insurance violation2023NY-DFS$49,850
BUCKEYE TERMINALS LLCIFM Investorsair pollution 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
National City Corporation d/b/a National City BankPNC Financial Serviceslabor relations violation2008NLRB$49,597
Farmers Insurance Exchange and Truck Insurance Exchange and Mid-Century Insurance Co.Farmers Insurance Exchangeinsurance violation2006CO-INS$49,500
American Alternative Insurance Corp.Munich Reinsurance violation2019CT-INS$49,500
The Travelers Indemnity Company ofAmericaTravelersinsurance violation2020VA-INS$49,500
Mercer HR Services, LLCMarsh & McLennanwage and hour violation2006WHD$49,474
Sorrento Pacific Financial, LLCAtria Wealth Solutionsinvestor protection violation2019SEC$49,162
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2019NY-DFS$49,020
American Security Insurance CompanyAssurantemployment discrimination2020EEOC$49,000
Harleysville Insurance Co.Nationwideinsurance violation2020CT-INS$49,000
John Hancock Life Insurance Company (U.S.A.)Manulife Financialinsurance violation2018OR-FIN$49,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2015TX-INS$49,000
HORACE MANN INSURANCE CO., ET AL.Horace Mann Educators Corp.insurance violation2011VA-INS$48,800
BUCKEYE PERTH AMBOY TERMINAL LLCIFM Investorsenvironmental violation2023NJ-ENV$48,640
Great Plains Specialty Finance Inc. dba Check 'N GoCNG Financialconsumer protection violation2019OK-DCC$48,600
Commerce and Industry Insurance CompanyAmerican International Groupinsurance violation2014NY-DFS$48,500
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2020MO-INS$48,500
Ameriprise Advisor Services Inc.Ameriprise Financialinvestor protection violation2009RI-FIN$48,411
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2014CO-INS$48,400
Hewitt Associates LLCAonwage and hour violation2010WHD$48,103
Bank of the WestBank of Montrealemployment discrimination2011EEOC$48,000
Ace American Insurance CompanyChubb Limitedinsurance violation2011TX-INS$48,000
BUCKEYE PARTNERS LPIFM Investorspipeline safety violation2013PHMSA$47,800
Zurich American Insurance CompanyZurich Insuranceinsurance violation2014TX-INS$47,735
Elephant Insurance CompanyAdmiral Groupinsurance violation2019VA-INS$47,619
Universal Property & Casualty Insurance Co.Universal Insurance Holdingsinsurance violation2004FL-OFR$47,500
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2016MO-INS$47,500
Ace Property and Casualty Insurance Co.Chubb Limitedinsurance violation2016MO-INS$47,500
Ace Fire Underwriters Insurance Co.Chubb Limitedinsurance violation2016MO-INS$47,500
Ace American Insurance Co.Chubb Limitedinsurance violation2016MO-INS$47,500
Regent Insurance Co.QBE Insuranceinsurance violation2019MO-INS$47,500
Goodrich Aviation Technical Services, Inc.Macquariewage and hour violation2005WHD$47,369
AON Consulting Corporation IncAonwage and hour violation2004WHD$47,131
QBE Insurance CorporationQBE Insuranceinsurance violation2014TX-INS$47,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2020CT-INS$47,000
Zions Public Finance Inc.Zions Bancorporationinvestor protection violation2024SEC$47,000
Louisiana Generating, LLCMacquarieenvironmental violation2014LA-ENV$46,962
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2014NY-DFS$46,800
Sentry Insurance a Mutual CompanySentry Insurancewage and hour violation2004WHD$46,524
BANCORPSOUTH BANKCadence Bankbanking violation2011FDIC$46,500
American Income Life Insurance CompanyGlobe Life Inc.insurance violation2023CT-INS$46,500
Seabury & Smith Inc.Marsh & McLennaneconomic sanction violation2005OFAC$46,341
NEW YORK LIFE INSURANCE COMPANYNew York Life Insuranceinsurance violation2024WA-INS$46,328
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020TX-SEC$46,073
ProgressiveProgressivewage and hour violation2017private lawsuit-federal$46,000
LendingClub Corp.LendingClub Corp.investor protection violation2015CA-DFPI$46,000
Bank of AmericaBank of Americaair pollution violation2007CA-SCAQMD$46,000
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2020MO-INS$45,900
FIDELITY NATIONAL TITLE INSURANCE COMPANYFidelity National Financialinsurance violation2021MO-INS$45,900
USAA General Indemnity Company et al.USAAinsurance violation2023MD-INS$45,900
NYRSTAR CLARKSVILLE, INC.Trafiguraenvironmental violation2010EPA$45,524
Nationwide Life Insurance Co. and Nationwide Life and Annuity Insurance Co.Nationwideinsurance violation2018DE-INS$45,500
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.