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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$389,299,537,184
Number of Records: 7,790
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$87,294,669,499330
JPMorgan Chase$39,888,888,209278
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$27,081,211,792183
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,407,380112
NatWest Group PLC$14,264,317,61841
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
NATIONWIDE MUTUAL INSURANCE ET AL.Nationwideinsurance violation2006VA-INS$45,000
AMERICAN BANKERS INSURANCEAssurantinsurance violation2006VA-INS$45,000
AMERICAN SECURITY INSURANCE COAssurantinsurance violation2006VA-INS$45,000
STANDARD GUARANTY INSURANCE COAssurantinsurance violation2006VA-INS$45,000
ACE CASH EXPRESS, INC.ACE Cash Expressconsumer protection violation2016VA-FIN$45,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2021TX-INS$45,000
Pacific Indemnity CompanyChubb Limitedinsurance violation2021TX-INS$45,000
Producers Agriculture Insurance CompanyTokio Marineinsurance violation2022SD-INS$45,000
Harleysville Insurance CompanyNationwideinsurance violation2023NY-DFS$45,000
John Hancock Life and Health Insurance CompanyManulife Financialinsurance violation2020RI-FIN$44,877
Bank of AmericaBank of Americaexport control violation2017BIS$44,625
COMMERCE & INDUSTRY INSURANCEAmerican International Groupinsurance violation2012VA-INS$44,518
Zurich American Insurance Co.Zurich Insuranceinsurance violation2002FL-OFR$44,500
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2013AK-DBS$44,370
COMPANION LIFE INSURANCE CO.BlueCross BlueShield of South Carolinainsurance violation2016VA-INS$44,220
Ace American Insurance CompanyChubb Limitedinsurance violation2014TX-INS$44,079
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2017TX-INS$44,000
JACKSON NATIONAL LIFE INSURANCE COMPANYJackson Financialinsurance violation2022MO-INS$44,000
IFCO SYSTEMS NA INC DBA PALLET COMPANIES INCTriton Investments Advisersworkplace safety or health violation2010OSHA$44,000
BB&TTruist Financialwage and hour violation2011WHD$43,662
Navient Solutions, LLCNavientconsumer protection violation2023VA-FIN$43,600
BANK OF THE CASCADESFirst Interstate Bancsystembanking violation2008FDIC$43,550
1st Financial Bank U.S.A.1st Financial Bank USAbanking violation2005WI-AG$43,142
Freedom Mortgage Corp.Freedom Mortgageconsumer protection violation2009CT-BKG$43,000
Hartford Accident and Indemnity Co.Hartford Financial Servicesinsurance violation2019CT-INS$43,000
National Interstate Insurance Co.American Financial Groupinsurance violation2011MO-INS$43,000
GMAC Mortgage LLC dba DitechAlly Financialconsumer protection violation2010PA-BKG$43,000
Great Plains Specialty Finance, Inc., d/b/a Check 'n GoCNG Financialconsumer protection violation2009NE-DBF$42,850
Wells Fargo BankWells Fargoeconomic sanction violation2005OFAC$42,833
HARTFORD INSURANCE COMPANY OF THE MIDWESTHartford Financial Servicesinsurance violation2006VA-INS$42,800
The Tokio Marine and Fire Insurance Company, Ltd. and Trans Pacific Insurance Co.Tokio Marineinsurance violation2003CA-INS$42,500
Fortis Insurance CompanyAssurantinsurance violation2002OR-FIN$42,500
HORACE MANN INSURANCE CO. ET AL.Horace Mann Educators Corp.insurance violation2007VA-INS$42,400
Zurich American Insurance CompanyZurich Insuranceinsurance violation2018TX-INS$42,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2018TX-INS$42,000
JEFFERSON PILOT LIFE INSURANCELincoln Nationalinsurance violation2001VA-INS$42,000
FARMERS INSURANCE EXCHANGEFarmers Insurance Exchangeinsurance violation2003VA-INS$42,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2023TX-INS$42,000
AMERICAN STRATEGIC INSURANCEProgressiveinsurance violation2017VA-INS$41,962
Nyrstar Tennessee Mines - Gordonsville, LLCTrafigurawater pollution violation2017TN-ENV$41,760
Vitol S.A., Inc.Vitolenvironmental violation2005EPA$41,600
Ace American Insurance CompanyChubb Limitedinsurance violation2021UT-INS$41,500
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2022MSHA$41,474
Bankers Life and Casualty Co.CNO Financialinsurance violation2019DE-INS$41,200
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2010TX-INS$41,000
Great Western BankFirst Interstate Bancsystembanking violation2013FDIC$40,810
Edward D. Jones & Co. L.P.Jones Financialinvestor protection violation2010MO-SEC$40,500
Washington Federal Bank, National AssociationWashington Federal Inc.banking violation2021OCC$40,500
SunTrust BankTruist Financialeconomic sanction violation2005OFAC$40,423
Alliance Data Systems, Inc.Bread Financial Holdingswage and hour violation2003WHD$40,320
Arch Insurance CompanyArch Capitalinsurance violation2014TX-INS$40,143
Encompass Indemnity CompanyAllstateinsurance violation2014NY-DFS$40,100
PEERLESS INDEMNITY INSURANCE CO. ET AL.Liberty Mutual Insuranceinsurance violation2011VA-INS$40,057
Torchmark CorporationGlobe Life Inc.Medicare Parts C and D Enforcement Action2014CMS$40,000
PNC BankPNC Financial Serviceslabor relations violation2006NLRB$40,000
Mercury Air Centers, Inc.Macquarielabor relations violation2006NLRB$40,000
John Hancock Life Insurance Co.Manulife Financialconsumer protection violation2013MA-AG$40,000
Encompass Indemnity Co. and Encompass Insurance Company of AmericaAllstateinsurance violation2019AR-INS$40,000
LPL Financial LLCLPL Financialinvestor protection violation2019AR-SEC$40,000
Titan Insurance Co.Nationwideinsurance violation2006AZ-DIFI$40,000
QBE Insurance Corp.QBE Insuranceinsurance violation2010AZ-DIFI$40,000
Union Security Insurance Co.Assurantinsurance violation2013AZ-DIFI$40,000
Hartford Accident and Indemnity Co. et al.Hartford Financial Servicesinsurance violation2010CA-INS$40,000
Prosper Marketplace, Inc.Prosper Marketplaceinvestor protection violation2012CT-SEC$40,000
Ameritrade, Inc.Charles Schwab Corp.investor protection violation2009DE-SEC$40,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2007IL-SEC$40,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2003MA-INS$40,000
Allstate Insurance Co. and Allstate Indemnity Co.Allstateinsurance violation2011MD-INS$40,000
Allstate Insurance Co. and Allstate Indemnity Co.Allstateinsurance violation2011MD-INS$40,000
Depositors Insurance Co.Nationwideinsurance violation2013MN-FIN$40,000
Transamerica Premier Life Insurance Co.Aegoninsurance violation2018MN-FIN$40,000
Progressive Casualty Insurance Co. et al.Progressiveinsurance violation2018MN-FIN$40,000
LPL Financial LLCLPL Financialinvestor protection violation2018MS-SEC$40,000
Hanover Insurance Co.Hanover Insuranceinsurance violation2004NJ-DBI$40,000
Time Insurance CompanyHaven Holdingsinsurance violation2014OR-FIN$40,000
Affinity Insurance Services Inc.Aoninsurance violation2006PA-INS$40,000
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2008PA-INS$40,000
LPL Financial LLCLPL Financialinvestor protection violation2019SC-SEC$40,000
Nationwide Life Insurance CompanyNationwideinsurance violation2012SD-INS$40,000
Companion Life Insurance CompanyBlueCross BlueShield of South Carolinainsurance violation2017SD-INS$40,000
Lincoln Financial Securities CorporationLincoln Nationalinvestor protection violation2010TX-SEC$40,000
State Farm General Insurance CompanyState Farm Insuranceinsurance violation2010TX-INS$40,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2010TX-INS$40,000
Ace American Insurance CompanyChubb Limitedinsurance violation2011TX-INS$40,000
Hartford Insurance Company of the MidwestHartford Financial Servicesinsurance violation2014TX-INS$40,000
Broadspire Services, Inc.Crawford & Co.insurance violation2017TX-INS$40,000
Wausau Underwriters Insurance CompanyLiberty Mutual Insuranceinsurance violation2017TX-INS$40,000
Security National Insurance CompanyZurich Insuranceinsurance violation2018TX-INS$40,000
United Services Automobile Association et al.USAAinsurance violation2018TX-INS$40,000
CUNA MUTUAL INSURANCE SOCIETYCUNA Mutualinsurance violation2005VA-INS$40,000
NATIONWIDE LIFE INSURANCE CO.Nationwideinsurance violation2006VA-INS$40,000
NATIONAL UNION FIRE INSURANCEAmerican International Groupinsurance violation2011VA-INS$40,000
National Union Fire Insurance Company Of Pittsburgh, PaAmerican International Groupinsurance violation2010WA-INS$40,000
American General Life Insurance Company of DelawareAmerican International Groupinsurance violation2012WI-INS$40,000
Bankers Life & Casualty Co.CNO Financialinsurance violation2012WI-INS$40,000
First American Title insurance Co.First American Financialinsurance violation2020CT-INS$40,000
CIBC World Markets Corp.Canadian Imperial Bank of Commerceinvestor protection violation2005FINRA$40,000
Banc of America Securities LLCBank of Americainvestor protection violation2001FINRA$40,000
LM Insurance Corp.Liberty Mutual Insuranceinsurance violation2021TX-INS$40,000
Arthur J. Gallagher & Co.Arthur J. Gallagher & Co.employment discrimination2021EEOC$40,000
Philadelphia Indemnity Insurance CompanyTokio Marineinsurance violation2022TX-INS$40,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.