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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$347,398,347,522
Number of Records: 7,169
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$83,354,221,356271
JPMorgan Chase$36,129,286,132223
Wells Fargo$25,781,458,643230
Citigroup$25,740,655,365159
Deutsche Bank$18,541,562,80279
UBS$17,082,743,334106
Goldman Sachs$16,603,475,84890
NatWest Group PLC$13,515,546,85731
Credit Suisse$11,427,400,12652
Morgan Stanley$10,167,765,234190

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 Income Life Insurance Co.Globe Life Inc.insurance violation2019MT-INS$15,000
American Family Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2016NE-DOI$15,000
American Family Insurance CompanyAmerican Family Insuranceinsurance violation2018NE-DOI$15,000
Allstate Life Insurance Co.Allstateinsurance violation2004NJ-DBI$15,000
Marsh & McLennan Agency, LLCMarsh & McLennaninsurance violation2014NJ-DBI$15,000
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2016NY-DFS$15,000
CUNA Brokerage Services Inc.CUNA Mutualinvestor protection violation2014OK-SEC$15,000
ACE American Insurance CompanyChubb Limitedinsurance violation2007OR-FIN$15,000
Prosper Marketplace Inc.Prosper Marketplaceinvestor protection violation2009OR-FIN$15,000
Standard Insurance CompanyMeiji Yasuda Life Insuranceinsurance violation2011OR-FIN$15,000
Lincoln National Life Insurance CompanyLincoln Nationalinsurance violation2016OR-FIN$15,000
Liberty Northwest Insurance CorporationLiberty Mutual Insuranceinsurance violation2019OR-FIN$15,000
Liberty Mutual Insurance GroupLiberty Mutual Insuranceinsurance violation2015RI-FIN$15,000
USAA General Indemnity CompanyUSAAinsurance violation2016RI-FIN$15,000
Metropolitan Life Insurance CompanyMetLifeinsurance violation2019RI-FIN$15,000
Nationwide Mutual Insurance CompanyNationwideinsurance violation2013SD-INS$15,000
American General Life Insurance CompanyAmerican International Groupinsurance violation2014SD-INS$15,000
Transamerica Life Insurance CompanyAegoninsurance violation2016SD-INS$15,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2016SD-INS$15,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2009TX-INS$15,000
Hanover Insurance CompanyHanover Insuranceinsurance violation2011TX-INS$15,000
Employers Insurance Company of WausauLiberty Mutual Insuranceinsurance violation2012TX-INS$15,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2013TX-INS$15,000
National Interstate Insurance CompanyAmerican Financial Groupinsurance violation2015TX-INS$15,000
Ace American Insurance CompanyChubb Limitedinsurance violation2015TX-INS$15,000
Commerce and Industry Insurance CompanyAmerican International Groupinsurance violation2015TX-INS$15,000
Fireman's Fund Insurance CompanyAllianzinsurance violation2016TX-INS$15,000
Time Insurance CompanyHaven Holdingsinsurance violation2018TX-INS$15,000
Jefferson National Life Insurance CompanyNationwideinsurance violation2018TX-INS$15,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2019TX-INS$15,000
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2012UT-INS$15,000
AMERICAN BANKERS LIFE ASSURANCE OF FLORIDAAssurantinsurance violation2001VA-INS$15,000
FIDELITY & GUARANTY LIFE INSURANCEFidelity National Financialinsurance violation2002VA-INS$15,000
AMERICAN HERITAGE LIFE INSURANCE COAllstateinsurance violation2002VA-INS$15,000
PRUDENTIAL INSURANCE COMPANYPrudential Financialinsurance violation2002VA-INS$15,000
Group Hospitalization and Medical Services, Inc.CareFirst of Marylandinsurance violation2003VA-INS$15,000
MASSACHUSETTS MUTUAL LIFE INSURANCEMassachusetts Mutual Life Insuranceinsurance violation2003VA-INS$15,000
UNITED AMERICAN INSURANCE CO.Globe Life Inc.insurance violation2003VA-INS$15,000
LIBERTY INSURANCE CORP. ET AL.Liberty Mutual Insuranceinsurance violation2007VA-INS$15,000
Group Hospitalization and Medical Services, Inc.CareFirst of Marylandinsurance violation2007VA-INS$15,000
UNITED AMERICAN INSURANCE CO.Globe Life Inc.insurance violation2007VA-INS$15,000
HARTFORD CASUALTY INSURANCE, ET AL.Hartford Financial Servicesinsurance violation2010VA-INS$15,000
ALLSTATE INSURANCE COMPANYAllstateinsurance violation2010VA-INS$15,000
ALPHA PROPERTY & CASUALTY INSURANCEKemperinsurance violation2012VA-INS$15,000
AMERICAN HOME ASSURANCE CO.American International Groupinsurance violation2012VA-INS$15,000
Globe Life and Accident Insurance CompanyGlobe Life Inc.insurance violation2019VA-INS$15,000
National General Insurance CompanyAllstateinsurance violation2010WA-INS$15,000
Unitrin Auto And Home Insurance CompanyKemperinsurance violation2012WA-INS$15,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2013WA-INS$15,000
Allstate Fire & Casualty Insurance CompanyAllstateinsurance violation2013WA-INS$15,000
Hartford Accident & Indemnity CompanyHartford Financial Servicesinsurance violation2015WA-INS$15,000
American Family Mutual Insurance Company S.I.American Family Insuranceinsurance violation2016WA-INS$15,000
AGCS Marine Insurance CompanyAllianzinsurance violation2016WA-INS$15,000
Homesite Insurance Company Of The MidwestAmerican Family Insuranceinsurance violation2019WA-INS$15,000
Transamerica Life Insurance CompanyAegoninsurance violation2019WA-INS$15,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2000WI-INS$15,000
Hartford Accident and Indemnity Co.Hartford Financial Servicesinsurance violation2001WI-INS$15,000
Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2020MO-INS$15,000
Permanent General Assurance Corp.American Family Insuranceinsurance violation2020MO-INS$15,000
Trumbull Insurance Co.Hartford Financial Servicesinsurance violation2020TX-INS$15,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2020CA-MHC$15,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2020CA-MHC$15,000
NEW HAMPSHIRE INSURANCE COMPANYAmerican International Groupinsurance violation2020WA-INS$15,000
FIRST MIDWEST BANKOld National Bancorpwage and hour violation2018IL-DOL$15,000
SYNAGRO CTL LLCGoldman Sachsenvironmental violation2003PA-ENV$15,000
IFCO SYSTEMS NORTH AMERICA, INC.Triton Investments Advisersenvironmental violation2008FL-DEP$15,000
Buckeye Terminals LLCIFM Investorsenvironmental violation2013SC-ENV$15,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2020TX-INS$15,000
Deutsche Bank Securities, Inc.Deutsche Bankinvestor protection violation2004FINRA$15,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2001FINRA$15,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2021CA-MHC$15,000
Foremost Insurance Company Grand Rapids, MichiganZurich Insuranceinsurance violation2021OR-FIN$15,000
New Hampshire Insurance Co.American International Groupinsurance violation2021TX-INS$15,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2022OK-SEC$15,000
XL Specialty Insurance CompanyAXAconsumer protection violation2021RI-FIN$15,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2022CA-MHC$15,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2022CA-MHC$15,000
Ameritas Investment Co.Ameritas Mutual Holding Companyinvestor protection violation2022NV-SEC$15,000
Bank of America, N.A.Bank of Americadiscriminatory practices (non-employment)2022HUD$15,000
STANDARD FIRE INSURANCE COMPANYTravelersinsurance violation2022WA-INS$15,000
WHEELABRATOR ENERGY COMPANY, INCORPORATEDMacquarieworkplace safety or health violation2011OSHA$15,000
BUCKEYE PIPELINEIFM Investorsenvironmental violation2000EPA$15,000
Barclays Bank PLCBarclayseconomic sanction violation2004OFAC$14,970
American Express Centurion BankAmerican Expresstax violations2012CT-AG$14,970
BOYD CORPORATIONGoldman Sachsworkplace safety or health violation2022OSHA$14,917
Union Bank of CAU.S. Bancorpeconomic sanction violation2003OFAC$14,913
Ace American Insurance CompanyChubb Limitedinsurance violation2008TX-INS$14,875
UBS (USA) IncUBSeconomic sanction violation2003OFAC$14,750
Imperial-Savannah LPLouis Dreyfusenvironmental violation2014GA-ENV$14,750
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$14,743
General Casualty Company of WisconsinQBE Insuranceinsurance violation2013MO-INS$14,722
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020MT-SEC$14,700
WAUSAU BUSINESS INSURANCE COMPANYLiberty Mutual Insuranceinsurance violation2001FL-OFR$14,625
Ace Fire Underwriters Insurance CompanyChubb Limitedinsurance violation2014TX-INS$14,615
LOUIS DREYFUS CITRUS, INC.Louis Dreyfusenvironmental violation2010FL-DEP$14,600
Bank of AmericaBank of AmericaFamily and Medical Leave Act2017WHD$14,528
BUCKEYE TEXAS PROCESSING, LLCIFM Investorsworkplace safety or health violation2022OSHA$14,502
PayPal, Inc.PayPal Holdingsconsumer protection violation2015FL-OFR$14,500
Sentry Insurance A Mutual CompanySentry Insuranceinsurance violation2001MA-INS$14,500
Travelers Property Casualty Company of AmericaTravelersinsurance violation2018TX-INS$14,500
Allied Home Mortgage Capital CorporationAmericus Mortgagewage and hour violation2006WHD$14,479
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.