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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 .
National Interstate Insurance CompanyAmerican Financial Groupinsurance violation2018TX-INS$10,000
Hartford Insurance Company of the MidwestHartford Financial Servicesinsurance violation2019TX-INS$10,000
Liberty Mutual Insurance CompanyLiberty Mutual Insuranceinsurance violation2019TX-INS$10,000
Hartford Insurance Company of the MidwestHartford Financial Servicesinsurance violation2019TX-INS$10,000
Globe Life and Accident Insurance CompanyGlobe Life Inc.insurance violation2013UT-INS$10,000
Liberty Mutual General Insurance CompanyLiberty Mutual Insuranceinsurance violation2016UT-INS$10,000
UNITED AMERICAN INSURANCE CO.Globe Life Inc.insurance violation2002VA-INS$10,000
ALLSTATE INSURANCE COMPANYAllstateinsurance violation2002VA-INS$10,000
PRINCIPAL LIFE INSURANCE COPrincipal Financialinsurance violation2003VA-INS$10,000
PROTECTIVE LIFE INSURANCE CO.Dai-ichi Lifeinsurance violation2004VA-INS$10,000
SUNAMERICA SECURITIES, INC.American International Groupinvestor protection violation2006VA-SEC$10,000
GENERAL AMERICAN LIFE INSURANCEMetLifeinsurance violation2006VA-INS$10,000
XL LIFE INSURANCE AND ANNUITYAXAinsurance violation2006VA-INS$10,000
AIG CASUALTY INSURANCE CO., ET AL.American International Groupinsurance violation2008VA-INS$10,000
Group Hospitalization and Medical Services, Inc.CareFirst of Marylandinsurance violation2008VA-INS$10,000
Auto-Owners Insurance Company and Owners Insurance CompanyAuto-Owners Insuranceinsurance violation2011VA-INS$10,000
CAROLINA CASUALTY INSURANCE COW.R. Berkleyinsurance violation2011VA-INS$10,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2011VA-INS$10,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2011VA-INS$10,000
American Family Life Assurance Company of ColumbusAflacinsurance violation2013VA-INS$10,000
SELECTIVE INSURANCE CO. ET AL.Selective Insurance Groupinsurance violation2018VA-INS$10,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2019VA-SEC$10,000
Lincoln Financial Securities CorporationLincoln Nationalinvestor protection violation2010VT-FIN$10,000
Austin Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2010WA-INS$10,000
Austin Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2011WA-INS$10,000
Metropolitan Life Insurance CompanyMetLifeinsurance violation2011WA-INS$10,000
Chicago Title Insurance CompanyFidelity National Financialinsurance violation2011WA-INS$10,000
Lifewise Health Plan Of WashingtonPremera Blue Crossinsurance violation2011WA-INS$10,000
Premera Blue CrossPremera Blue Crossinsurance violation2012WA-INS$10,000
Premera Blue CrossPremera Blue Crossinsurance violation2012WA-INS$10,000
Farmers Insurance Company Of Washington And Farmers Insurance ExchangeZurich Insuranceinsurance violation2012WA-INS$10,000
American Family Mutual Insurance Company S.I.American Family Insuranceinsurance violation2013WA-INS$10,000
American Alternative Insurance Corporation et al.Munich Reinsurance violation2013WA-INS$10,000
Hartford Fire Insurance Company And Twin City Fire Insurance CompanyHartford Financial Servicesinsurance violation2013WA-INS$10,000
Fidelity & Guaranty Life Insurance CompanyFidelity National Financialinsurance violation2014WA-INS$10,000
Time Insurance Company IiHaven Holdingsinsurance violation2015WA-INS$10,000
Transamerica Casualty Insurance CompanyAegoninsurance violation2015WA-INS$10,000
Allstate Indemnity Company et al.Allstateinsurance violation2015WA-INS$10,000
American Family Mutual Insurance Company S.I.American Family Insuranceinsurance violation2015WA-INS$10,000
Qbe Insurance CorporationQBE Insuranceinsurance violation2016WA-INS$10,000
American Family Connect Property And Casualty Insurance CompanyAmerican Family Insuranceinsurance violation2016WA-INS$10,000
State Farm Fire & Casualty CompanyState Farm Insuranceinsurance violation2017WA-INS$10,000
Farmers Insurance Company Of WashingtonZurich Insuranceinsurance violation2017WA-INS$10,000
Hartford Insurance Company The MidwestHartford Financial Servicesinsurance violation2017WA-INS$10,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2017WA-INS$10,000
Ameritas Life Insurance CorpAmeritas Mutual Holding Companyinsurance violation2017WA-INS$10,000
Depositors Insurance CompanyNationwideinsurance violation2017WA-INS$10,000
Berkley National Insurance CompanyW.R. Berkleyinsurance violation2018WA-INS$10,000
Ticor Title CompanyFidelity National Financialinsurance violation2018WA-INS$10,000
American Strategic Insurance CorpProgressiveinsurance violation2018WA-INS$10,000
American Family Mutual Insurance Company S.I.American Family Insuranceinsurance violation2018WA-INS$10,000
Horace Mann Insurance CompanyHorace Mann Educators Corp.insurance violation2018WA-INS$10,000
State Farm Life Insurance CompanyState Farm Insuranceinsurance violation2018WA-INS$10,000
American Automobile Insurance CompanyAllianzinsurance violation2018WA-INS$10,000
Banner Life Insurance CompanyLegal & General Group PLCinsurance violation2019WA-INS$10,000
American General Life Insurance CompanyAmerican International Groupinsurance violation2020WA-INS$10,000
National Union Fire Ins Co. of PittsburghAmerican International Groupinsurance violation2003WI-INS$10,000
National Union Fire Ins Co. of PittsburghAmerican International Groupinsurance violation2003WI-INS$10,000
Universal Underwriters Service Corp.Zurich Insuranceinsurance violation2008WI-INS$10,000
Nationwide Life Insurance Co.Nationwideinsurance violation2020CT-INS$10,000
Travelers Property Casualty Co. of AmericaTravelersinsurance violation2020TX-INS$10,000
Sentinel Insurance Company, Ltd.Hartford Financial Servicesinsurance violation2020TX-INS$10,000
Arch Insurance Co.Arch Capitalinsurance violation2020WA-INS$10,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2020CA-MHC$10,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2020CA-MHC$10,000
Selective Insurance Company of AmericaSelective Insurance Groupinsurance violation2020OR-FIN$10,000
CONTINENTAL WESTERN INSURANCE COMPANYW.R. Berkleyinsurance violation2020WA-INS$10,000
AMERICAN ECONOMY INSURANCE COMPANY ET AL.Liberty Mutual Insuranceinsurance violation2020WA-INS$10,000
Trafigura Beheer B.V. AmsterdamTrafiguraenvironmental violation2012CA-ARB$10,000
GlencoreGlencoreenvironmental violation2006CA-ARB$10,000
California Physicians' Service dba. Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2020CA-MHC$10,000
HANOVER INSURANCE GROUPHanover Insuranceenvironmental violation2002MA-ENV$10,000
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2021MN-FIN$10,000
BUCKEYE RARITAN BAY TERMINALIFM Investorsenvironmental violation2013NJ-ENV$10,000
BUCKEYE PIPELINE CO LLPIFM Investorsenvironmental violation2008NJ-ENV$10,000
Synagro - WWT, Inc.Goldman Sachsenvironmental violation2005OH-ENV$10,000
Travelers Home and Marine Insurance CompanyTravelersinsurance violation2021WA-INS$10,000
UBS International Inc.UBSinvestor protection violation2005FINRA$10,000
UBS Securities, L.L.C.UBSinvestor protection violation2004FINRA$10,000
J.P. Morgan Securities, Inc.JPMorgan Chaseinvestor protection violation2001FINRA$10,000
Spear, Leeds & KelloggGoldman Sachsinvestor protection violation2001FINRA$10,000
Chase Securities, Inc.JPMorgan Chaseinvestor protection violation2001FINRA$10,000
Prudential Securities, Inc.Wells Fargoinvestor protection violation2001FINRA$10,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2021CA-MHC$10,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2021CA-MHC$10,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2021CA-MHC$10,000
E-Trade Financial Corporate Services, Inc.Morgan Stanleyconsumer protection violation2021CT-BKG$10,000
Transamerica Life Insurance CompanyAegoninsurance violation2020CT-INS$10,000
American General Life Insurance CompanyAmerican International Groupinsurance violation2020CT-INS$10,000
Standard Insurance CompanyMeiji Yasuda Life Insuranceinsurance violation2020CT-INS$10,000
Principal Life Insurance CompanyPrincipal Financialinsurance violation2020CT-INS$10,000
American Guarantee and Liability Insurance CompanyZurich Insuranceinsurance violation2020CT-INS$10,000
United Services Automobile Association et al.USAAinsurance violation2021VA-INS$10,000
PREMERA BLUE CROSSPremera Blue Crossinsurance violation2021WA-INS$10,000
HSBC SECURITIES USA INCHSBCinsurance violation2021WA-INS$10,000
State Farm Fire & Casualty CoState Farm Insuranceinsurance violation2021WI-INS$10,000
Fannie MaeFannie Maecampaign finance violation2004FEC$10,000
California Physicians' Service d.b.a. Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2021CA-MHC$10,000
QBE Insurance Corp.QBE Insuranceinsurance violation2021TX-INS$10,000
LIFEWISE HEALTH PLAN OF WASHINGTONPremera Blue Crossinsurance violation2021WA-INS$10,000
State Farm Fire and Casualty Co.State Farm Insuranceinsurance violation2021WI-INS$10,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.