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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $388,129,347,579
Number of Records: 7,728
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$39,688,888,209277
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 Type sort iconYearAgencyPenalty Amount
BMO Harris Bank, N.A.Bank of Montrealfraud2018USAO$10,000,000
Bank of AmericaBank of Americafraud2016DC-AG$13,000,000
Bank of AmericaBank of Americafraud2010DC-AG$13,502,852
Wells Fargo & CompanyWells Fargofraud2020DOJ_CIVIL$3,000,000,000
Vitol Inc.Vitolfraud2020CFTC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $95,700,000
JPMorgan Chase & Co.JPMorgan Chasefraud2020DOJ_CRIMINAL(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $920,000,000
State Street CorporationState Street Corp.fraud2021USAO$115,000,000
Credit Suisse Group AGUBSfraud2021DOJ_CRIMINAL$175,500,000
NatWest Markets PlcNatWest Group PLCfraud2021DOJ_CRIMINAL$35,000,000
Nomura Securities InternationalNomurafraud2023USAO$35,000,000
CitibankCitigroupgambling violation2002NY-AG$100,000
GM ACCEPTANCE CORP TRUCK & BUS GRPAlly Financialhazardous waste violation2006IN-ENV$57,750
RR DONNELLEY & SONS COChatham Asset Managementhazardous waste violation2006IN-ENV$9,563
RR DONNELLEY & SONS COChatham Asset Managementhazardous waste violation2001IN-ENV$15,800
RR DONNELLEY & SONS COChatham Asset Managementhazardous waste violation2001IN-ENV$9,200
MORGAN STANLEYMorgan Stanleyhazardous waste violation2014EPA$10,000
US BankU.S. Bancorphousing code violation2016CA-LACA$13,500,000
CitifinancialCitigrouphousing program violation2010MULTI-FIN$1,250,000
Goldman Sachs & Co.Goldman Sachsillicit political contributions2012SEC$12,000,000
State Street Bank and Trust CompanyState Street Corp.illicit political contributions2016SEC$12,000,000
Barclays Bank PLCBarclaysinsider trading2007SEC$10,943,561
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.insider trading2006SEC$3,755,839
Aflac Inc.Aflacinsurance violation2017MULTI-AG$350,000
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2015MULTI-AG$4,700,000
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2012MULTI-AG$10,000,000
Ameriprise GroupAmeriprise Financialinsurance violation2017MULTI-AG$1,500,000
AXA Equitable Life Insurance CompanyEquitable Holdingsinsurance violation2012NY-AG$850,000
Axa S.A.AXAinsurance violation2015MULTI-AG$3,280,000
Genworth Life Insurance Co.Genworth Financialinsurance violation2014MULTI-AG$1,900,000
Great American Insurance Co.American Financial Groupinsurance violation2009MA-AG$176,000
Great American LifeMassachusetts Mutual Life Insuranceinsurance violation2016MULTI-AG$400,000
Great American Life Insurance CompanyMassachusetts Mutual Life Insuranceinsurance violation2009MN-AG$50,000,000
Guardian LifeGuardian Life Insuranceinsurance violation2015MULTI-AG$2,000,000
Hartford Fire and Casualty GroupHartford Financial Servicesinsurance violation2016MULTI-AG$2,100,000
ING Life Insurance and Annuity CompanyVoya Financialinsurance violation2013MULTI-AG$10,700,000
Jackson National Life Insurance Co.Jackson Financialinsurance violation2015MULTI-AG$2,500,000
John Hancock Life Insurance Co.Manulife Financialinsurance violation2011MULTI-AG$3,000,000
Lincoln National Life Insurance CompanyLincoln Nationalinsurance violation2013MULTI-AG$12,600,000
MetLifeMetLifeinsurance violation2012MULTI-AG$40,000,000
Nationwide Mutual Insurance CompanyNationwideinsurance violation2012MULTI-AG$7,200,000
New York Life Insurance CompanyNew York Life Insuranceinsurance violation2013MULTI-AG$15,000,000
Pacific LifePacific Lifeinsurance violation2015MULTI-AG$2,450,000
Prudential Insurance Company of AmericaPrudential Financialinsurance violation2012MULTI-AG$17,000,000
Standard Insurance CompanyMeiji Yasuda Life Insuranceinsurance violation2016MULTI-AG$277,000
State Farm Life Insurance Co.State Farm Insuranceinsurance violation2017MULTI-AG$250,000
Sun Life Insurance CompanySun Life Financialinsurance violation2014MULTI-AG$3,200,000
The Guardian Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2007MA-AG$20,000
Transamerica Life Insurance Co.Aegoninsurance violation2013MA-AG$1,330,000
Transamerica Premier Life Insurance Co.Aegoninsurance violation2018MA-AG$19,647
Transamerica Insurance Co.Aegoninsurance violation2013MULTI-AG$11,200,000
Allstate Insurance Co.Allstateinsurance violation2016CA-MULTI$600,000
Metropolitan Life Insurance Company, Inc.MetLifeinsurance violation2014NY-MANDA$10,000,000
American General Life Insurance CompanyAmerican International Groupinsurance violation2020MA-AG$363,000
Principal Life Insurance Co.Principal Financialinsurance violation2002AK-INS$16,095
Aon Risk Services Inc. of WashingtonAoninsurance violation2002AK-INS$5,000
Seabury & Smith, Inc.Marsh & McLennaninsurance violation2006AK-INS$6,530
Liberty Mutual GroupLiberty Mutual Insuranceinsurance violation2007AK-INS$32,500
Principal Life Insurance Co.Principal Financialinsurance violation2008AK-INS$25,000
Seabury & Smith, Inc.Marsh & McLennaninsurance violation2009AK-INS$39,378
Brown & Brown of Washington, Inc.Brown & Browninsurance violation2012AK-INS$30,000
Marsh USA Inc.Marsh & McLennaninsurance violation2015AK-INS$25,000
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2016AK-INS$10,000
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2019AK-INS$20,000
Marsh USA Inc.Marsh & McLennaninsurance violation2019AK-INS$30,000
Encompass Indemnity Co. and Encompass Insurance Company of AmericaAllstateinsurance violation2019AR-INS$40,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2017AR-INS$50,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2013AR-INS$10,000
Farmers Insurance Exchange et al.Farmers Insurance Exchangeinsurance violation2013AR-INS$5,000
Titan Insurance Co.Nationwideinsurance violation2006AZ-DIFI$40,000
Coast National Insurance Co.Zurich Insuranceinsurance violation2009AZ-DIFI$38,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2010AZ-DIFI$10,000
Scottsdale Insurance Co.Nationwideinsurance violation2010AZ-DIFI$37,500
Titan Indemnity Co.Nationwideinsurance violation2010AZ-DIFI$20,000
Unigard Insurance Co.QBE Insuranceinsurance violation2010AZ-DIFI$16,000
QBE Insurance Corp.QBE Insuranceinsurance violation2010AZ-DIFI$40,000
Permanent General Assurance Corp.American Family Insuranceinsurance violation2011AZ-DIFI$70,000
Safeco Insurance Company of IllinoisLiberty Mutual Insuranceinsurance violation2011AZ-DIFI$15,000
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2011AZ-DIFI$10,000
Homesite Indemnity Co.American Family Insuranceinsurance violation2011AZ-DIFI$19,000
Austin Mututal Insurance Co.American Family Insuranceinsurance violation2011AZ-DIFI$30,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2011AZ-DIFI$36,000
Accident Fund Insurance Company of AmericaAF Groupinsurance violation2012AZ-DIFI$5,000
Infinity Insurance Co.Kemperinsurance violation2012AZ-DIFI$38,000
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2012AZ-DIFI$30,000
John Alden Life Insurance Co.Assurantinsurance violation2013AZ-DIFI$90,000
Union Security Insurance Co.Assurantinsurance violation2013AZ-DIFI$40,000
Time Insurance Co.Haven Holdingsinsurance violation2013AZ-DIFI$60,000
Unitrin Direct Insurance Co.Kemperinsurance violation2013AZ-DIFI$9,000
Unitrin Direct Property & Casualty Co.Kemperinsurance violation2013AZ-DIFI$18,000
Mercury Casualty Co.Mercury General Corporationinsurance violation2013AZ-DIFI$19,000
United Insurance Co.Kemperinsurance violation2013AZ-DIFI$23,000
Foremost Insurance Company Grand Rapids, MichiganZurich Insuranceinsurance violation2015AZ-DIFI$58,000
Foremost Property & Casualty Insurance Co.Zurich Insuranceinsurance violation2015AZ-DIFI$21,000
Monumental Life Insurance Co.Aegoninsurance violation2015AZ-DIFI$57,000
Sentry Insurance A Mutual Co.Sentry Insuranceinsurance violation2015AZ-DIFI$20,000
American Family Connect Property and Casualty Insurance CompanyAmerican Family Insuranceinsurance violation2020AZ-DIFI$50,000
Harleysville Mutual Insurance Co.Nationwideinsurance violation2002CA-INS$200,000
American International Group et al.American International Groupinsurance violation2002CA-INS$411,500
Federal Insurance Co. et al.Chubb Limitedinsurance violation2003CA-INS$403,652
State Farm Mutual Automobile Insurance Co.State Farm Insuranceinsurance violation2003CA-INS$250,000
The Tokio Marine and Fire Insurance Company, Ltd. and Trans Pacific Insurance Co.Tokio Marineinsurance violation2003CA-INS$42,500
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.