Violation Tracker

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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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 Companies	Total Penalty $	Number of Records
Bank of America	$87,286,650,890	328
JPMorgan Chase	$39,340,688,209	275
UBS	$31,069,299,125	179
Wells Fargo	$27,616,269,231	266
Citigroup	$26,945,611,792	181
Deutsche Bank	$20,011,467,563	99
Goldman Sachs	$17,729,358,987	111
NatWest Group PLC	$14,370,701,618	43
Morgan Stanley	$10,780,502,443	203
BNP Paribas	$10,363,464,666	23

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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Company	Current Parent	Primary Offense Type	Year	Agency	Penalty Amount
American Security Insurance Co.	Assurant	consumer protection violation	2019	MS-AG	$767,394
Ameriprise Financial Services, Inc.	Ameriprise Financial	consumer protection violation	2009	MA-AG	$200,000
Ameriquest Mortgage	Citigroup	consumer protection violation	2006	MULTI-AG	$325,000,000
Amica Mutual Insurance Co.	Amica Mutual Insurance	consumer protection violation	2012	MA-AG	$837,384
Aon Corp.	Aon	consumer protection violation	2008	FL-AG	$4,000,000
Arch Insurance Company	Arch Capital	consumer protection violation	2010	MD-AG	$460,000
Arthur J. Gallagher & Co.	Arthur J. Gallagher & Co.	consumer protection violation	2005	IL-AG	$27,000,000
Bank of America	Bank of America	consumer protection violation	2014	HI-AG	$2,825,000
Bank of America Corp.	Bank of America	consumer protection violation	2013	WV-AG	$1,950,000
BB&T Leasing Company	Truist Financial	consumer protection violation	2005	NY-AG	$159,097
BB&T Leasing Corporation	Truist Financial	consumer protection violation	2006	MULTI-AG	$6,000,000
Brown & Brown, Inc.	Brown & Brown	consumer protection violation	2006	FL-AG	$5,800,000
Capital One	Capital One Financial	consumer protection violation	2015	MO-AG	$740,000
CashCall and Western Sky	CashCall Inc.	consumer protection violation	2016	NC-AG	$9,000,000
CashCall Inc.	CashCall Inc.	consumer protection violation	2014	IA-AG	$1,500,000
CashCall Inc.	CashCall Inc.	consumer protection violation	2015	WV-AG	$13,000,000
CashCall Inc., WS Funding	CashCall Inc.	consumer protection violation	2017	DC-AG	$2,962,573
CashCall, Inc.	CashCall Inc.	consumer protection violation	2016	MN-AG	$11,700,000
CashCall, Inc.	CashCall Inc.	consumer protection violation	2017	VA-AG	$15,335,000
CashCall, Inc., WS Funding, LLC, and Delbert Services Corporation	CashCall Inc.	consumer protection violation	2016	CO-AG	$7,384,005
Chase Bank	JPMorgan Chase	consumer protection violation	2006	MULTI-AG	$3,850,000
Chase Bank USA N.A.	JPMorgan Chase	consumer protection violation	2015	MULTI-AG	(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $106,000,000
Chase Bank USA, N.A.	JPMorgan Chase	consumer protection violation	2009	NY-AG	$4,400,000
CIT Group/Equipment Financing, Inc.	First Citizens BancShares	consumer protection violation	2005	MULTI-AG	$10,000,000
CIT Technology Financing Services, Inc.	First Citizens BancShares	consumer protection violation	2005	NJ-AG	$4,360,000
CIT Technology Financing Services, Inc.	First Citizens BancShares	consumer protection violation	2004	NY-AG	$4,200,000
Citibank	Citigroup	consumer protection violation	2002	MULTI-AG	$1,600,000
Citibank	Citigroup	consumer protection violation	2008	CA-AG	$3,500,000
Citibank	Citigroup	consumer protection violation	2002	CA-AG	$1,600,000
Citibank	Citigroup	consumer protection violation	2014	HI-AG	$2,825,000
Citibank	Citigroup	consumer protection violation	2007	NY-AG	$2,000,000
Citibank/Citigroup Inc.	Citigroup	consumer protection violation	2013	WV-AG	$1,950,000
Citigroup Global Markets, Inc.	Citigroup	consumer protection violation	2014	NY-AG	$16,000,000
Citigroup Global Markets, Inc.	Citigroup	consumer protection violation	2015	NY-AG	$4,500,000
Continental American Insurance Co.	Aflac	consumer protection violation	2010	MA-AG	$25,000
Countrywide Home Loans, Inc.,	Bank of America	consumer protection violation	2006	NY-AG	$3,200,000
Credit Acceptance Corp.	Credit Acceptance Corp.	consumer protection violation	2012	MO-AG	$125,000
De Lage Landen Financial Services, Inc.	Rabobank	consumer protection violation	2005	MULTI-AG	$872,000
DeLage Landen Financial Services	Rabobank	consumer protection violation	2004	NY-AG	$405,000
Discover Bank	Discover Financial Services	consumer protection violation	2011	MN-AG	$2,000,000
Discover Financial Services	Discover Financial Services	consumer protection violation	2014	HI-AG	$2,825,000
Discover Financial Services	Discover Financial Services	consumer protection violation	2015	MO-AG	$760,000
Discover Financial Services	Discover Financial Services	consumer protection violation	2013	WV-AG	$1,950,000
Ditech Financial, LLC	Ditech Holding Corporation	consumer protection violation	2016	MA-AG	$1,400,000
Encompass Insurance Co.	Allstate	consumer protection violation	2015	MA-AG	$25,000
Encompass Insurance Company of Massachusetts	Allstate	consumer protection violation	2012	MA-AG	$1,972,635
Encore Capital Group Inc.	Encore Capital Group	consumer protection violation	2018	MULTI-AG	$6,000,000
Encore Capital Group Inc., Midland Credit Management, Inc. and Midland Funding LLC	Encore Capital Group	consumer protection violation	2009	MD-AG	$998,000
Encore Capital Group, Inc.	Encore Capital Group	consumer protection violation	2015	NY-AG	$675,000
Fannie Mae	Fannie Mae	consumer protection violation	2008	NY-AG	$12,000,000
Farmers Insurance Group	Zurich Insurance	consumer protection violation	2003	TX-AG	$2,400,000
Fidelity National Title Insurance Company	Fidelity National Financial	consumer protection violation	2002	CA-AG	$31,148,320
First American Title Insurance Company	First American Financial	consumer protection violation	2002	CA-AG	$7,000,000
First Niagara Bank	KeyCorp	consumer protection violation	2003	NY-AG	$33,500
First USA	JPMorgan Chase	consumer protection violation	2002	MULTI-AG	$1,300,000
Freddie Mac	Freddie Mac (Federal Home Loan Mortgage Corporation)	consumer protection violation	2008	NY-AG	$12,000,000
GE Capital Corp.	Synchrony Financial	consumer protection violation	2006	CT-AG	$336,000
GMAC Bank	Ally Financial	consumer protection violation	2008	NY-AG	$200,000
GreenSky Servicing LLC	Goldman Sachs	consumer protection violation	2017	NJ-AG	$160,000
H&R Block	H&R Block	consumer protection violation	2003	MULTI-AG	$3,300,000
H&R Block	H&R Block	consumer protection violation	2009	CA-AG	$4,850,000
H&R Block	H&R Block	consumer protection violation	2010	NY-AG	$12,150,000
H&R Block	H&R Block	consumer protection violation	2008	NY-AG	$245,000
Hanover Insurance Co.	Hanover Insurance	consumer protection violation	2009	MA-AG	$415,000
Hanover Insurance Group	Hanover Insurance	consumer protection violation	2010	MA-AG	$2,500,000
Healthnow New York	Highmark Inc.	consumer protection violation	2016	NY-AG	$60,000
HealthNow New York	Highmark Inc.	consumer protection violation	2005	NY-AG	$5,000
HealthNow NewYork, Inc.	Highmark Inc.	consumer protection violation	2009	NY-AG	$212,500
Home Loan Center, Inc.	LendingTree	consumer protection violation	2010	AZ-AG	$1,150,000
HSBC	HSBC	consumer protection violation	2016	MA-AG	$4,000,000
HSBC	HSBC	consumer protection violation	2015	MO-AG	$825,000
HSBC Finance Corporation	HSBC	consumer protection violation	2013	WV-AG	$1,950,000
Jackson Hewitt Tax Service Inc.	Jackson Hewitt	consumer protection violation	2019	MA-AG	$187,000
Jackson Hewitt, Inc.	Jackson Hewitt	consumer protection violation	2007	CA-AG	$5,000,000
John Hancock Life Insurance Co.	Manulife Financial	consumer protection violation	2013	MA-AG	$40,000
JP Morgan Chase	JPMorgan Chase	consumer protection violation	2014	HI-AG	$2,825,000
JPMorgan Chase	JPMorgan Chase	consumer protection violation	2015	CA-AG	$50,000,000
JPMorgan Chase & Co.	JPMorgan Chase	consumer protection violation	2013	WV-AG	$1,950,000
Liberty Mutual	Liberty Mutual Insurance	consumer protection violation	2007	MA-AG	$50,000
Liberty Mutual Insurance Co.	Liberty Mutual Insurance	consumer protection violation	2010	MA-AG	$20,000
Liberty Mutual Insurance Co.	Liberty Mutual Insurance	consumer protection violation	2010	MA-AG	$3,100,000
Liberty Mutual Insurance Group Inc.	Liberty Mutual Insurance	consumer protection violation	2018	MA-AG	$50,000
LPL Financial LLC	LPL Financial	consumer protection violation	2015	MULTI-AG	$2,000,000
Mastercard Inc.	MasterCard	consumer protection violation	2018	NM-AG	$1,125,000
Metropolitan Life Insurance Co.	MetLife	consumer protection violation	2004	MA-AG	$150,000
Metropolitan Life Insurance Co.	MetLife	consumer protection violation	2000	MA-AG	$1,200,000
Metropolitan Life Insurance Company	MetLife	consumer protection violation	2006	NY-AG	$19,000,000
Metropolitan Property & Casualty	Zurich Insurance	consumer protection violation	2010	MA-AG	$20,000
Metropolitan Property & Casualty Co.	Zurich Insurance	consumer protection violation	2019	MS-AG	$3,167,173
Metropolitan Property & Casualty Insurance Co.	Zurich Insurance	consumer protection violation	2010	MA-AG	$3,500,000
Metropolitan Property and Casualty Insurance Co.	Zurich Insurance	consumer protection violation	2013	MA-AG	$50,000
Metropolitan Property and Casualty Insurance Co.	Zurich Insurance	consumer protection violation	2012	MA-AG	$395,000
Metropolitan Property and Casualty Insurance Co.	Zurich Insurance	consumer protection violation	2000	MA-AG	$1,840,000
Midland Credit Management, Inc.	Encore Capital Group	consumer protection violation	2005	WV-AG	$3,500,000
Midland Funding, LLC	Encore Capital Group	consumer protection violation	2012	MN-AG	$500,000
MONY Life Insurance Co.	Dai-ichi Life	consumer protection violation	2000	CT-AG	$250,000
Morgan Stanley Capital Group Inc.	Morgan Stanley	consumer protection violation	2009	FL-AG	$2,275,000
Mutual of Omaha	Mutual of Omaha	consumer protection violation	2002	NY-AG	$10,000
Mutual of Omaha Insurance Co.	Mutual of Omaha	consumer protection violation	2019	MA-AG	$25,000
National City Commercial Capital Company LLC	PNC Financial Services	consumer protection violation	2008	MULTI-AG	$7,200,000
National City Commercial Capital Corporation	PNC Financial Services	consumer protection violation	2006	NY-AG	$817,700