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
National City Commercial Capital Corporation	PNC Financial Services	consumer protection violation	2006	NY-AG	$817,700
Nationstar Mortgage LLC	Mr. Cooper Group	consumer protection violation	2018	MD-AG	$760,000
Nationwide Insurance	Nationwide	consumer protection violation	2008	MS-AG	$40,000,000
Nationwide Insurance	Nationwide	consumer protection violation	2015	WV-AG	$5,750,000
Nationwide Life Insurance	Nationwide	consumer protection violation	2005	MA-AG	$650,000
Nelnet Inc.	Nelnet	consumer protection violation	2007	NY-AG	$2,000,000
Nelnet, Inc.	Nelnet	consumer protection violation	2008	NY-AG	$200,000
Ocwen Financial Corporation	Ocwen Financial	consumer protection violation	2019	ME-AG	$84,000
PayPal	PayPal Holdings	consumer protection violation	2002	NY-AG	$200,000
PayPal	PayPal Holdings	consumer protection violation	2004	NY-AG	$150,000
PayPal, Inc.	PayPal Holdings	consumer protection violation	2006	MULTI-AG	$1,700,000
Peerless Insurance Co.	Liberty Mutual Insurance	consumer protection violation	2010	MA-AG	$20,000
PHH Mortgage Corp.	Ocwen Financial	consumer protection violation	2018	GA-AG	$75,000
Premier Insurance Company of Massachusetts	Travelers	consumer protection violation	2011	MA-AG	$5,000,386
Progressive Direct Insurance Co.	Progressive	consumer protection violation	2009	MA-AG	$120,000
Progressive Insurance Company of Ohio	Progressive	consumer protection violation	2001	IA-AG	$127,500
Protective Life Insurance Co.	Dai-ichi Life	consumer protection violation	2007	TX-AG	$1,570,000
Providian Financial Corp.	JPMorgan Chase	consumer protection violation	2000	CA-AG	$305,500,000
Providian Financial Corp.	JPMorgan Chase	consumer protection violation	2000	CT-AG	$1,600,000
QBE Insurance	QBE Insurance	consumer protection violation	2018	MA-AG	$2,400,000
QBE Insurance	QBE Insurance	consumer protection violation	2016	MA-AG	$375,000
Resource Life Insurance Co.	Assurant	consumer protection violation	2010	TX-AG	$2,600,000
Sallie Mae	SLM Corp.	consumer protection violation	2007	NY-AG	$2,000,000
Santander Bank, N.A.	Banco Santander	consumer protection violation	2015	NY-AG	$500,000
Santander Consumer USA Holdings Inc.	Banco Santander	consumer protection violation	2017	MA-AG	$22,000,000
Santander Consumer USA Holdings, Inc.	Banco Santander	consumer protection violation	2017	DE-AG	$3,875,000
Santander Securities LLC	Banco Santander	consumer protection violation	2019	MA-AG	$100,000
Santander USA Holdings Inc.	Banco Santander	consumer protection violation	2015	MA-AG	$5,400,000
Sentry Insurance	Sentry Insurance	consumer protection violation	2014	MA-AG	$53,430
State Farm	State Farm Insurance	consumer protection violation	2008	MS-AG	$74,000,000
State Farm	State Farm Insurance	consumer protection violation	2000	TX-AG	$3,100,000
State Farm Mutual Automobile Insurance Co.	State Farm Insurance	consumer protection violation	2005	TX-AG	$10,000,000
State Farm Mutual Insurance Company	State Farm Insurance	consumer protection violation	2005	MULTI-AG	$41,000,000
State Street Corp.	State Street Corp.	consumer protection violation	2019	MA-AG	$53,500,000
Stewart Title Company of California	Stewart Information Services	consumer protection violation	2002	CA-AG	$2,500,000
Student Loan Xpress, Inc.	First Citizens BancShares	consumer protection violation	2009	MULTI-AG	$112,825,000
Student Loan Xpress, Inc.	First Citizens BancShares	consumer protection violation	2010	KY-AG	$3,600,000
Student Loan Xpress, Inc.	First Citizens BancShares	consumer protection violation	2007	NY-AG	$3,000,000
The Chubb Corp.	Chubb Limited	consumer protection violation	2009	MA-AG	$239,011
The Insurance Company of the State of Pennsylvania	American International Group	consumer protection violation	2015	MA-AG	$430,000
Time Insurance Company	Haven Holdings	consumer protection violation	2007	MA-AG	$16,000
TitleMax of Virginia Inc.	TMX Finance	consumer protection violation	2014	DC-AG	$167,257
Travelers Companies, Inc.	Travelers	consumer protection violation	2018	CT-AG	$5,000,000
U.S. Bancorp	U.S. Bancorp	consumer protection violation	2005	CA-AG	$2,600,000
Union Security Insurance Company	Assurant	consumer protection violation	2007	MA-AG	$28,000
Union Security Life Insurance Co	Assurant	consumer protection violation	2000	MA-AG	$1,000,000
United American Insurance Co.	Globe Life Inc.	consumer protection violation	2003	CT-AG	$45,000
United Services Automobile Association	USAA	consumer protection violation	2010	MA-AG	$25,000
United Services Automobile Association	USAA	consumer protection violation	2010	MA-AG	$2,300,000
United States Life Insurance Company in the City of New York	American International Group	consumer protection violation	2011	MA-AG	$760,000
Universal Underwriters Life Insurance Co.	Zurich Insurance	consumer protection violation	2008	TX-AG	$2,400,000
UnumProvident Corporation	Unum	consumer protection violation	2006	NY-AG	$17,400,000
UnumProvident Corporation	Unum	consumer protection violation	2004	MULTI-AG	$15,000,000
US Bank NA	U.S. Bancorp	consumer protection violation	2003	NY-AG	$33,500
USAA Federal Savings Bank	USAA	consumer protection violation	2003	NY-AG	$33,500
Visa Inc.	Visa	consumer protection violation	2018	NM-AG	$2,270,000
Wells Fargo	Wells Fargo	consumer protection violation	2010	MULTI-AG	$23,700,000
Wells Fargo	Wells Fargo	consumer protection violation	2004	NY-AG	$2,900,000
Wells Fargo	Wells Fargo	consumer protection violation	2016	WV-AG	$8,000,000
Wells Fargo Bank	Wells Fargo	consumer protection violation	2011	CT-AG	$741,465
Wells Fargo Financial Bank	Wells Fargo	consumer protection violation	2003	NY-AG	$33,500
Wells Fargo Financial Leasing, Inc.	Wells Fargo	consumer protection violation	2005	MULTI-AG	$10,000,000
Western Sky Financial LLC, CashCall, Inc., WS Funding, LLC and Delbert Services Corp.	CashCall Inc.	consumer protection violation	2016	IN-AG	$1,000,000
Western Sky Financial, CashCall Inc. and WS Funding	CashCall Inc.	consumer protection violation	2016	AR-AG	$750,000
Western Sky Financial, LLC	CashCall Inc.	consumer protection violation	2014	NY-AG	$1,500,000
Western Sky Financial, LLC and CashCall, Inc.	CashCall Inc.	consumer protection violation	2015	MI-AG	$24,700,000
Western Sky Financial, LLC et al.	CashCall Inc.	consumer protection violation	2014	CO-AG	$565,000
Western Sky Financial, LLC, CashCall, Inc.	CashCall Inc.	consumer protection violation	2017	GA-AG	$42,000,000
Western Sky Financial, LLC, WS Funding, LLC, CashCall, Inc., Delbert Services Corp.	CashCall Inc.	consumer protection violation	2015	MA-AG	$259,115
Western Union Co.	Western Union	consumer protection violation	2017	MULTI-AG	$5,000,000
Western Union Financial Services	Western Union	consumer protection violation	2005	MULTI-AG	$8,529,000
Willis Group Holdings Ltd.	Willis Towers Watson	consumer protection violation	2007	FL-AG	$2,600,000
Bank of America, N.A.	Bank of America	consumer protection violation	2017	CA-MULTI	$1,940,000
Liberty Mutual Group, Inc.	Liberty Mutual Insurance	consumer protection violation	2016	CA-MULTI	$925,000
Fidelity National Financial, Inc.	Fidelity National Financial	consumer protection violation	2013	CA-MULTI	$873,588
Old Republic Title Co.	Old Republic International	consumer protection violation	2002	CA-MULTI	$5,096,963
Wells Fargo	Wells Fargo	consumer protection violation	2016	CA-LACA	$50,000,000
Wells Fargo Home Mortgage, Inc.	Wells Fargo	consumer protection violation	2003	CA-SCCDA	$25,000
Jackson Hewitt Inc.	Jackson Hewitt	consumer protection violation	2004	NY-NYCDCWP	$125,000
H&R Block	H&R Block	consumer protection violation	2002	NY-NYCDCWP	$4,000,000
LendingClub Corporation	LendingClub Corp.	consumer protection violation	2020	MA-AG	$1,250,000
Santander Consumer USA Inc.	Banco Santander	consumer protection violation	2020	MULTI-AG	$550,000,000
Academy Mortgage Corp.	Academy Mortgage Corp.	consumer protection violation	2017	AK-DBS	$6,500
Quicken Loans Inc.	Rocket Companies Inc.	consumer protection violation	2018	AK-DBS	$11,000
American Express Prepaid Card Management Corp.	American Express	consumer protection violation	2010	AR-SEC	$20,000
Prospect Mortgage, LLC	Homebridge Financial Services	consumer protection violation	2011	AR-SEC	$5,000
CitiMortgage, Inc.	Citigroup	consumer protection violation	2014	AR-SEC	$20,000
IberiaBank Mortgage Co.	First Horizon National	consumer protection violation	2016	AR-SEC	$50,000
SunTrust Mortgage, Inc.	Truist Financial	consumer protection violation	2017	AR-SEC	$13,000
Nationstar Mortgage LLC	Mr. Cooper Group	consumer protection violation	2008	AZ-DIFI	$12,500
Western Union Financial Services, Inc.	Western Union	consumer protection violation	2008	AZ-DIFI	$2,000,000
GMAC Mortgage, LLC dba Ditech	Ally Financial	consumer protection violation	2011	AZ-DIFI	$7,500
GMAC Mortgage, LLC	Ally Financial	consumer protection violation	2011	AZ-DIFI	$7,500
Midland Credit Management, Inc.	Encore Capital Group	consumer protection violation	2012	AZ-DIFI	$750,000
Wells Fargo Financial California, Inc.	Wells Fargo	consumer protection violation	2005	CA-DFPI	$1,621,010
Wells Fargo Fund Distributor, LLC	Wells Fargo	consumer protection violation	2014	CA-DFPI	$8,000
Prospect Mortgage, LLC	Homebridge Financial Services	consumer protection violation	2014	CA-DFPI	$3,141,000
Ocwen Loan Servicing, LLC	Ocwen Financial	consumer protection violation	2015	CA-DFPI	$2,500,000
PrimeLending, A PlainsCapital Company	Hilltop Holdings	consumer protection violation	2016	CA-DFPI	$1,619,523
Guaranteed Rate, Inc.	Guaranteed Rate Inc.	consumer protection violation	2017	CA-DFPI	$50,000
Ocwen Financial Solutions, Private Ltd.	Ocwen Financial	consumer protection violation	2017	CA-DFPI	$52,000