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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
Jefferson Insurance CompanyAllianzinsurance violation2017MULTI-FIN$1,800,000
John Hancock Life Insurance CompanyManulife Financialinsurance violation2012MULTI-FIN$13,300,000
Life Insurance Company of Georgia and Southland Life Insurance CompanyPrudential PLCinsurance violation2002MULTI-FIN$4,000,000
Lincoln National Life Insurance CompanyLincoln Nationalinsurance violation2005MULTI-FIN$264,079
Minnesota Life Insurance Company et al.Securian Financialinsurance violation2016MULTI-FIN$625,000
Monumental Life Insurance CompanyAegoninsurance violation2003MULTI-FIN$37,000,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2012MULTI-FIN$39,000,000
Nationwide Life Insurance CompanyNationwideinsurance violation2010MULTI-FIN$2,100,000
Nationwide Mutual Insurance CompanyNationwideinsurance violation2018MULTI-FIN$725,000
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2017MULTI-FIN$298,958
Protective Life Insurance Company et al.Dai-ichi Lifeinsurance violation2019MULTI-FIN$350,000
QBE Holdings Inc.QBE Insuranceinsurance violation2017MULTI-FIN$21,164,000
RiverSource Life Insurance CompanyAmeriprise Financialinsurance violation2016MULTI-FIN$1,500,000
State Farm Life Insurance Company et al.State Farm Insuranceinsurance violation2017MULTI-FIN$250,000
TIAA-CREF Life Insurance CompanyTIAAinsurance violation2013MULTI-FIN$6,200,000
Transamerica Casualty Insurance CompanyAegoninsurance violation2017MULTI-FIN$3,000,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2017MULTI-FIN$1,914,370
Unitrin Inc.Kemperinsurance violation2002MULTI-FIN$33,000,000
Virginia Surety Company Inc.Assurantinsurance violation2013MULTI-FIN$200,000
Western and Southern Life Insurance CompanyWestern & Southern Financial Groupinsurance violation2005MULTI-FIN$2,400,000
National General Insurance CompanyAllstateinsurance violation2020AZ-DIFI$75,000
BOK Financial Securities, Inc.BOK Financialinsurance violation2020CA-INS$5,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2020CT-INS$28,000
American Family Life Assurance Company of ColumbusAflacinsurance violation2020CT-INS$8,500
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2020CT-INS$106,000
Nationwide Life Insurance Co.Nationwideinsurance violation2020CT-INS$10,000
Old Republic National Title Insurance Co.Old Republic Internationalinsurance violation2020CT-INS$20,000
First American Title insurance Co.First American Financialinsurance violation2020CT-INS$40,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2020CT-INS$47,000
Pacific Indemnity Co.Chubb Limitedinsurance violation2020CT-INS$16,000
The Standard Insurance Co.Meiji Yasuda Life Insuranceinsurance violation2020CT-INS$7,500
Minnesota Life Insurance Co.Securian Financialinsurance violation2020CT-INS$9,000
Hartford Life and Accident Insurance Co.Hartford Financial Servicesinsurance violation2020MA-AG$145,000
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2020MD-INS$64,600
USAA General Indemnity Co. et al.USAAinsurance violation2020MD-INS$67,500
Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2020MO-INS$15,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2020MO-INS$48,500
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2020MO-INS$45,900
Permanent General Assurance Corp.American Family Insuranceinsurance violation2020MO-INS$15,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2020MO-INS$100,000
Principal Life Insurance CompanyPrincipal Financialinsurance violation2020MULTI-FIN$145,000
Gerber Life Insurance Co.Western & Southern Financial Groupinsurance violation2020NC-INS$3,635,665
Mid-Century Insurance CompanyZurich Insuranceinsurance violation2020NY-DFS$200,000
Praetorian Insurance CompanyQBE Insuranceinsurance violation2020NY-DFS$20,000
The Signal, LP, an Assurant CompanyAssurantinsurance violation2020NY-DFS$2,800,000
USAA Casualty Insurance Co.USAAinsurance violation2020OR-FIN$50,000
Federal Insurance Co.Chubb Limitedinsurance violation2020SD-INS$25,000
New Hampshire Insurance Co.American International Groupinsurance violation2020TX-INS$7,000
Old Republic Insurance Co.Old Republic Internationalinsurance violation2020TX-INS$18,150
Zurich American Insurance Co. of IllinoisZurich Insuranceinsurance violation2020TX-INS$10,800
Property and Casualty Insurance Co. of HartfordHartford Financial Servicesinsurance violation2020TX-INS$20,000
Travelers Property Casualty Co. of AmericaTravelersinsurance violation2020TX-INS$10,000
Old Republic Insurance Co.Old Republic Internationalinsurance violation2020TX-INS$7,000
Twin City Fire Insurance Co.Hartford Financial Servicesinsurance violation2020TX-INS$6,000
New Hampshire Insurance Co.American International Groupinsurance violation2020TX-INS$16,500
XL Specialty Insurance Co.AXAinsurance violation2020TX-INS$7,000
Ace American Insurance Co.Chubb Limitedinsurance violation2020TX-INS$19,500
New Hampshire Insurance Co.American International Groupinsurance violation2020TX-INS$9,500
New Hampshire Insurance Co.American International Groupinsurance violation2020TX-INS$5,500
Amica Mutual Insurance Co.Amica Mutual Insuranceinsurance violation2020TX-INS$120,000
Trumbull Insurance Co.Hartford Financial Servicesinsurance violation2020TX-INS$15,000
Sentinel Insurance Company, Ltd.Hartford Financial Servicesinsurance violation2020TX-INS$10,000
Dairyland Insurance Co. and Peak Property and Casualty Insurance Corp.Sentry Insuranceinsurance violation2020VA-INS$140,492
State Farm Life Insurance Co.State Farm Insuranceinsurance violation2020VT-FIN$204,000
Arch Insurance Co.Arch Capitalinsurance violation2020WA-INS$10,000
Crestbrook Insurance Co.Nationwideinsurance violation2020WA-INS$5,000
Cincinnati Insurance Co.Cincinnati Financialinsurance violation2020WA-INS$5,000
National Union Fire Insurance Company of Pittsburgh, PA. et al.American International Groupinsurance violation2020WA-INS$20,000
Guardian Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2020WA-INS$5,000
Northwestern Mutual Life Insurance Co.Northwestern Mutualinsurance violation2020WA-INS$50,000
Security National Insurance Co.Zurich Insuranceinsurance violation2020WA-INS$5,000
Privilege Underwriters Reciprocal ExchangeTokio Marineinsurance violation2020WA-INS$5,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2020CA-MHC$15,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2020CA-MHC$15,000
Highmark BCBSD IncHighmark Inc.insurance violation2020DE-INS$299,000
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2020DE-INS$20,000
Allstate Insurance GroupAllstateinsurance violation2020NY-DFS$1,455,368
State Farm Insurance GroupState Farm Insuranceinsurance violation2020NY-DFS$10,443,700
AIG Property Casualty CompanyAmerican International Groupinsurance violation2020NY-DFS$583,900
Principal Life Insurance CompanyPrincipal Financialinsurance violation2020NY-DFS$6,000,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2020OR-FIN$50,000
Selective Insurance Company of AmericaSelective Insurance Groupinsurance violation2020OR-FIN$10,000
Allstate Insurance CompanyAllstateinsurance violation2020OR-FIN$50,000
John Hancock Life and Health Insurance CompanyManulife Financialinsurance violation2020RI-FIN$44,877
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2020SD-INS$85,000
Arthur J. Gallagher Risk Management Services, Inc.Arthur J. Gallagher & Co.insurance violation2020TX-INS$9,675
Esurance Insurance CompanyAllstateinsurance violation2020TX-INS$200,000
American Income Life Insurance CompanyGlobe Life Inc.insurance violation2020VA-INS$18,000
Life Insurance Company of the SouthwestNational Life Groupinsurance violation2020VA-INS$6,600
Allied Property & Casualty Insurance Company et al.Nationwideinsurance violation2020VA-INS$17,500
Allied Property & Casualty Insurance Company et al.Nationwideinsurance violation2020VA-INS$20,000
HARTFORD CASUALTY INSURANCE COMPANYHartford Financial Servicesinsurance violation2020WA-INS$90,000
ACE AMERICAN INSURANCE COMPANY ET AL.Chubb Limitedinsurance violation2020WA-INS$50,000
NEW HAMPSHIRE INSURANCE COMPANYAmerican International Groupinsurance violation2020WA-INS$15,000
AMERICAN ECONOMY INSURANCE COMPANYLiberty Mutual Insuranceinsurance violation2020WA-INS$6,000
CONTINENTAL WESTERN INSURANCE COMPANYW.R. Berkleyinsurance violation2020WA-INS$10,000
AMERICAN ECONOMY INSURANCE COMPANY ET AL.Liberty Mutual Insuranceinsurance violation2020WA-INS$10,000
HORACE MANN INSURANCE COMPANYHorace Mann Educators Corp.insurance violation2020WA-INS$5,000
First American Title Co.First American Financialinsurance violation2021CA-INS$50,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2021CA-MHC$75,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2020CA-MHC$5,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.