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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 CompaniesTotal Penalty $Number of Records
Bank of America$87,286,650,890328
JPMorgan Chase$39,340,688,209275
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 Parent sort iconPrimary Offense TypeYearAgencyPenalty Amount
AonAonwage and hour violation2011private lawsuit-state$10,500,000
Hewitt AssociatesAonwage and hour violation2009private lawsuit-federal$4,900,000
Aon CorporationAonbenefit plan administrator violation2010private lawsuit-federal$1,800,000
Aon Corp.Aonconsumer protection violation2008FL-AG$4,000,000
Aon CorporationAonprice-fixing or anti-competitive practices2005MULTI-AG$190,000,000
AON RISK SERVICES OF PR, INC.Aonbenefit plan administrator violation2019EBSA$10,001
AON SERVICE CORPORATIONAonwage and hour violation2017WHD$7,406
Aon Risk Services Inc. of WashingtonAoninsurance violation2002AK-INS$5,000
Aon Risk Services Inc. of PennsylvaniaAoninsurance violation2005MA-INS$19,000
Aon Risk Services NortheastAoninsurance violation2014MA-INS$15,000
AON Risk Services IncAoninsurance violation2004NJ-DBI$10,000
Affinity Insurance Services Inc.Aoninsurance violation2004PA-INS$5,000
Affinity Insurance Services Inc.Aoninsurance violation2006PA-INS$40,000
Aon Risk Services Central Inc.Aoninsurance violation2008PA-INS$5,000
Aon Hewitt Health Market Insurance Solutions, Inc.Aonwage and hour violation2021private lawsuit-federal$1,250,000
Affinity Insurance Services, Inc.Aoninsurance violation2021AK-INS$35,000
Aon CorporationAonprice-fixing or anti-competitive practices2012private lawsuit-federal$3,727,272
Aon Risk ServicesAonemployment discrimination2022NY-NYCCHR$80,000
Aon Risk Services Central Inc.Aoninsurance violation2023NY-DFS$12,000
Aon Risk Services Northeast Inc.Aoninsurance violation2023NY-DFS$215,725
Aon Risk Services Southwest IncAoninsurance violation2023TX-INS$7,575
Aon Investments USA Inc.Aoninvestor protection violation2024SEC$1,542,187
Arab Banking Corp.Arab Banking Corp.economic sanction violation2004OFAC$5,500
Arch Insurance CompanyArch Capitalconsumer protection violation2010MD-AG$460,000
Arch Insurance Co.Arch Capitalinsurance violation2019ID-INS$5,000
Arch Insurance Co.Arch Capitalinsurance violation2016MO-INS$145,000
Arch Insurance Co.Arch Capitalinsurance violation2013MT-FIN$29,075
Arch Insurance CompanyArch Capitalinsurance violation2019NY-DFS$5,000,000
Arch Insurance CompanyArch Capitalinsurance violation2010TX-INS$14,000
Arch Insurance CompanyArch Capitalinsurance violation2012TX-INS$26,500
Arch Insurance CompanyArch Capitalinsurance violation2014TX-INS$40,143
Arch Insurance CompanyArch Capitalinsurance violation2014TX-INS$10,000
Arch Insurance CompanyArch Capitalinsurance violation2015TX-INS$19,000
Arch Insurance CompanyArch Capitalinsurance violation2016TX-INS$32,500
Arch Insurance CompanyArch Capitalinsurance violation2017TX-INS$5,000
Arch Insurance CompanyArch Capitalinsurance violation2018TX-INS$7,000
Arch Indemnity Insurance CompanyArch Capitalinsurance violation2019TX-INS$10,250
Arch Insurance CompanyArch Capitalinsurance violation2019VA-INS$26,447
Arch Insurance CompanyArch Capitalinsurance violation2011WA-INS$20,000
Arch Insurance CompanyArch Capitalinsurance violation2017MULTI-FIN$1,017,000
Arch Insurance Co.Arch Capitalinsurance violation2020WA-INS$10,000
Arch Insurance Co.Arch Capitalinsurance violation2021TX-INS$6,000
Arch Insurance Co.Arch Capitalinsurance violation2021TX-INS$69,000
Arch Insurance CompanyArch Capitalinsurance violation2022TX-INS$20,000
Arch Indemnity Insurance CompanyArch Capitalinsurance violation2022TX-INS$19,000
Arch Insurance CompanyArch Capitalinsurance violation2022TX-INS$11,000
Arch Insurance CompanyArch Capitalinsurance violation2022TX-INS$22,000
Arch Insurance CompanyArch Capitalinsurance violation2022CT-INS$6,500
Arch Insurance CompanyArch Capitalinsurance violation2023TX-INS$10,000
Arch Indemnity Insurance CompanyArch Capitalinsurance violation2023TX-INS$8,500
Arch Indemnity Insurance CompanyArch Capitalinsurance violation2023TX-INS$11,000
Arch Insurance CompanyArch Capitalinsurance violation2023TX-INS$25,000
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.insider trading2006SEC$3,755,839
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.investor protection violation2004SEC$125,000
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.investor protection violation2008FINRA$50,000
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.investor protection violation2006FINRA$4,000,000
Arthur J. GallagherArthur J. Gallagher & Co.wage and hour violation2011private lawsuit-federal$3,900,000
Arthur J. Gallagher & Co.Arthur J. Gallagher & Co.consumer protection violation2005IL-AG$27,000,000
Buck Consultants, Inc.Arthur J. Gallagher & Co.insurance violation2002MT-FIN$9,000
Gallagher Benefit Services, Inc.Arthur J. Gallagher & Co.insurance violation2014NJ-DBI$5,000
Arthur J. Gallagher Risk Management Services, Inc.Arthur J. Gallagher & Co.insurance violation2018TX-INS$6,300
Arthur J. Gallagher Risk Management Services, Inc.Arthur J. Gallagher & Co.insurance violation2020TX-INS$7,025
Arthur J. Gallagher Risk Management Services, Inc.Arthur J. Gallagher & Co.insurance violation2020TX-INS$9,675
Arthur J. Gallagher Risk Management Services, Inc.Arthur J. Gallagher & Co.insurance violation2020NY-DFS$300,800
Arthur J. Gallagher Risk Management Services, Inc.Arthur J. Gallagher & Co.insurance violation2020NY-DFS$39,750
Arthur J. Gallagher & Co.Arthur J. Gallagher & Co.employment discrimination2021EEOC$40,000
Arthur J. Gallagher Risk Management Services, Inc.Arthur J. Gallagher & Co.insurance violation2022TX-INS$10,950
Arthur J. Gallagher & Co.Arthur J. Gallagher & Co.price-fixing or anti-competitive practices2007private lawsuit-federal$28,000,000
Arthur J. Gallagher & Co. Insurance Brokers of California, Inc.Arthur J. Gallagher & Co.insurance violation2023NY-DFS$49,850
Arthur J Gallagher & Co. Insurance Brokers of California Inc.Arthur J. Gallagher & Co.insurance violation2023NY-DFS$45,300
Arthur J. Gallagher Risk Management Services, LLCArthur J. Gallagher & Co.insurance violation2023TX-INS$11,875
Generali U.S. BranchAssicurazioni Generaliinsurance violation2017MULTI-FIN$492,000
Generali - U.S. Branch dba The General Insurance Company of Trieste & VeniceAssicurazioni Generaliinsurance violation2021OR-FIN$10,000
Associated Bank, National AssociationAssociated Banc-Corpbanking violation2014OCC$500,000
Associated Bank, National AssociationAssociated Banc-Corpbanking violation2007OCC$125,000
Associated Bank, N.A.Associated Banc-Corpdiscriminatory practices (non-employment)2015HUD$200,000,000
Associated Banc-CorpAssociated Banc-Corpwage and hour violation2012private lawsuit-federal$1,275,000
Associated Bank N.A.Associated Banc-Corpconsumer protection violation2013private lawsuit-federal$13,000,000
Assurant Inc.Assurantaccounting fraud or deficiencies2010SEC$3,500,000
American Bankers Insurance Co.Assurantconsumer protection violation2006MA-AG$20,000
American Security Insurance Co.Assurantconsumer protection violation2017MA-AG$6,300,000
American Security Insurance Co.Assurantconsumer protection violation2015MA-AG$565,000
American Security Insurance Co.Assurantconsumer protection violation2019MS-AG$767,394
Resource Life Insurance Co.Assurantconsumer protection violation2010TX-AG$2,600,000
Union Security Insurance CompanyAssurantconsumer protection violation2007MA-AG$28,000
Union Security Life Insurance CoAssurantconsumer protection violation2000MA-AG$1,000,000
American Security Insurance CompanyAssurantemployment discrimination2020EEOC$49,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2011AZ-DIFI$36,000
John Alden Life Insurance Co.Assurantinsurance violation2013AZ-DIFI$90,000
Union Security Insurance Co.Assurantinsurance violation2013AZ-DIFI$40,000
American Bankers Insurance Company of Florida et al.Assurantinsurance violation2004CA-INS$150,000
American Bankers Insurance Company of Florida et al.Assurantinsurance violation2005CA-INS$250,000
American Bankers Life Assurance Company of Florida et al.Assurantinsurance violation2008CA-INS$750,000
John Alden Life Insurance Co.Assurantinsurance violation2012CO-INS$86,500
Assurant HealthAssurantinsurance violation2008CT-INS$2,100,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2020CT-INS$198,000
STANDARD GUARANTY INSURANCE COMPANYAssurantinsurance violation2001FL-OFR$6,000
Fortis Insurance Co.Assurantinsurance violation2007FL-OFR$11,000
American Bankers Life Assurance Company of FloridaAssurantinsurance violation2011IL-INS$15,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2007IN-INS$87,500
American Bankers Insurance Company of FloridaAssurantinsurance violation2001MA-INS$65,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.