Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$380,111,147,460
Number of Records: 7,452
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$87,232,669,824317
JPMorgan Chase$38,995,648,319267
Wells Fargo$27,517,918,911260
Deutsche Bank$19,968,467,56396
Goldman Sachs$17,475,327,552105
NatWest Group PLC$14,349,701,61842
Morgan Stanley$10,535,931,900197
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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentPrimary Offense TypeYear sort icon . AgencyPenalty Amount
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020NM-SEC$6,500
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
Goldman Sachs GroupGoldman Sachsinvestor protection violation2020NY-DFS$150,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2020OCC$250,000,000
USAA Federal Savings BankUSAAbanking violation2020OCC$85,000,000
Morgan Stanley Bank, N.A.Morgan Stanleybanking violation2020OCC$60,000,000
Citibank, National AssociationCitigroupbanking violation2020OCC$400,000,000
CIT Bank, National AssociationFirst Citizens BancSharesbanking violation2020OCC$82,500
JPMorgan Chase & Co.JPMorgan Chaseemployment discrimination2020OFCCP$9,000,000
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
Ameritas Investment Company LLCAmeritas Mutual Holding Companyinvestor protection violation2020PA-BKG$100,000
John Hancock Life and Health Insurance CompanyManulife Financialinsurance violation2020RI-FIN$44,877
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020RI-FIN$6,500
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020SC-SEC$28,007
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2020SD-INS$85,000
Goldman Sachs Group Inc.Goldman SachsForeign Corrupt Practices Act2020SEC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,006,000,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2020SEC$5,000,000
Transamerica Asset Management, Inc.Aegoninvestor protection violation2020SEC$5,946,782
BGC Partners, Inc.BGC Partnersinvestor protection violation2020SEC$1,400,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2020SEC$35,000,000
Fulton Financial CorporationFulton Financialinvestor protection violation2020SEC$1,500,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2020SEC$600,000
Arthur J. Gallagher Risk Management Services, Inc.Arthur J. Gallagher & violation2020TX-INS$9,675
Esurance Insurance CompanyAllstateinsurance violation2020TX-INS$200,000
American Income Life Insurance CompanyGlobe Life 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 violation2020WA-INS$5,000
AmeriSave Mortgage CorporationAmeriSave Mortgageprivacy violation2020private lawsuit-federal$6,250,000
Wells Fargo BankWells Fargowage and hour violation2020private lawsuit-federal$10,928,870
Wells Fargo & CompanyWells Fargobenefit plan administrator violation2020private lawsuit-federal$79,000,000
Wells Fargo Bank, N.A.Wells Fargowage and hour violation2020private lawsuit-federal$25,696,122
RR DonnelleyChatham Asset Managementwage and hour violation2020IL-DOL$30,000
WHEELABRATOR FALLS INCMacquarieenvironmental violation2020PA-ENV$12,000
Oscar Health Plan of CaliforniaOscar Health violation2020CA-MHC$5,000
Discover Bank et al.Discover Financial Servicesconsumer protection violation2020CFPB$35,000,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2020CFPB$4,750,000
RBS Financial Products, Inc.NatWest Group PLCtoxic securities abuses2020MD-AG$18,000,000
Everest Reinsurance CompanyEverest Re Groupinsurance violation2020MN-FIN$8,000
American Family Mutual Insurance Co. and American Family Insurance Co.American Family Insuranceinsurance violation2020MN-FIN$35,000
PayPal, Inc. dba VenmoPayPal Holdingsconsumer protection violation2020MN-FIN$20,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2020NH-BSR$26,250,000
USAA Federal Savings BankUSAAbanking violation2020OCC$382,500
State Farm Bank, FSBState Farm Insurancebanking violation2020OCC$547,200
Pruco Securities, LLCPrudential Financialinvestor protection violation2020SEC$18,252,341
Voya Financial Advisors, Inc.Voya Financialinvestor protection violation2020SEC$22,919,155
Robinhood Financial LLCRobinhood Marketsinvestor protection violation2020SEC$65,000,000
Ameritas Life Insurance Corp.Ameritas Mutual Holding Companyinsurance violation2020TN-INS$30,000
Buckeye Texas Processing LLCIFM Investorsenvironmental violation2020TX-ENV$607,617
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2020TX-INS$15,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2020TX-INS$9,500
Unitrin County Mutual Insurance CompanyKemperinsurance violation2020TX-INS$80,000
Liberty Mutual Insurance CompanyLiberty Mutual Insuranceinsurance violation2020TX-INS$8,500
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2020TX-INS$8,500
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2020TX-INS$7,500
Erie Insurance Company and Erie Insurance ExchangeErie Indemnityinsurance violation2020VA-INS$19,371
Lincoln National Life Insurance CompanyLincoln Nationalinsurance violation2020VA-INS$7,800
TIAA Bank, FSBTIAAwage and hour violation2020private lawsuit-federal$3,500,000
Transamerica Financial Advisors, Inc.Aegoninvestor protection violation2020FINRA$8,800,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargoinvestor protection violation2020FINRA$2,075,000
Interactive Brokers LLCInteractive Brokers Groupanti-money-laundering deficiencies2020FINRA$15,000,000
SG Americas Securities, LLCSociete Generaleinvestor protection violation2020FINRA$1,550,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2020FINRA$7,200,000
Stifel, Nicolaus & Company, IncorporatedStifel Financialinvestor protection violation2020FINRA$3,650,000
State Farm Fire & Casualty CompanyState Farm Insuranceinsurance violation2020CT-INS$60,000
Transamerica Life Insurance CompanyAegoninsurance violation2020CT-INS$10,000
American General Life Insurance CompanyAmerican International Groupinsurance violation2020CT-INS$10,000
Minnesota Life Insurance CompanySecurian Financialinsurance violation2020CT-INS$7,000
Standard Insurance CompanyMeiji Yasuda Life Insuranceinsurance violation2020CT-INS$10,000
Principal Life Insurance CompanyPrincipal Financialinsurance violation2020CT-INS$10,000
Harleysville Worcester Insurance CompanyNationwideinsurance violation2020CT-INS$6,500
Progressive Direct Insurance CompanyProgressiveinsurance violation2020CT-INS$56,500
Crestbrook Insurance CompanyNationwideinsurance violation2020CT-INS$15,500
American Guarantee and Liability Insurance CompanyZurich Insuranceinsurance violation2020CT-INS$10,000
Janney Montgomery Scott, LLCPenn Mutualinvestor protection violation2020CT-SEC$250,000
Schupp & Grochmal, LLCSchupp & Grochmalinvestor protection violation2020CT-SEC$7,500
Transamerica Financial Life Insurance CompanyAegoninsurance violation2020NY-DFS$750,000
Mercury Casualty CompanyMercury General Corporationinsurance violation2020NY-DFS$11,000
Arthur J. Gallagher Risk Management Services, Inc.Arthur J. Gallagher & violation2020NY-DFS$300,800
Arthur J. Gallagher Risk Management Services, Inc.Arthur J. Gallagher & violation2020NY-DFS$39,750
HSBCHSBCemployment discrimination2020NY-NYCCHR$30,000
Zurich American Life Insurance Company of New YorkZurich Insuranceinsurance violation2020NY-DFS$25,000
ReliaStar Life Insurance Company of New YorkVoya Financialinsurance violation2020NY-DFS$169,000
Bankers Conseco Life Insurance CompanyCNO Financialinsurance violation2020NY-DFS$75,000
William Penn Life Insurance Company of New YorkLegal & General Group PLCinsurance violation2020NY-DFS$110,000
National Integrity Life Insurance CompanyWestern & Southern Financial Groupinsurance violation2020NY-DFS$20,000
Ameritas Life Insurance Corp. of New YorkAmeritas Mutual Holding Companyinsurance violation2020NY-DFS$84,668
Bank Of The WestBank of Montrealwage and hour violation2020CA-LCO$5,783
Bank of America N.A.Bank of Americaprice-fixing or anti-competitive practices2020private lawsuit-federal$5,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.