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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $364,987,502,767
Number of Records: 7,424
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$83,860,718,022283
JPMorgan Chase$36,735,865,891239
Citigroup$26,665,437,031170
Wells Fargo$25,943,801,143236
Deutsche Bank$19,684,396,13592
UBS$17,479,735,000115
Goldman Sachs$17,054,777,59197
NatWest Group PLC$14,007,380,19038
Credit Suisse$11,673,430,79257
Morgan Stanley$10,440,931,900196

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 TypeYear sort icon . AgencyPenalty Amount
COMMERCE AND INDUSTRY INSURANCE COMPANYAmerican International Groupinsurance violation2001FL-OFR$11,500
EMPLOYERS INSURANCE OF WAUSAU, A MUTUAL COMPANYLiberty Mutual Insuranceinsurance violation2001FL-OFR$23,075
GREAT AMERICAN ALLIANCE INSURANCE COMPANYAmerican Financial Groupinsurance violation2001FL-OFR$5,500
GREAT AMERICAN ASSURANCE COMPANYAmerican Financial Groupinsurance violation2001FL-OFR$12,500
STANDARD GUARANTY INSURANCE COMPANYAssurantinsurance violation2001FL-OFR$6,000
T.H.E. INSURANCE COMPANYAXAinsurance violation2001FL-OFR$15,000
WAUSAU BUSINESS INSURANCE COMPANYLiberty Mutual Insuranceinsurance violation2001FL-OFR$14,625
WAUSAU UNDERWRITERS INSURANCE COMPANYLiberty Mutual Insuranceinsurance violation2001FL-OFR$26,325
ZENITH INSURANCE COMPANYFairfax Financial Holdingsinsurance violation2001FL-OFR$6,850
Conseco Senior Health Insurance Co.CNO Financialinsurance violation2001FL-OFR$22,500
Bankers Life and Casualty Co.CNO Financialinsurance violation2001FL-OFR$10,500
Globe Life and Accident Insurance Co.Globe Life Inc.insurance violation2001FL-OFR$6,000
Sagamore Insurance Co.Progressiveinsurance violation2001KS-INS$20,000
United Services Automobile AssociationUSAAinsurance violation2001KS-INS$5,000
Hanover Insurance CompanyHanover Insuranceinsurance violation2001MA-INS$7,040
Fidelity & Guaranty Insurance CompanyFidelity National Financialinsurance violation2001MA-INS$21,037
Valley Forge Life Insurance CompanyPrudential PLCinsurance violation2001MA-INS$11,600
American Bankers Insurance Company of FloridaAssurantinsurance violation2001MA-INS$65,000
Sentry Insurance A Mutual CompanySentry Insuranceinsurance violation2001MA-INS$14,500
Fortis Insurance Co. and Fortis Benefits Insurance Co.Assurantinsurance violation2001MN-FIN$5,000
Metropolitan Property and Casualty Insurance Co. et al.Zurich Insuranceinsurance violation2001MN-FIN$10,000
National Union Fire Insurance Company of Pittsburgh, Pa.American International Groupinsurance violation2001MN-FIN$7,500
State Farm Mutual Automobile Insurance Co. and State Farm Fire and Casualty Co.State Farm Insuranceinsurance violation2001MN-FIN$75,000
Allstate Insurance Co.Allstateinsurance violation2001MN-FIN$10,000
Hartford Accident and Indemnity Co.Hartford Financial Servicesinsurance violation2001MN-FIN$6,000
US Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2001ND-SEC$23,250
Conseco Senior Health Insurance CompanyCNO Financialinsurance violation2001ND-INS$5,000
Prudential Insurance Company of AmericaPrudential Financialinsurance violation2001NJ-DBI$25,100,000
CitigroupCitigroupdiscriminatory practices (non-employment)2001NY-DFS$1,000,000
U.S. Trust CorporationBank of Americaanti-money-laundering deficiencies2001NY-DFS$5,000,000
DAIRYLAND INSURANCE COSentry Insuranceinsurance violation2001VA-INS$8,500
AMERICAN GENERAL LIFEAmerican International Groupinsurance violation2001VA-INS$14,000
JEFFERSON PILOT LIFE INSURANCELincoln Nationalinsurance violation2001VA-INS$42,000
CONSECO HEALTH INSURANCE COMPANYCNO Financialinsurance violation2001VA-INS$19,000
HARTFORD FIRE INSURANCE CO. ET ALHartford Financial Servicesinsurance violation2001VA-INS$30,000
PROGRESSIVE AMERICAN INSURANCE CO.Progressiveinsurance violation2001VA-INS$23,000
Group Hospitalization and Medical Services, Inc.CareFirst of Marylandinsurance violation2001VA-INS$12,000
CAREFIRST BLUE CHOICE INCCareFirst of Marylandinsurance violation2001VA-INS$12,000
MONUMENTAL LIFE INSURANCE COAegoninsurance violation2001VA-INS$5,000
HARLEYSVILLE MUTUAL INSURANCE CONationwideinsurance violation2001VA-INS$21,000
AMERITAS LIFE INSURANCE CORPAmeritas Mutual Holding Companyinsurance violation2001VA-INS$9,000
AMERICAN BANKERS LIFE ASSURANCE OF FLORIDAAssurantinsurance violation2001VA-INS$15,000
PACIFIC LIFE & ANNUITY COMPANYPacific Lifeinsurance violation2001VA-INS$9,000
RELIASTAR LIFE INSURANCE COVoya Financialinsurance violation2001VA-INS$9,000
FORTIS INSURANCE COMPANYAssurantinsurance violation2001VA-INS$57,000
Hartford Accident and Indemnity Co.Hartford Financial Servicesinsurance violation2001WI-INS$15,000
Progressive Northern Insurance Co.Progressiveinsurance violation2001WI-INS$70,000
American Bankers Insurance Group Inc.Assurantinsurance violation2001MULTI-FIN$3,000,000
RR DONNELLEY & SONS COChatham Asset Managementenvironmental violation2001IN-ENV$15,800
RR DONNELLEY & SONS COChatham Asset Managementenvironmental violation2001IN-ENV$9,200
WHEELABRATOR GLOUCESTER COMPANY, L.P.Macquarieenvironmental violation2001NJ-ENV$10,400
WHEELABRATOR GLOUCESTER COMPANY, L.P.Macquarieenvironmental violation2001NJ-ENV$11,200
CUNA Brokerage Services, Inc.CUNA Mutualinvestor protection violation2001FINRA$100,000
Prudential Securities IncorporatedWells Fargoinvestor protection violation2001FINRA$20,000
J.P. Morgan Securities, Inc.JPMorgan Chaseinvestor protection violation2001FINRA$10,000
Schwab Capital MarketsUBSinvestor protection violation2001FINRA$12,000
Spear, Leeds & KelloggGoldman Sachsinvestor protection violation2001FINRA$10,000
E-Trade SecuritiesMorgan Stanleyinvestor protection violation2001FINRA$90,000
Banc of America Securities LLCBank of Americainvestor protection violation2001FINRA$40,000
Credit Suisse First Boston CorporationCredit Suisseinvestor protection violation2001FINRA$25,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2001FINRA$15,000
Chase Securities, Inc.JPMorgan Chaseinvestor protection violation2001FINRA$10,000
Josephthal & Co., Inc.Oppenheimer Holdingsinvestor protection violation2001FINRA$2,300,000
Stifel, Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2001FINRA$225,000
Prudential Securities, Inc.Wells Fargoinvestor protection violation2001FINRA$10,000
First Union Brokerage Services, Inc.Wells Fargoinvestor protection violation2001FINRA$32,500
Branch Banking & Trust CorporationTruist Financialcampaign finance violation2001FEC$22,000
RR DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2001OSHA$5,000
GARNER PRINTINGChatham Asset Managementworkplace safety or health violation2001OSHA$6,000
SPENCER PRESS OF MAINE, INC.Chatham Asset Managementworkplace safety or health violation2001OSHA$10,500
R. R. DONNELLEY AND SONS COMPANYChatham Asset Managementenvironmental violation2001EPA$11,344
Prudential Securities, Inc.Wells Fargodata submission deficiencies2002CFTC$65,000
THE COLUMBIA BANKFulton Financialbanking violation2002FDIC$7,000
Citigroup Inc.Citigroupconsumer protection violation2002FTC$215,000,000
General American Life Insurance Company, Inc.MetLifeFalse Claims Act and related2002DOJ_CIVIL$76,000,000
Bank of ChinaBank of Chinabanking violation2002OCC$10,000,000
Deutsche Bank Securities Inc.Deutsche Bankdata submission deficiencies2002SEC$1,650,000
Goldman, Sachs & Co.Goldman Sachsdata submission deficiencies2002SEC$1,650,000
Morgan Stanley & Co. IncorporatedMorgan Stanleydata submission deficiencies2002SEC$1,650,000
Salomon Smith Barney Inc.Morgan Stanleydata submission deficiencies2002SEC$1,650,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerdata submission deficiencies2002SEC$1,650,000
Credit Suisse First Boston CorporationCredit Suisseinvestor protection violation2002SEC$100,000,000
R.R. Donnelley & SonsChatham Asset Managementemployment discrimination2002EEOC$150,000
Conseco Finance Servicing Corp.CNO Financialwage and hour violation2002WHD$145,512
MetLife Financial ServicesMetLifelabor relations violation2002NLRB$18,500
DitechDitech Holding Corporationwage and hour violation2002private lawsuit-federal$6,150,000
Coast National InsuranceZurich Insurancewage and hour violation2002private lawsuit-state$18,000,000
American Express Financial AdvisorsAmeriprise Financialemployment discrimination2002private lawsuit-federal$31,000,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2002SEC$100,000
Dean Witter Reynolds Inc.Morgan Stanleyinvestor protection violation2002SEC$500,000
RBC Dain Rauscher IncorporatedRoyal Bank of Canadainvestor protection violation2002SEC$500,000
Knight Securities, L.P.Virtu Financialinvestor protection violation2002SEC$75,000
Josephthal & Co., Inc.Oppenheimer Holdingsinvestor protection violation2002SEC$75,000
Norwest Investment Services, Inc.Wells Fargoinvestor protection violation2002SEC$153,245
ACE Cash Express, Inc.ACE Cash Expressconsumer protection violation2002CO-AG$1,300,000
Bankers Life and Casualty CompanyCNO Financialprivacy violation2002KY-AG$5,000
Bear Stearns & Co. LLCJPMorgan Chaseinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $80,000,000
CitibankCitigroupconsumer protection violation2002MULTI-AG$1,600,000
CitibankCitigroupconsumer protection violation2002CA-AG$1,600,000
CitibankCitigroupgambling violation2002NY-AG$100,000
Credit Suisse First Boston Corp.Credit Suisseinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $200,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.