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
Ragen Mackenzie Investment Services LLC	Wells Fargo	investor protection violation	2004	OR-FIN	$8,500
ING Life Insurance and Annuity Company	Voya Financial	insurance violation	2004	OR-FIN	$10,000
United of Omaha Life Insurance Company	Mutual of Omaha	insurance violation	2005	OR-FIN	$25,000
Farmers Insurance Company of Oregon	Zurich Insurance	insurance violation	2005	OR-FIN	$11,000
Great American Insurance Company of New York	American Financial Group	insurance violation	2005	OR-FIN	$5,000
MetLife Securities	MetLife	investor protection violation	2005	OR-FIN	$12,000
Progressive Classic Insurance Company	Progressive	insurance violation	2005	OR-FIN	$8,000
Marsh USA, Inc.	Marsh & McLennan	insurance violation	2005	OR-FIN	$75,000
Ameritas Life Insurance Corp.	Ameritas Mutual Holding Company	insurance violation	2006	OR-FIN	$5,000
Hartford Life and Accident Insurance Company	Hartford Financial Services	insurance violation	2006	OR-FIN	$17,500
Combined Insurance Company of America	Chubb Limited	insurance violation	2006	OR-FIN	$9,000
Fidelity National Title Company of Oregon	Fidelity National Financial	insurance violation	2006	OR-FIN	$6,000
ACE American Reinsurance Company	Chubb Limited	insurance violation	2006	OR-FIN	$8,300
AIG Life Insurance Company	American International Group	insurance violation	2006	OR-FIN	$10,000
National Union Fire Insurance Company of Pittsburgh, PA	American International Group	insurance violation	2006	OR-FIN	$30,000
United States Life Insurance Company in the City of New York	American International Group	insurance violation	2006	OR-FIN	$20,000
Progressive Northern Insurance Company	Progressive	insurance violation	2006	OR-FIN	$10,000
John Alden Life Insurance Company	Assurant	insurance violation	2007	OR-FIN	$10,000
Time Insurance Company	Haven Holdings	insurance violation	2007	OR-FIN	$60,000
Fidelity National Title Insurance Company	Fidelity National Financial	insurance violation	2007	OR-FIN	$10,000
Farmers Insurance Company of Oregon	Zurich Insurance	insurance violation	2007	OR-FIN	$20,000
Mid-Century Insurance Company	Zurich Insurance	insurance violation	2007	OR-FIN	$20,000
Reliance Standard Life Insurance Company	Tokio Marine	insurance violation	2007	OR-FIN	$10,000
ACE American Insurance Company	Chubb Limited	insurance violation	2007	OR-FIN	$15,000
AIU Insurance Company et al.	American International Group	insurance violation	2007	OR-FIN	$1,000,000
Ticor Title Insurance Company	Fidelity National Financial	insurance violation	2007	OR-FIN	$6,000
Nationwide Mutual Insurance Company	Nationwide	insurance violation	2007	OR-FIN	$10,000
AIG Casualty Company	American International Group	insurance violation	2007	OR-FIN	$7,500
American Home Assurance Company	American International Group	insurance violation	2007	OR-FIN	$10,000
Commerce and Industry Insurance Company	American International Group	insurance violation	2007	OR-FIN	$10,000
Granite State Insurance Company	American International Group	insurance violation	2007	OR-FIN	$5,000
The Insurance Company of the State of Pennsylvania	American International Group	insurance violation	2007	OR-FIN	$10,000
Reliance Standard Life Insurance Company	Tokio Marine	insurance violation	2007	OR-FIN	$5,000
Farmers Insurance Company of Oregon	Zurich Insurance	insurance violation	2007	OR-FIN	$10,000
Virginia Surety Company, Inc.	Assurant	insurance violation	2007	OR-FIN	$6,100
Virginia Surety Company, Inc.	Assurant	insurance violation	2008	OR-FIN	$25,000
QBE Insurance Corporation	QBE Insurance	insurance violation	2008	OR-FIN	$17,700
Bankers Life and Casualty Company	CNO Financial	insurance violation	2008	OR-FIN	$150,000
First American Title Insurance Company of Oregon	First American Financial	insurance violation	2008	OR-FIN	$6,000
American Family Mutual Insurance Company	American Family Insurance	insurance violation	2008	OR-FIN	$6,500
National Union Fire Insurance Company of Pittsburgh, PA	American International Group	insurance violation	2009	OR-FIN	$65,000
Virginia Surety Company, Inc.	Assurant	insurance violation	2009	OR-FIN	$10,000
Transamerica Life Insurance Company	Aegon	insurance violation	2009	OR-FIN	$25,000
AMEX Assurance Company	American Express	insurance violation	2009	OR-FIN	$25,000
Stewart Title Guaranty Company	Stewart Information Services	insurance violation	2009	OR-FIN	$30,000
First American Title Insurance Company	First American Financial	insurance violation	2009	OR-FIN	$61,000
Prosper Marketplace Inc.	Prosper Marketplace	investor protection violation	2009	OR-FIN	$15,000
First American Title Insurance Company of Oregon	First American Financial	insurance violation	2009	OR-FIN	$18,000
Farmers Insurance Company of Oregon	Zurich Insurance	insurance violation	2009	OR-FIN	$10,000
Liberty Northwest Insurance Corporation	Liberty Mutual Insurance	insurance violation	2009	OR-FIN	$5,000
American General Financial Services Inc.	OneMain Holdings	privacy violation	2010	OR-FIN	$75,000
Bankers Life and Casualty Company	CNO Financial	insurance violation	2010	OR-FIN	$25,000
Ace Fire Underwriters Insurance Company	Chubb Limited	insurance violation	2010	OR-FIN	$7,900
AMCO Insurance Company	Nationwide	insurance violation	2010	OR-FIN	$8,000
Bankers Life and Casualty Company	CNO Financial	insurance violation	2011	OR-FIN	$5,000
United of Omaha Life Insurance Company	Mutual of Omaha	insurance violation	2011	OR-FIN	$5,000
Metropolitan Life Insurance Company	MetLife	insurance violation	2011	OR-FIN	$5,000
Standard Insurance Company	Meiji Yasuda Life Insurance	insurance violation	2011	OR-FIN	$15,000
AXA Advisors LLC	Equitable Holdings	investor protection violation	2011	OR-FIN	$80,000
LPL Financial LLC	LPL Financial	investor protection violation	2011	OR-FIN	$100,000
Hartford Life and Accident Insurance Company	Hartford Financial Services	insurance violation	2012	OR-FIN	$5,000
Bankers Life and Casualty Company	CNO Financial	insurance violation	2012	OR-FIN	$14,000
Navigators Insurance Company	Hartford Financial Services	insurance violation	2012	OR-FIN	$17,000
American Home Assurance Company	American International Group	consumer protection violation	2012	OR-FIN	$20,000
Commerce and Industry Insurance Company	American International Group	insurance violation	2012	OR-FIN	$20,000
New Hampshire Insurance Company	American International Group	insurance violation	2012	OR-FIN	$30,000
Insurance Company of the State of Pennsylvania	American International Group	insurance violation	2012	OR-FIN	$10,000
Western Sky Financial, LLC	CashCall Inc.	consumer protection violation	2012	OR-FIN	$17,500
Allstate Insurance Company	Allstate	insurance violation	2013	OR-FIN	$50,000
Progressive Classic Insurance Company	Progressive	insurance violation	2013	OR-FIN	$6,000
Time Insurance Company	Haven Holdings	insurance violation	2014	OR-FIN	$40,000
Bankers Life and Casualty Company	CNO Financial	insurance violation	2014	OR-FIN	$115,000
Time Insurance Company	Haven Holdings	insurance violation	2016	OR-FIN	$178,948
Lincoln National Life Insurance Company	Lincoln National	insurance violation	2016	OR-FIN	$15,000
John Hancock Life Insurance Company (U.S.A.)	Manulife Financial	insurance violation	2017	OR-FIN	$36,500
Progressive Universal Insurance Company et al.	Progressive	insurance violation	2017	OR-FIN	$10,000
John Hancock Life Insurance Company (U.S.A.)	Manulife Financial	insurance violation	2018	OR-FIN	$49,000
United Services Automobile Association	USAA	insurance violation	2018	OR-FIN	$6,200
USAA General Indemnity Company	USAA	insurance violation	2018	OR-FIN	$5,000
Standard Fire Insurance Company	Travelers	insurance violation	2018	OR-FIN	$71,200
Liberty Northwest Insurance Corporation	Liberty Mutual Insurance	insurance violation	2019	OR-FIN	$15,000
Hartford Insurance Company of the Midwest	Hartford Financial Services	insurance violation	2019	OR-FIN	$50,000
Minnesota Life Insurance Company	Securian Financial	insurance violation	2019	OR-FIN	$5,000
Solium Financial Services LLC	Morgan Stanley	investor protection violation	2020	OR-FIN	$10,599
The Prudential Insurance Company of America	Prudential Financial	insurance violation	2020	OR-FIN	$25,000
USAA Casualty Insurance Co.	USAA	insurance violation	2020	OR-FIN	$50,000
United States Fire Insurance Company	Fairfax Financial Holdings	insurance violation	2020	OR-FIN	$50,000
Selective Insurance Company of America	Selective Insurance Group	insurance violation	2020	OR-FIN	$10,000
Allstate Insurance Company	Allstate	insurance violation	2020	OR-FIN	$50,000
Liberty Northwest Insurance Corp.	Liberty Mutual Insurance	insurance violation	2021	OR-FIN	$5,000
Safeco Insurance Company of Oregon	Liberty Mutual Insurance	insurance violation	2021	OR-FIN	$5,000
Foremost Insurance Company Grand Rapids, Michigan	Zurich Insurance	insurance violation	2021	OR-FIN	$15,000
Liberty Mutual Group Inc. and Safeco Insurance Company of Oregon	Liberty Mutual Insurance	insurance violation	2021	OR-FIN	$120,000
American Bankers Insurance Company of Florida	Assurant	insurance violation	2021	OR-FIN	$20,000
Generali - U.S. Branch dba The General Insurance Company of Trieste & Venice	Assicurazioni Generali	insurance violation	2021	OR-FIN	$10,000
Progressive Universal Insurance Company	Progressive	insurance violation	2022	OR-FIN	$11,000
National Union Fire Insurance Company of Pittsburgh, PA	American International Group	insurance violation	2022	OR-FIN	$20,000
Alpha Property & Casualty Insurance Company	Kemper	insurance violation	2023	OR-FIN	$30,000
United States Fire Insurance Company	Fairfax Financial Holdings	insurance violation	2023	OR-FIN	$25,000
USAA General Indemnity Company	USAA	insurance violation	2023	OR-FIN	$50,200
State Farm Mutual Automobile Insurance Company	State Farm Insurance	insurance violation	2024	OR-FIN	$100,000