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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
Chicago Insurance Co.Allianzinsurance violation2008FL-OFR$130,000
AGCS Marine Insurance Co.Allianzinsurance violation2017KS-INS$63,483
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2019KS-INS$60,000
Fireman's Fund Insurance CompanyAllianzinsurance violation2002MA-INS$20,000
American Automobile Insurance CompanyAllianzinsurance violation2005MA-INS$9,000
American Automobile Insurance Co.Allianzinsurance violation2015MD-INS$5,000
Fireman's Fund Insurance Co.Allianzinsurance violation2015MD-INS$5,000
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2017MD-INS$9,850
Allianz Life Insurance Company of North America et al.Allianzinsurance violation2016MN-FIN$550,000
Allianz Life Insurance Company of New YorkAllianzinsurance violation2013NY-DFS$135,000
AGCS Marine Insurance CompanyAllianzinsurance violation2016PA-INS$10,000
Fireman's Fund Insurance CompanyAllianzinsurance violation2016TX-INS$15,000
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2011UT-INS$50,000
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2011UT-INS$29,500
American Automobile Insurance Company et al.Allianzinsurance violation2011VA-INS$10,973
AMERICAN AUTOMOBILE INSURANCE CORPAllianzinsurance violation2012VA-INS$5,000
Chicago Insurance CompanyAllianzinsurance violation2010WA-INS$7,500
Allianz Life Insurance Company Of North AmericaAllianzinsurance violation2013WA-INS$150,000
AGCS Marine Insurance CompanyAllianzinsurance violation2015WA-INS$300,000
Jefferson Insurance CompanyAllianzinsurance violation2016WA-INS$5,000
AGCS Marine Insurance CompanyAllianzinsurance violation2016WA-INS$15,000
AGCS Marine Insurance CompanyAllianzinsurance violation2017WA-INS$5,000
American Automobile Insurance CompanyAllianzinsurance violation2018WA-INS$10,000
Jefferson Insurance CompanyAllianzinsurance violation2017MULTI-FIN$1,800,000
USAllianz SecuritiesAllianzinvestor protection violation2006FINRA$5,000,000
Allianz Global Investors U.S. LLCAllianzinvestor protection violation2022SEC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,024,200,000
Allianz Global Investors U.S. LLCAllianzinvestor protection violation2022USAO$5,763,000,000
Fireman's Fund Insurance CompanyAllianzinsurance violation2022TX-INS$10,000
Fireman's Fund Insurance Corp.Allianzprice-fixing or anti-competitive practices2012private lawsuit-federal$3,727,272
Allianz Life Insurance Company of North AmericaAllianzconsumer protection violation2015private lawsuit-federal$251,000,000
Allianz Life Insurance Company of North AmericaAllianzconsumer protection violation2011private lawsuit-federal$68,000,000
AllianzAllianzdiscriminatory practices (non-employment)2024WA-AG$1,500,000
AllianzAllianzdiscriminatory practices (non-employment)2024WA-AG$1,500,000
Allstate Insurance CompanyAllstateemployment discrimination2009EEOC$4,500,000
Allstate InsuranceAllstatewage and hour violation2017private lawsuit-state$2,000,000
Allstate InsuranceAllstatewage and hour violation2005private lawsuit-state$120,000,000
Allstate Insurance CompanyAllstatewage and hour violation2018private lawsuit-state$5,500,000
AllstateAllstateconsumer protection violation2003TX-AG$3,440,000
Allstate Company, Inc.Allstatewage and hour violation2007MA-AG$125,000
Allstate Insurance Co.Allstateprivacy violation2003PA-AG$10,000
American Heritage Life Insurance Co.Allstateconsumer protection violation2007TX-AG$1,700,000
Encompass Insurance Co.Allstateconsumer protection violation2015MA-AG$25,000
Encompass Insurance Company of MassachusettsAllstateconsumer protection violation2012MA-AG$1,972,635
Allstate Insurance Co.Allstateinsurance violation2016CA-MULTI$600,000
Encompass Indemnity Co. and Encompass Insurance Company of AmericaAllstateinsurance violation2019AR-INS$40,000
Allstate Insurance Co.Allstateinsurance violation2005CA-INS$34,000,000
Allstate Insurance Co.Allstateinsurance violation2005CO-INS$10,500
Esurance Insurance Co.Allstateinsurance violation2010CO-INS$154,500
National General Insurance Co.Allstateinsurance violation2019CT-INS$167,500
Allstate Indemnity Co.Allstateinsurance violation2020CT-INS$7,500
Allstate Insurance Co.Allstateinsurance violation2011DE-INS$25,000
Allstate Insurance Co. et al.Allstateinsurance violation2019DE-INS$12,500
American Heritage Life Insurance Co.Allstateinsurance violation2000FL-OFR$12,750
Allstate Financial Services, LLCAllstateinvestor protection violation2002FL-OFR$21,300
American Heritage Life Insurance Co.Allstateinsurance violation2011FL-OFR$28,000
Allstate Insurance CompanyAllstateinsurance violation2003IN-INS$12,220
Allstate Fire and Casualty Co.Allstateinsurance violation2014KS-INS$10,000
Allstate Life Insurance CompanyAllstateinsurance violation2004MA-INS$25,000
Allstate Indemnity Co. et al.Allstateinsurance violation2010MD-INS$10,000
National General Assurance Co.Allstateinsurance violation2011MD-INS$50,000
Allstate Insurance Co. and Allstate Indemnity Co.Allstateinsurance violation2011MD-INS$40,000
Allstate Insurance Co. and Allstate Indemnity Co.Allstateinsurance violation2011MD-INS$40,000
Allstate Insurance Co.Allstateinsurance violation2013MD-INS$17,954
Allstate Indemnity Co. et al.Allstateinsurance violation2013MD-INS$18,000
Allstate Indemnity Co.Allstateinsurance violation2014MD-INS$5,000
Encompass Home and Auto Insurance Co.Allstateinsurance violation2014MD-INS$7,500
Allstate Insurance Co.Allstateinsurance violation2015MD-INS$5,000
Allstate Insurance Co.Allstateinsurance violation2017MD-INS$18,000
Allstate Indemnity Co.Allstateinsurance violation2017MD-INS$25,000
Allstate Insurance Co.Allstateinsurance violation2018MD-INS$32,500
Allstate Insurance Co.Allstateinsurance violation2001MN-FIN$10,000
Allstate Indemnity Insurance Co.Allstateinsurance violation2010MN-FIN$9,000
Allstate Insurance Co.Allstateinsurance violation2012MN-FIN$5,000
Allstate Insurance Co.Allstateinsurance violation2014MN-FIN$10,000
Esurance Property and Casualty Insurance Co.Allstateinsurance violation2015MN-FIN$60,000
Allstate Insurance Co.Allstateinsurance violation2016MN-FIN$5,000
Esurance Property and Casualty Co. and Esurance Insurance Co.Allstateinsurance violation2019MN-FIN$35,000
Allstate Insurance Co. and Encompass Indemnity Co. et al.Allstateinsurance violation2019MN-FIN$75,000
Allstate Insurance Co.Allstateinsurance violation2006MO-INS$60,000
Allstate Insurance Co. et al.Allstateinsurance violation2008MO-INS$9,483
National General Insurance Co.Allstateinsurance violation2012MO-INS$5,000
Allstate Fire and Casualty Insurance Co. et al.Allstateinsurance violation2017MT-FIN$10,000
Allstate Insurance CompanyAllstateinsurance violation2010NC-INS$680,718
Allstate Life Insurance Co.Allstateinsurance violation2004NJ-DBI$15,000
Allstate New Jersey Insurance CompanyAllstateinsurance violation2009NJ-DBI$5,000
Allstate Life Insurance Company of New YorkAllstateinsurance violation2007NY-DFS$18,250,000
Encompass Indemnity CompanyAllstateinsurance violation2014NY-DFS$40,100
Allstate Fire and Casualty Insurance CompanyAllstateinsurance violation2016NY-DFS$50,000
Allstate Insurance CompanyAllstateinsurance violation2013OR-FIN$50,000
Allstate Life Insurance CompanyAllstateinsurance violation2004PA-INS$25,000
National General Assurance CompanyAllstateinsurance violation2009RI-FIN$16,500
Allstate Insurance CompanyAllstateinsurance violation2009RI-FIN$5,000
Allstate Property & Casualty Insurance CompanyAllstateinsurance violation2012RI-FIN$8,000
National General InsuranceAllstateinsurance violation2014RI-FIN$7,500
Allstate Insurance CompanyAllstateinsurance violation2016RI-FIN$10,000
Allstate Insurance CompanyAllstateinsurance violation2017RI-FIN$103,414
Esurance Property and Casualty Insurance CompanyAllstateinsurance violation2018RI-FIN$233,963
Allstate Fire & Casualty Insurance CompanyAllstateinsurance violation2018RI-FIN$60,000
Allstate Vehicle and Property Insurance CompanyAllstateinsurance violation2018SC-INS$10,000
Allstate Texas Lloyd'sAllstateinsurance violation2008TX-INS$71,300,000
Allstate Insurance CompanyAllstateinsurance violation2010TX-INS$879,510
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.