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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 ParentPrimary Offense TypeYearAgency sort iconPenalty Amount
Deutsche BankDeutsche Bankeconomic sanction violation2015NY-DFS$200,000,000
Nationwide Property & Casualty Insurance CompanyNationwideinsurance violation2015NY-DFS$7,000
National Interstate Insurance CompanyAmerican Financial Groupinsurance violation2015NY-DFS$90,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2015NY-DFS$150,000,000
New Day Financial LLC dba New Day USANew Day Financial LLCconsumer protection violation2015NY-DFS$1,000,000
Allstate Fire and Casualty Insurance CompanyAllstateinsurance violation2016NY-DFS$50,000
HealthNow New York Inc.Highmark Inc.insurance violation2016NY-DFS$750,000
Hartford Life Insurance CompanyHartford Financial Servicesinsurance violation2016NY-DFS$50,000
TIAA-CREF Life Insurance CompanyTIAAinsurance violation2016NY-DFS$29,325
USAA Life Insurance Company of New YorkUSAAinsurance violation2016NY-DFS$10,000
TIAA-CREF Life Insurance CompanyTIAAinsurance violation2016NY-DFS$139,940
Companion Life Insurance CompanyBlueCross BlueShield of South Carolinainsurance violation2016NY-DFS$146,485
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2016NY-DFS$15,000
Guardian Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2016NY-DFS$50,000
Agricultural Bank of ChinaAgricultural Bank of Chinaanti-money-laundering deficiencies2016NY-DFS$215,000,000
PHH Mortgage CorporationOcwen Financialmortgage abuses2016NY-DFS$28,000,000
BCS Insurance CompanyBCS Financial Corporationinsurance violation2016NY-DFS$100,000
Intesa Sanpaolo S.p.A.Intesa Sanpaoloanti-money-laundering deficiencies2016NY-DFS$235,000,000
Deutsche Bank AGDeutsche Bankanti-money-laundering deficiencies2017NY-DFS$425,000,000
Combined Life Insurance Company of New YorkChubb Limitedinsurance violation2017NY-DFS$23,740
Globe Life Insurance Company of New YorkGlobe Life Inc.insurance violation2017NY-DFS$538,375
United States Life Insurance Company in the City of New YorkAmerican International Groupinsurance violation2017NY-DFS$873,918
Variable Annuity Life Insurance CompanyAmerican International Groupinsurance violation2017NY-DFS$25,000
Lincoln Financial GroupLincoln Nationalinsurance violation2017NY-DFS$52,200,000
BNP Paribas S.A.BNP Paribasprice-fixing or anti-competitive practices2017NY-DFS$350,000,000
Credit Suisse AGUBSprice-fixing or anti-competitive practices2017NY-DFS$135,000,000
John Hancock Life Insurance Company of New YorkManulife Financialinsurance violation2017NY-DFS$73,000
Tokio Marine Kiln Syndicates Limited and Beazley Furlonge LimitedTokio Marineinsurance violation2017NY-DFS$920,000
PHH Mortgage Corp.Ocwen Financialzoning violation2017NY-DFS$119,000
Western UnionWestern Unionanti-money-laundering deficiencies2018NY-DFS$60,000,000
Amica Mutual Insurance CompanyAmica Mutual Insuranceinsurance violation2018NY-DFS$20,000
QBE Insurance Corp.QBE Insuranceinsurance violation2018NY-DFS$750,000
AIG Claims Inc.American International Groupinsurance violation2018NY-DFS$177,500
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2018NY-DFS$17,000,000
J P Morgan Securities LLCJPMorgan Chaseinsurance violation2018NY-DFS$11,750
Marsh USA IncMarsh & McLennaninsurance violation2018NY-DFS$12,950
Goldman Sachs Group Inc.Goldman Sachsprice-fixing or anti-competitive practices2018NY-DFS$54,750,000
William Penn Life Insurance CompanyLegal & General Group PLCinsurance violation2018NY-DFS$6,300,000
Chubb Ltd.Chubb Limitedinsurance violation2018NY-DFS$1,300,000
Deutsche Bank AGDeutsche Bankprice-fixing or anti-competitive practices2018NY-DFS$205,000,000
American Family Life Assurance Company of New York (AFLAC)Aflacinsurance violation2018NY-DFS$1,138,368
Transamerica Financial Life Insurance CompanyAegoninsurance violation2018NY-DFS$1,345,136
Sentinel Insurance CompanyHartford Financial Servicesinsurance violation2018NY-DFS$1,816,596
Selective Insurance CompaniesSelective Insurance Groupinsurance violation2018NY-DFS$4,666,268
HealthNow New York, Inc.Highmark Inc.insurance violation2018NY-DFS$118,583
Societe Generale SASociete Generaleeconomic sanction violation2018NY-DFS$420,000,000
National Integrity Life Insurance CompanyWestern & Southern Financial Groupinsurance violation2018NY-DFS$240,000
Oscar Insurance Corp.Oscar Health Inc.insurance violation2018NY-DFS$576,950
Barclays Bank PLCBarclaysworkplace whistleblower retaliation2018NY-DFS$15,000,000
Arch Insurance CompanyArch Capitalinsurance violation2019NY-DFS$5,000,000
National Union Fire Insurance CompanyAmerican International Groupinsurance violation2019NY-DFS$5,200,000
Globe Life Insurance Company of New YorkGlobe Life Inc.insurance violation2019NY-DFS$7,769,000
MetLife Insurance CompanyMetLifeinsurance violation2019NY-DFS$208,750,000
Standard Chartered BankStandard Charteredprice-fixing or anti-competitive practices2019NY-DFS$40,000,000
Mercury Casualty CompanyMercury General Corporationinsurance violation2019NY-DFS$31,000
Standard Chartered BankStandard Charteredeconomic sanction violation2019NY-DFS$180,000,000
UniCredit GroupUniCrediteconomic sanction violation2019NY-DFS$405,000,000
Mid-Century Insurance CompanyZurich Insuranceinsurance violation2019NY-DFS$50,000
Titan Insurance CompanyNationwideinsurance violation2019NY-DFS$149,300
MUFG Bank Ltd.U.S. Bancorpbanking violation2019NY-DFS$33,000,000
Bankers Conseco Life InsuranceCNO Financialinsurance violation2019NY-DFS$27,900
Companion Life Insurance Co.BlueCross BlueShield of South Carolinainsurance violation2019NY-DFS$648,122
The Guardian Insurance & Annuity Company, Inc.Guardian Life Insuranceinsurance violation2019NY-DFS$442,589
Northwestern Mutual Life Insurance Co.Northwestern Mutualinsurance violation2019NY-DFS$57,937
The Penn Mutual Life Insurance Co.Penn Mutualinsurance violation2019NY-DFS$455,584
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2019NY-DFS$49,020
The United States Life Insurance CompanyAmerican International Groupinsurance violation2019NY-DFS$171,902
Asurion Insurance Services, Inc. and Asurion Protection Services LLCAsurioninsurance violation2020NY-DFS$4,000,000
Lincoln Life & Annuity Company of New YorkLincoln Nationalinsurance violation2020NY-DFS$193,166
MassMutual Life Insurance CompanyMassachusetts Mutual Life Insuranceinsurance violation2020NY-DFS$1,399,708
Pacific Life & Annuity CompanyPacific Lifeinsurance violation2020NY-DFS$425,533
Industrial Bank of KoreaIndustrial Bank of Koreaanti-money-laundering deficiencies2020NY-DFS$35,000,000
Bank Hapoalim B.M.Bank Hapoalimtax violations2020NY-DFS$220,000,000
Mid-Century Insurance CompanyZurich Insuranceinsurance violation2020NY-DFS$200,000
Praetorian Insurance CompanyQBE Insuranceinsurance violation2020NY-DFS$20,000
The Signal, LP, an Assurant CompanyAssurantinsurance violation2020NY-DFS$2,800,000
Deutsche Bank AG and Deutsche Bank Trust Co. AmericaDeutsche Bankbanking violation2020NY-DFS$150,000,000
MetLifeMetLifediscriminatory practices (non-employment)2002NY-DFS$160,000,000
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
New York Life Insurance & Annuity CorporationNew York Life Insuranceconsumer protection violation2021NY-DFS$10,929,000
American International GroupAmerican International Groupinsurance violation2021NY-DFS$12,000,000
First Unum Life Insurance Company of America and Paul Revere Life Insurance CompanyUnumprivacy violation2021NY-DFS$1,800,000
Transamerica Financial Life Insurance CompanyAegoninsurance violation2020NY-DFS$750,000
American Family Connect Insurance CompanyAmerican Family Insuranceinsurance violation2021NY-DFS$23,000
Erie Insurance Company of New YorkErie Indemnityinsurance violation2021NY-DFS$22,000
Mercury Casualty CompanyMercury General Corporationinsurance violation2020NY-DFS$11,000
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
Pacific Life Insurance CompanyPacific Lifeinsurance violation2021NY-DFS$3,000,000
Oscar Insurance CorporationOscar Health Inc.insurance violation2021NY-DFS$1,465,800
Variable Annuity Life Insurance CompanyAmerican International Groupinsurance violation2021NY-DFS$230,820
Principal Life Insurance CompanyPrincipal Financialinsurance violation2021NY-DFS$1,997,866
Union Security Life Insurance Company of New YorkAssurantinsurance violation2021NY-DFS$20,000
Allstate Life Insurance Company of New YorkAllstateinsurance violation2021NY-DFS$196,250
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
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.