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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $388,129,347,579
Number of Records: 7,728
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$39,688,888,209277
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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Company sort iconCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount
Monumental Life Insurance CompanyAegoninsurance violation2003MULTI-FIN$37,000,000
Monumental Life Insurance Co.Aegoninsurance violation2015AZ-DIFI$57,000
Monumental Life Insurance Co.Aegoninsurance violation2011MD-INS$9,000
Monumental Life Insurance Co.Aegoninsurance violation2009MO-INS$26,001
Monumental Life Insurance Co.Aegoninsurance violation2003MS-INS$24,351
MONUMENTAL LIFE INSURANCE COAegoninsurance violation2001VA-INS$5,000
MML Investors Services, LLCMassachusetts Mutual Life Insuranceinvestor protection violation2021MA-SEC$4,000,000
MML Investors Services, LLCMassachusetts Mutual Life Insuranceinvestor protection violation2021SEC$2,109,458
MML Investors Services, LLCMassachusetts Mutual Life Insuranceinvestor protection violation2022MA-SEC$262,092
MML Investors Services, LLCMassachusetts Mutual Life Insuranceinvestor protection violation2023MI-SEC$10,000
MML Investors Services, Inc.Massachusetts Mutual Life Insuranceinvestor protection violation2007FINRA$473,000
MML Investors Services LLCMassachusetts Mutual Life Insuranceinvestor protection violation2015PA-BKG$100,000
MML Investors Services LLCMassachusetts Mutual Life Insuranceinvestor protection violation2012RI-FIN$250,000
MML Investor Services, Inc.Massachusetts Mutual Life Insuranceinvestor protection violation2004FINRA$250,000
MLD Mortgage, Inc. dba The Money Store dba Mortgage Lending DirectMLD Mortgage Inc. dba The Money Storeconsumer protection violation2017CA-DFPI$30,000
MLD Mortgage, Inc. d/b/a The Money Store and Mortgage Loan DirectMLD Mortgage Inc. dba The Money Storeconsumer protection violation2016WA-FIN$407,103
MLD Mortgage Inc. dba The Money StoreMLD Mortgage Inc. dba The Money Storeconsumer protection violation2009PA-BKG$5,000
MLD Mortgage Inc. dba The Money StoreMLD Mortgage Inc. dba The Money Storeconsumer protection violation2010PA-BKG$5,000
MLD Mortgage Inc. dba The Money StoreMLD Mortgage Inc. dba The Money Storeconsumer protection violation2011PA-BKG$27,500
MLD Mortgage Inc. dba The Money StoreMLD Mortgage Inc. dba The Money Storeconsumer protection violation2016PA-BKG$55,000
MLD Mortgage Inc. dba The Money StoreMLD Mortgage Inc. dba The Money Storeconsumer protection violation2018MULTI-FIN$720,000
Mizuho Securities USA LLCMizuho Financialinvestor protection violation2018SEC$1,250,000
Mizuho Securities USA LLCMizuho Financialinvestor protection violation2023SEC$25,000,000
Mizuho Securities USA Inc.Mizuho Financialdata submission deficiencies2013CFTC$175,000
Mizuho Financial GroupMizuho Financialinvestor protection violation2012SEC$127,500,000
Mizuho Capital Markets LLCMizuho Financialinvestor protection violation2021CFTC$1,500,000
Mizuho Capital Markets LLCMizuho Financialinvestor protection violation2023CFTC$6,847,182
Mizuho Bank, Ltd.Mizuho Financialinvestor protection violation2018CFTC$250,000
Mizuho Bank LtdMizuho Financialprice-fixing or anti-competitive practices2019private lawsuit-federal$13,083,333
Mitsui Sumitomo Insurance Company of AmericaMS&AD Insuranceinsurance violation2014TX-INS$5,977
Mitsui Sumitomo Insurance Company of AmericaMS&AD Insuranceinsurance violation2022TX-INS$23,000
Mitsui Sumitomo Insurance Company of AmericaMS&AD Insuranceinsurance violation2022TX-INS$19,500
Mitsubishi UFJ Securities (USA), Inc.Mitsubishi UFJ Financial Groupinvestor protection violation2016SEC$20,000
Minnesota Life Insurance Company et al.Securian Financialinsurance violation2016MULTI-FIN$625,000
Minnesota Life Insurance CompanySecurian Financialinsurance violation2019OR-FIN$5,000
Minnesota Life Insurance CompanySecurian Financialinsurance violation2020CT-INS$7,000
MINNESOTA LIFE INSURANCE CO.Securian Financialinsurance violation2006VA-INS$18,000
Minnesota Life Insurance Co.Securian Financialinsurance violation2020CT-INS$9,000
Midland States BankMidland States Bancorpbanking violation2013FED$5,645
Midland States BancorpMidland States Bancorpdiscriminatory practices (non-employment)2014HUD$15,950,000
Midland Funding, LLCEncore Capital Groupconsumer protection violation2012MN-AG$500,000
Midland Funding LLCEncore Capital Groupconsumer protection violation2019private lawsuit-federal$9,805,000
Midland Credit Management, Inc.Encore Capital Groupconsumer protection violation2005WV-AG$3,500,000
Midland Credit Management, Inc.Encore Capital Groupconsumer protection violation2012AZ-DIFI$750,000
Midland Credit Management, Inc.Encore Capital Groupbenefit plan administrator violation2023EBSA$10,001
Midfirst BankMidFirst Bankbanking violation2019OCC$35,000
MidFirst BankMidFirst Bankconsumer protection violation2014private lawsuit-federal$2,600,000
MIDFIRST BANKMidFirst Bankworkplace safety or health violation2023OSHA$5,581
Middletown & New Jersey Railroad3i Infrastructure PLCrailroad safety violation2013FRA$6,000
Mid-Century Insurance Company and Truck Insurance ExchangeZurich Insuranceinsurance violation2023VA-INS$36,497
Mid-Century Insurance CompanyZurich Insuranceinsurance violation2019NY-DFS$50,000
Mid-Century Insurance CompanyZurich Insuranceinsurance violation2007OR-FIN$20,000
Mid-Century Insurance CompanyZurich Insuranceinsurance violation2013TX-INS$14,360
Mid-Century Insurance CompanyZurich Insuranceinsurance violation2020NY-DFS$200,000
Mid-Century Insurance CompanyZurich Insuranceinsurance violation2024NY-DFS$150,000
Mid-Century Insurance Co. of TexasZurich Insuranceinsurance violation2000TX-INS$11,000,000
Mid-Century Insurance Co.Zurich Insuranceinsurance violation2011CO-INS$255,500
Mid-Century Insurance Co.Zurich Insuranceinsurance violation2011CO-INS$66,000
Mid-Century Insurance Co.Zurich Insuranceinsurance violation2019CT-INS$64,000
Mid-Century Insurance Co.Zurich Insuranceinsurance violation2012IN-INS$5,000
Mid-Century Insurance Co.Zurich Insuranceinsurance violation2015MO-INS$87,000
Metropolitan Property and Casualty Insurance CompanyZurich Insuranceinsurance violation2021VT-FIN$13,000
Metropolitan Property and Casualty Insurance Co. et al.Zurich Insuranceinsurance violation2001MN-FIN$10,000
Metropolitan Property and Casualty Insurance Co.Zurich Insuranceconsumer protection violation2013MA-AG$50,000
Metropolitan Property and Casualty Insurance Co.Zurich Insuranceconsumer protection violation2012MA-AG$395,000
Metropolitan Property and Casualty Insurance Co.Zurich Insuranceconsumer protection violation2000MA-AG$1,840,000
Metropolitan Property and Casualty Insurance Co.Zurich Insuranceinsurance violation2002MN-FIN$7,500
Metropolitan Property and Casualty Insurance Co.Zurich Insuranceinsurance violation2005MN-FIN$5,000
Metropolitan Property and Casualty Insurance Co.Zurich Insuranceinsurance violation2012MN-FIN$10,000
Metropolitan Property and Casualty CompanyZurich Insuranceinsurance violation2019RI-FIN$5,000
Metropolitan Property and Casualty Co.Zurich Insuranceinsurance violation2006KS-INS$5,000
Metropolitan Property and CasualtyZurich Insuranceinsurance violation2007VA-INS$5,000
Metropolitan Property & Casualty Insurance Co.Zurich Insuranceconsumer protection violation2010MA-AG$3,500,000
Metropolitan Property & Casualty Co.Zurich Insuranceconsumer protection violation2019MS-AG$3,167,173
Metropolitan Property & CasualtyZurich Insuranceconsumer protection violation2010MA-AG$20,000
Metropolitan Life Insurance Company, Inc.MetLifeinsurance violation2014NY-MANDA$10,000,000
Metropolitan Life Insurance CompanyMetLifeFamily and Medical Leave Act2009WHD$6,375
Metropolitan Life Insurance CompanyMetLifekickbacks and bribery2010USAO$13,500,000
Metropolitan Life Insurance CompanyMetLifeinvestor protection violation2006SEC$250,000
Metropolitan Life Insurance CompanyMetLifeconsumer protection violation2006NY-AG$19,000,000
Metropolitan Life Insurance CompanyMetLifeeconomic sanction violation2011OFAC$22,500
Metropolitan Life Insurance CompanyMetLifeinsurance violation2011OR-FIN$5,000
Metropolitan Life Insurance CompanyMetLifeinsurance violation2019RI-FIN$15,000
Metropolitan Life Insurance CompanyMetLifeinsurance violation2015TX-INS$20,000
Metropolitan Life Insurance CompanyMetLifeinsurance violation2011WA-INS$10,000
Metropolitan Life Insurance CompanyMetLifeinsurance violation2016WA-INS$100,000
Metropolitan Life Insurance CompanyMetLifeinsurance violation2018WA-INS$7,000
Metropolitan Life Insurance CompanyMetLifeinsurance violation2022NJ-DBI$142,800
Metropolitan Life Insurance Co.MetLifeprivacy violation2012CT-AG$10,000
Metropolitan Life Insurance Co.MetLifeconsumer protection violation2004MA-AG$150,000
Metropolitan Life Insurance Co.MetLifeconsumer protection violation2000MA-AG$1,200,000
Metropolitan Life Insurance Co.MetLifeinsurance violation2007CA-INS$700,000
Metropolitan Life Insurance Co.MetLifeinsurance violation2012FL-OFR$103,000
Metropolitan Life Insurance Co.MetLifeinsurance violation2011MD-INS$125,000
Metropolitan Life Insurance Co.MetLifeinsurance violation2012MD-INS$11,400
Metropolitan Life Insurance Co.MetLifeinsurance violation2012MD-INS$175,000
Metropolitan Life Insurance Co.MetLifeinsurance violation2012MD-INS$5,000
Metropolitan Life Insurance Co.MetLifeinsurance violation2015MD-INS$9,800
Metropolitan Life Insurance Co.MetLifeinsurance violation2017MD-INS$11,300
Metropolitan Life Insurance Co.MetLifeinsurance violation2003MN-FIN$10,000
Metropolitan Life Insurance Co.MetLifeinsurance violation2006MO-INS$12,162
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.