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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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CompanyCurrent Parent sort iconPrimary Offense TypeYearAgencyPenalty Amount
Liberty Insurance Underwriters, Inc.Liberty Mutual Insuranceinsurance violation2022NJ-DBI$1,778,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2024TX-INS$24,000
Liberty Mutual Personal Insurance CompanyLiberty Mutual Insuranceinsurance violation2024MD-INS$8,500
Home Loan Center, Inc.LendingTreediscriminatory practices (non-employment)2012HUD$15,000
Home Loan Center Inc.LendingTreewage and hour violation2009private lawsuit-federal$2,500,000
Home Loan Center, Inc.LendingTreeconsumer protection violation2010AZ-AG$1,150,000
Home Loan Center, Inc. dba Lending Tree LoansLendingTreeconsumer protection violation2008KY-FIN$16,000
LendingTree, LLCLendingTreeconsumer protection violation2016KY-FIN$25,000
Home Loan Center, Inc. dba Lending Tree LoansLendingTreeconsumer protection violation2012MA-BKG$38,000
Home Loan Center Inc., d/b/a LendingTree LoansLendingTreeconsumer protection violation2012NE-DBF$6,000
LendingTree, LLCLendingTreeconsumer protection violation2021MA-BKG$34,000
LendingTree LLCLendingTreeprivacy violation2024private lawsuit-federal$875,000
Springstone Financial, LLCLendingClub Corp.consumer protection violation2015CFPB$700,000
LendingClub CorporationLendingClub Corp.banking violation2018USAO$2,000,000
LendingClub Asset Management LLCLendingClub Corp.investor protection violation2018SEC$5,000,000
LendingClub CorporationLendingClub Corp.consumer protection violation2020MA-AG$1,250,000
LendingClub Corp.LendingClub Corp.investor protection violation2015CA-DFPI$46,000
LendingClub Corp.LendingClub Corp.investor protection violation2012FL-OFR$100,000
LendingClub Corp. and Springstone Financial, LLCLendingClub Corp.consumer protection violation2018MA-BKG$2,000,000
LendingClub CorporationLendingClub Corp.investor protection violation2013ME-SEC$45,000
LendingClub Corp.LendingClub Corp.investor protection violation2012MO-SEC$105,000
LendingClub CorporationLendingClub Corp.investor protection violation2015SC-SEC$150,000
LendingClub CorporationLendingClub Corp.investor protection violation2020TX-SEC$400,000
LendingClub Corp.LendingClub Corp.consumer protection violation2021FTC$18,000,000
Banner Life Insurance CompanyLegal & General Group PLCinsurance violation2002MA-INS$10,900
Banner Life Insurance Co.Legal & General Group PLCinsurance violation2011MD-INS$8,300
William Penn Life Insurance CompanyLegal & General Group PLCinsurance violation2018NY-DFS$6,300,000
BANNER LIFE INSURANCE COMPANYLegal & General Group PLCinsurance violation2007VA-INS$5,000
Banner Life Insurance CompanyLegal & General Group PLCinsurance violation2019WA-INS$10,000
William Penn Life Insurance Company of New YorkLegal & General Group PLCinsurance violation2020NY-DFS$110,000
Banner Life Insurance CompanyLegal & General Group PLCinsurance violation2022NY-DFS$3,500,000
Keybank National AssociationKeyCorpbanking violation2015OCC$5,005
First Niagara Bank, National AssociationKeyCorpbanking violation2011OCC$10,000
KeyBanc Capital Markets Inc.KeyCorpaccounting fraud or deficiencies2016SEC$175,000
Key Bank National AssociationKeyCorpeconomic sanction violation2008OFAC$200,000
Keybank National AssociationKeyCorpbanking violation2007OCC$27,750
FIRST NIAGARA FINANCIAL GROUP, INC.KeyCorpbenefit plan administrator violation2011EBSA$10,001
Key Bank National AssociationKeyCorpwage and hour violation2008WHD$12,691
Keybanc Capital Markets Inc.KeyCorpinvestor protection violation2016SEC$440,000
First Niagara Bank, National AssociationKeyCorpbanking violation2016OCC$2,000,000
KeyBankKeyCorpwage and hour violation2014private lawsuit-federal$3,500,000
KeyBankKeyCorpwage and hour violation2013private lawsuit-federal$4,900,000
First Niagara Financial GroupKeyCorpwage and hour violation2013private lawsuit-federal$404,000
KeyCorpKeyCorpwage and hour violation2012private lawsuit-federal$6,250,000
Champion Mortgage and KeyBankKeyCorpwage and hour violation2009private lawsuit-federal$1,200,000
First Niagara BankKeyCorpconsumer protection violation2003NY-AG$33,500
KeyBanc Capital Markets, Inc.KeyCorpinvestor protection violation2009FINRA$425,000
KeyBanc Capital Markets Inc.KeyCorpinvestor protection violation2023SEC$397,135
KEYBANK NATIONAL ASSOCIATIONKeyCorpworkplace safety or health violation2004OSHA$28,000
United Insurance Company of AmericaKemperemployment discrimination2012EEOC$37,500
Infinity Insurance Co.Kemperinsurance violation2012AZ-DIFI$38,000
Unitrin Direct Insurance Co.Kemperinsurance violation2013AZ-DIFI$9,000
Unitrin Direct Property & Casualty Co.Kemperinsurance violation2013AZ-DIFI$18,000
United Insurance Co.Kemperinsurance violation2013AZ-DIFI$23,000
Kemper Investors Life Insurance Co. et al.Kemperinsurance violation2005CA-INS$21,000
Infinity Insurance Co. et al.Kemperinsurance violation2005CA-INS$600,000
Infinity Insurance CompaniesKemperinsurance violation2007CA-INS$750,000
United Casualty Insurance Co.Kemperinsurance violation2018CA-INS$22,500
Unitrin Auto and Home Insurance Co.Kemperinsurance violation2006CO-INS$7,500
Kemper Independence Insurance Co.Kemperinsurance violation2019CT-INS$134,000
Kemper Auto and Home Insurance Co.Kemperinsurance violation2003FL-OFR$16,500
Alpha Property & Casualty Insurance Co.Kemperinsurance violation2003FL-OFR$32,500
United Casualty Insurance Company of AmericaKemperinsurance violation2005FL-OFR$17,500
United Insurance Co. of AmericaKemperinsurance violation2007IN-INS$6,500
Unitrin Direct Property & Casualty Co. et al.Kemperinsurance violation2015MD-INS$5,000
United Casualty Insurance Company of AmericaKemperinsurance violation2019MD-INS$54,900
Unitrin County Mutual Insurance CompanyKemperinsurance violation2016TX-INS$10,000
Unitrin County Mutual Insurance CompanyKemperinsurance violation2018TX-INS$25,000
United Insurance CompanyKemperinsurance violation2012UT-INS$5,500
ALPHA PROPERTY & CASUALTY INSURANCEKemperinsurance violation2012VA-INS$15,000
Unitrin Auto And Home Insurance CompanyKemperinsurance violation2012WA-INS$15,000
Unitrin Auto And Home Insurance CompanyKemperinsurance violation2014WA-INS$20,000
Unitrin Auto And Home Insurance CompanyKemperinsurance violation2016WA-INS$20,000
Infinity Insurance Co.Kemperinsurance violation2011WI-INS$5,000
Unitrin Inc.Kemperinsurance violation2002MULTI-FIN$33,000,000
Unitrin County Mutual Insurance CompanyKemperinsurance violation2020TX-INS$80,000
Kemper Distributors, Inc.Kemperinvestor protection violation2000FINRA$100,000
Unitrin Direct Property & Casualty CompanyKemperinsurance violation2021TX-INS$7,500
Kemper Corp.Kemperprivacy violation2022private lawsuit-federal$17,100,000
Kemper Independence Insurance Company et al.Kemperinsurance violation2023CA-INS$2,206,313
Alpha Property & Casualty Insurance CompanyKemperinsurance violation2023OR-FIN$30,000
THE KEMPER COMPANYKemperworkplace safety or health violation2012OSHA$9,800
Bank Julius Baer & Co. Ltd.Julius Baer Grouptax violations2016DOJ_TAX$547,000,000
Bank Julius Baer & Co. Ltd.Julius Baer Groupmoney laundering2021DOJ_CRIMINAL$79,000,000
El Paso ElectricJPMorgan Chaseenvironmental violation2015EPA$3,800,000
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2011DOJ_ANTITRUST$228,000,000
JPMorgan ChaseJPMorgan Chaseconsumer protection violation2015CFPB$186,000,000
Affinion Group Holdings, Inc.JPMorgan Chaseconsumer protection violation2015CFPB$8,700,000
JPMorgan ChaseJPMorgan Chaseconsumer protection violation2015CFPB$900,000
Chase Bank USA, N.A. and JPMorgan Chase Bank, N.A.JPMorgan Chaseconsumer protection violation2013CFPB$329,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2016OCC$48,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2015OCC$30,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2014OCC$350,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2014OCC$350,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2013OCC$60,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2013OCC$300,000,000
JPMorgan ChaseJPMorgan Chasebanking violation2013OCC$1,958,450,341
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2011OCC$35,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2011OCC$2,000,000
JPMORGAN CHASE & CO.JPMorgan Chasebanking violation2015FED$342,000,000
JPMORGAN CHASE & CO.JPMorgan Chasebanking violation2013FED$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.