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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 ParentPrimary Offense TypeYearAgencyPenalty Amount sort icon
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2009FINRA$200,000
CIBC World Markets Corp.Canadian Imperial Bank of Commerceinvestor protection violation2008FINRA$200,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2008FINRA$200,000
Thomas Weisel Partners, LLCStifel Financialinvestor protection violation2008FINRA$200,000
UBS Securities, LLCUBSinvestor protection violation2008FINRA$200,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyinvestor protection violation2006FINRA$200,000
Banc of America Investment Services Inc.Bank of Americainvestor protection violation2004FINRA$200,000
ING Financial Partners, Inc.Voya Financialinvestor protection violation2004FINRA$200,000
New England SecuritiesMetLifeinvestor protection violation2004FINRA$200,000
Morgan Stanley & Co. Inc.Morgan Stanleyinvestor protection violation2000FINRA$200,000
J. P. Morgan Securities Inc.JPMorgan Chaseinvestor protection violation2000FINRA$200,000
Waddell & Reed, LLCMacquarieinvestor protection violation2022SEC$200,000
Amica Mutual Insurance CompanyAmica Mutual Insuranceinsurance violation2022NY-DFS$200,000
Northwestern Mutual Investment Services, LLCNorthwestern Mutualinvestor protection violation2023NH-BSR$200,000
Northwestern Mutual Life Insurance CompanyNorthwestern Mutualinsurance violation2023NH-INS$200,000
PNC Capital Markets LLCPNC Financial Servicesinvestor protection violation2022SEC$198,323
Ally Financial ServicesAlly Financialwage and hour violation2019WHD$198,311
American Bankers Insurance Company of FloridaAssurantinsurance violation2020CT-INS$198,000
Bok Financial Securities, Inc.BOK Financialinvestor protection violation2019SEC$197,801
ALLSTATE INSURANCE COMPANYAllstateinsurance violation2015VA-INS$197,201
Allstate Life Insurance Company of New YorkAllstateinsurance violation2021NY-DFS$196,250
SAFECO Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2021MD-INS$196,044
Bank of America Corp.Bank of Americaprivacy violation2010MO-AG$195,000
SAFECO Insurance Company of America, Inc. et al.Liberty Mutual Insuranceinsurance violation2013MD-INS$195,000
Great American Assurance Co. et al.American Financial Groupinsurance violation2011TX-INS$195,000
Lincoln Life & Annuity Company of New YorkLincoln Nationalinsurance violation2020NY-DFS$193,166
Buckeye Partners LPIFM Investorspipeline safety violation2017PHMSA$193,000
Homesite Insurance CompanyAmerican Family Insuranceinsurance violation2021CT-INS$193,000
Lawyers Title Insurance Corp.Fidelity National Financialinsurance violation2010MO-INS$190,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2014NY-DFS$190,000
LPL Financial, LLCLPL Financialinvestor protection violation2023PA-BKG$190,000
Progressive Casualty Insurance Company et al.Progressiveinsurance violation2022NY-DFS$189,000
Commonwealth Land Title Insurance Co.Fidelity National Financialinsurance violation2010MO-INS$188,976
CashCall, Inc.CashCall Inc.consumer protection violation2019NH-BKG$188,880
CashCall Inc. and WS Funding LLCCashCall Inc.consumer protection violation2019NH-BKG$188,800
Bank of New York MellonBank of New York Mellonemployment discrimination2010NJ-AG$188,037
Jackson Hewitt Tax Service Inc.Jackson Hewittconsumer protection violation2019MA-AG$187,000
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2012MT-FIN$186,439
Comerica Securities, Inc.Comericainvestor protection violation2019SEC$186,377
Ameriprise FinancialAmeriprise Financialwage and hour violation2011private lawsuit-federal$185,000
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2011CA-INS$185,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2011CA-INS$185,000
LPL Financial LLCLPL Financialinvestor protection violation2013MO-SEC$185,000
Guaranteed Rate INCGuaranteed Rate Inc.wage and hour violation2015WHD$184,423
Transamerica Life Insurance CompanyAegoninsurance violation2019MD-INS$184,000
U.S. Bank National AssociationU.S. Bancorpbanking violation2017OCC$183,920
Praetorian Insurance CompanyQBE Insuranceinsurance violation2019VA-INS$183,819
UNITED SERVICES AUTOMOBILE ASSOCIATION ET AL.USAAinsurance violation2017VA-INS$182,209
Nyrstar ClarksvilleTrafiguraair pollution violation2019TN-ENV$181,482
First National Bank of PennsylvaniaF.N.B. Corporationbanking violation2015OCC$180,720
First Tennessee Bank National AssociationFirst Horizon Nationalbanking violation2005OCC$180,000
Zenith Insurance Co.Fairfax Financial Holdingsemployment discrimination2006EEOC$180,000
Nationwide Property and Casualty Insurance Company et al.Nationwideinsurance violation2023MD-INS$180,000
Time Insurance CompanyHaven Holdingsinsurance violation2016OR-FIN$178,948
Indiana Insurance Co.Liberty Mutual Insuranceemployment discrimination2004EEOC$178,065
First American Title Insurance Co.First American Financialinsurance violation2013CO-INS$177,500
AIG Claims Inc.American International Groupinsurance violation2018NY-DFS$177,500
Great American Insurance Co.American Financial Groupinsurance violation2009MA-AG$176,000
Commerzbank AGCommerzbankeconomic sanction violation2011OFAC$175,500
Mizuho Securities USA Inc.Mizuho Financialdata submission deficiencies2013CFTC$175,000
KeyBanc Capital Markets Inc.KeyCorpaccounting fraud or deficiencies2016SEC$175,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2007CFTC$175,000
PayPal Inc.PayPal Holdingsprivacy violation2016TX-AG$175,000
Royal Bank of CanadaRoyal Bank of Canadaprice-fixing or anti-competitive practices2013WV-AG$175,000
Philadelphia Indemnity Insurance Co.Tokio Marineinsurance violation2005CA-INS$175,000
Horace Mann Insurance Co. and Horace Mann Property & Casualty Insurance Co.Horace Mann Educators Corp.insurance violation2007CA-INS$175,000
New York Life Insurance Co.New York Life Insuranceinsurance violation2009CA-INS$175,000
Metropolitan Life Insurance Co.MetLifeinsurance violation2012MD-INS$175,000
Bankers Life and Casualty Co. and Colonial Penn Life Insurance Co.CNO Financialinsurance violation2019MN-FIN$175,000
John Alden Life Insurance Co.Assurantinsurance violation2010MT-FIN$175,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2018RI-FIN$175,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2016SC-SEC$175,000
Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2010TX-INS$175,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2010TX-INS$175,000
Synagro Woonsocket, LLCGoldman Sachsenvironmental violation2018RI-ENV$175,000
Putnam Retail Management Limited PartnershipFranklin Resourcesinvestor protection violation2007FINRA$175,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2022WA-SEC$175,000
RR DonnelleyChatham Asset Managementwage and hour violation2021IL-DOL$174,720
RR DonnelleyChatham Asset Managementwage and hour violation2021IL-DOL$174,600
MERCURY CASUALTY COMPANYMercury General Corporationinsurance violation2018VA-INS$173,650
Gerber Life Insurance CompanyWestern & Southern Financial Groupwage and hour violation2009WHD$172,799
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2016UT-INS$172,250
Waddell & Reed, Inc.Macquarieinvestor protection violation2006MO-SEC$172,161
The United States Life Insurance CompanyAmerican International Groupinsurance violation2019NY-DFS$171,902
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americabenefit plan administrator violation2011EBSA$170,854
Allianz Global Risks U.S. Insurance CompanAllianzeconomic sanction violation2019OFAC$170,535
UBS Financial Services, Inc.UBSinvestor protection violation2009MO-SEC$170,175
Amex Assurance Co.American Expressinsurance violation2006CA-INS$170,000
American Contractors Indemnity Co.Tokio Marineinsurance violation2007CA-INS$170,000
American Bankers Insurance Company Of FloridaAssurantinsurance violation2011WA-INS$170,000
ReliaStar Life Insurance Company of New YorkVoya Financialinsurance violation2020NY-DFS$169,000
Northern Trust Hedge Fund Services LLCNorthern Trustinvestor protection violation2020SEC$167,629
National General Insurance Co.Allstateinsurance violation2019CT-INS$167,500
Travelers Personal Insurance CompanyTravelersinsurance violation2022VA-INS$167,427
TitleMax of Virginia Inc.TMX Financeconsumer protection violation2014DC-AG$167,257
Jefferson National Life Insurance Co.Nationwideinsurance violation2021CA-INS$165,342
Franklin American MortgageCitizens Financial Groupwage and hour violation2013private lawsuit-federal$165,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2010FL-OFR$165,000
First American Title Insurance Co.First American Financialinsurance violation2012MO-INS$165,000
Ally Financial, LLCAlly Financialwage and hour violation2017WHD$164,143
Ace Cash Express Inc.ACE Cash Expressconsumer protection violation2002MD-FIN$164,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.