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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 TypeYear sort iconAgencyPenalty Amount
American International Group, Inc.American International Groupeconomic sanction violation2014OFAC$279,038
BNP Paribas S.A.BNP Paribaseconomic sanction violation2014NY-MANDA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,243,400,000
Metropolitan Life Insurance Company, Inc.MetLifeinsurance violation2014NY-MANDA$10,000,000
Wells Fargo & CompanyWells Fargowage and hour violation2014WHD$100,001
J.P. Morgan Securities, LLCJPMorgan Chaseinvestor protection violation2014AK-DBS$51,120
Regions BankRegions Financialbanking violation2014AL-SBD$5,000,000
CitiMortgage, Inc.Citigroupconsumer protection violation2014AR-SEC$20,000
Ace Limited Insurance GroupChubb Limitedinsurance violation2014CA-INS$100,000
Wells Fargo Fund Distributor, LLCWells Fargoconsumer protection violation2014CA-DFPI$8,000
Prospect Mortgage, LLCHomebridge Financial Servicesconsumer protection violation2014CA-DFPI$3,141,000
Unum Life Insurance Company of AmericaUnuminsurance violation2014CA-INS$25,000
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2014CO-INS$48,400
Globe Life and Accident Insurance Co.Globe Life Inc.insurance violation2014CO-INS$12,100
National Western Life Insurance Co.National Western Lifeinsurance violation2014CO-INS$11,500
CashCall, Inc. and Western Sky Financial L.L.C.CashCall Inc.payday lending violation2014CT-BKG$400,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2014CT-SEC$5,000,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2014CT-SEC$53,800
Life Insurance Company of the SouthwestNational Life Groupinsurance violation2014DE-INS$6,000
Titan Indemnity Co.Nationwideinsurance violation2014DE-INS$25,000
United States Fire Insurance Co.Fairfax Financial Holdingsinsurance violation2014DE-INS$10,000
Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2014DE-INS$27,600
State Farm Life Insurance Co.State Farm Insuranceinsurance violation2014FL-OFR$10,500
Pruco Life Insurance Co.Prudential Financialinsurance violation2014FL-OFR$10,500
Genworth Life and Annuity Insurance Co.Genworth Financialinsurance violation2014FL-OFR$10,500
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2014IA-INS$10,000
Time Insurance Co.Haven Holdingsinsurance violation2014ID-INS$5,000
American Family Assurance Company of ColumbusAflacinsurance violation2014ID-INS$30,000
LPL Financial, LLCLPL Financialinvestor protection violation2014IL-SEC$2,000,000
LPL Financial, LLCLPL Financialinvestor protection violation2014IL-SEC$815,218
Fidelity National Title Company, LLCFidelity National Financialinsurance violation2014IN-INS$30,000
First American TitleFirst American Financialinsurance violation2014IN-INS$12,500
Allstate Fire and Casualty Co.Allstateinsurance violation2014KS-INS$10,000
Seneca Insurance Co.Fairfax Financial Holdingsinsurance violation2014KS-INS$5,000
Guaranteed Rate, Inc.Guaranteed Rate Inc.consumer protection violation2014MA-BKG$25,000
Aon Risk Services NortheastAoninsurance violation2014MA-INS$15,000
Allstate Indemnity Co.Allstateinsurance violation2014MD-INS$5,000
Fidelity & Guaranty Life Insurance Co.Fidelity National Financialinsurance violation2014MD-INS$8,000
Foremost Insurance Company Grand Rapids, MichiganZurich Insuranceinsurance violation2014MD-INS$10,000
Elephant Insurance Co.Admiral Groupinsurance violation2014MD-INS$5,000
United States Life Insurance Company In the City of New YorkAmerican International Groupinsurance violation2014MD-INS$25,000
The Travelers Indemnity Company of America et al.Travelersinsurance violation2014MD-INS$55,000
USAA Life Insurance Co.USAAinsurance violation2014MD-INS$9,000
USAA Casualty Insurance Co. et al.USAAinsurance violation2014MD-INS$5,000
CashCall, Inc. and Western Sky Financial, LLC et al.CashCall Inc.payday lending violation2014MD-FIN$100,018
SAFECO Insurance Company of America et al.Liberty Mutual Insuranceinsurance violation2014MD-INS$5,000
Elephant Insurance Co.Admiral Groupinsurance violation2014MD-INS$5,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2014MD-INS$18,000
Hartford Casualty Insurance Co. et al.Hartford Financial Servicesinsurance violation2014MD-INS$35,000
Encompass Home and Auto Insurance Co.Allstateinsurance violation2014MD-INS$7,500
Time Insurance Co.Haven Holdingsinsurance violation2014MD-INS$25,000
The Travelers Indemnity Company of America et al.Travelersinsurance violation2014MD-INS$20,400
Philadelphia Indemnity Insurance Co.Tokio Marineinsurance violation2014MD-INS$7,500
QBE Insurance Co.QBE Insuranceinsurance violation2014MN-FIN$20,000
Progressive Casualty Insurance Co.Progressiveinsurance violation2014MN-FIN$5,000
ServiceLink, LLCFidelity National Financialinsurance violation2014MN-FIN$20,000
MetLife, Inc. et al.MetLifeinsurance violation2014MN-FIN$1,500,000
Transamerica Life Insurance Co. et al.Aegoninsurance violation2014MN-FIN$2,500,000
Conseco Life Insurance Co.CNO Financialinsurance violation2014MN-FIN$250,000
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2014MN-FIN$7,500
Allstate Insurance Co.Allstateinsurance violation2014MN-FIN$10,000
Protective Life Insurance Co.Dai-ichi Lifeinsurance violation2014MN-FIN$25,000
QBE North AmericaQBE Insuranceinsurance violation2014MN-FIN$5,000
The Lincoln National Life Insurance Co. et al.Lincoln Nationalinsurance violation2014MN-FIN$2,500,000
Voya Insurance and Annuity Co. et al.Voya Financialinsurance violation2014MN-FIN$1,250,000
USAA Casualty Insurance Co.USAAinsurance violation2014MN-FIN$5,000
United States Fire Insurance Co.Fairfax Financial Holdingsinsurance violation2014MN-FIN$10,000
ReliaStar Life Insurance Co.Voya Financialinsurance violation2014MN-FIN$30,000
Great American Alliance Insurance Co.American Financial Groupinsurance violation2014MO-INS$33,000
Great American Insurance Company of New YorkAmerican Financial Groupinsurance violation2014MO-INS$23,000
Continental Western Insurance Co.W.R. Berkleyinsurance violation2014MO-INS$12,000
North Pointe Insurance Co.QBE Insuranceinsurance violation2014MO-INS$8,000
State Farm Mutual Automobile Insurance Co.State Farm Insuranceinsurance violation2014MT-FIN$38,638
Austin Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2014ND-INS$10,000
Stifel, Nicolaus & Company Inc.Stifel Financialinvestor protection violation2014NE-DBF$61,000
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2014NE-DBF$18,900
Edward Jones & Co. LPJones Financialinvestor protection violation2014NH-BSR$750,000
NEXT Financial Group, IncAtria Wealth Solutionsinvestor protection violation2014NH-BSR$140,000
Seterus, Inc.Mr. Cooper Groupconsumer protection violation2014NH-BKG$10,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2014NH-BSR$90,000
Merrill LynchBank of Americaprivacy violation2014NH-BSR$400,000
National Western Life Insurance Co.National Western Lifeinsurance violation2014NJ-DBI$2,973,656
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesinsurance violation2014NJ-DBI$750,000
Marsh & McLennan Agency, LLCMarsh & McLennaninsurance violation2014NJ-DBI$15,000
Gallagher Benefit Services, Inc.Arthur J. Gallagher & Co.insurance violation2014NJ-DBI$5,000
AIG Property Casualty CompanyAmerican International Groupinsurance violation2014NJ-DBI$25,000
Travelers Home & Marine Insurance CompanyTravelersinsurance violation2014NY-DFS$100,000
AXA EquitableEquitable Holdingsinsurance violation2014NY-DFS$20,000,000
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2014NY-DFS$46,800
MetLifeMetLifeinsurance violation2014NY-DFS$50,000,000
Encompass Indemnity CompanyAllstateinsurance violation2014NY-DFS$40,100
Credit Suisse AGUBStax violations2014NY-DFS$715,000,000
Permanent General Assurance CorporationAmerican Family Insuranceinsurance violation2014NY-DFS$75,000
Investment Professionals Inc.Ameriprise Financialinsurance violation2014NY-DFS$10,000
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2014NY-DFS$7,100
Hartford Insurance Company of IllinoisHartford Financial Servicesinsurance violation2014NY-DFS$7,100
Hartford Insurance Company of the MidwestHartford Financial Servicesinsurance violation2014NY-DFS$14,450
Hartford Underwriters Insurance CompanyHartford Financial Servicesinsurance violation2014NY-DFS$8,600
Sentinel Insurance Company, Ltd.Hartford Financial Servicesinsurance violation2014NY-DFS$16,700
BNP ParibasBNP Paribaseconomic sanction violation2014NY-DFS(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,240,000,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2014NY-DFS$190,000
21st Century Centennial Insurance CompanyZurich Insuranceinsurance violation2014NY-DFS$9,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.