Basic Search  |  Summaries  |  Advanced Search

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent Parent sort iconPrimary Offense TypeYearAgencyPenalty Amount
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesinsurance violation2012NJ-DBI$4,233,100
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesinsurance violation2012NJ-DBI$100,000
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesinsurance violation2014NJ-DBI$750,000
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesinsurance violation2016NJ-DBI$400,000
Horizon Healthcare of New Jersey, Inc.Horizon Healthcare Servicesinsurance violation2017NJ-DBI$291,824
Horizon Healthcare Services, Inc. and Horizon Healthcare of New Jersey Inc.Horizon Healthcare Servicesinsurance violation2017NJ-DBI$1,500,000
Horizon Healthcare of New Jersey, Inc.Horizon Healthcare Servicesinsurance violation2019NJ-DBI$1,940,000
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesinsurance violation2019NJ-DBI$250,000
HORACE MANN SERVICE CORPORATIONHorace Mann Educators Corp.benefit plan administrator violation2006EBSA$10,001
Horace Mann Insurance Co. and Horace Mann Property & Casualty Insurance Co.Horace Mann Educators Corp.insurance violation2007CA-INS$175,000
Horace Mann Property & Casualty Insurance Co.Horace Mann Educators Corp.insurance violation2019CT-INS$18,000
Horace Mann Insurance Co.Horace Mann Educators Corp.insurance violation2002MN-FIN$10,000
Horace Mann Insurance Co.Horace Mann Educators Corp.insurance violation2020MN-FIN$5,000
Horace Mann Insurance Co.Horace Mann Educators Corp.insurance violation2019MT-FIN$25,000
HORACE MANN INSURANCE CO. ET AL.Horace Mann Educators Corp.insurance violation2007VA-INS$42,400
HORACE MANN INSURANCE CO., ET AL.Horace Mann Educators Corp.insurance violation2011VA-INS$48,800
Horace Mann Insurance CompanyHorace Mann Educators Corp.insurance violation2013VT-FIN$11,007
Horace Mann Insurance CompanyHorace Mann Educators Corp.insurance violation2018WA-INS$10,000
HORACE MANN INSURANCE COMPANYHorace Mann Educators Corp.insurance violation2020WA-INS$5,000
Horace Mann Insurance Company et al.Horace Mann Educators Corp.insurance violation2021TX-INS$25,000
HomeStreet IncHomeStreet Inc.accounting fraud or deficiencies2017SEC$500,000
HomeStreet BankHomeStreet Inc.banking violation2019FDIC$1,350,000
Prospect Mortgage, LLCHomebridge Financial Serviceskickbacks and bribery2011HUD$3,100,000
Prospect Mortgage, LLCHomebridge Financial Servicesconsumer protection violation2017CFPB$3,500,000
Prospect MortgageHomebridge Financial Serviceswage and hour violation2015WHD$211,237
Prospect Mortgage LLCHomebridge Financial Serviceswage and hour violation2010WHD$13,728
Prospect Mortgage Company LLCHomebridge Financial Servicesmortgage abuses2017USAO$4,157,000
Prospect Mortgage, LLCHomebridge Financial Servicesconsumer protection violation2011AR-SEC$5,000
Prospect Mortgage, LLCHomebridge Financial Servicesconsumer protection violation2014CA-DFPI$3,141,000
Homebridge Financial Services, Inc.Homebridge Financial Servicesconsumer protection violation2017CA-DFPI$80,000
Prospect Mortgage Company, LLCHomebridge Financial Servicesconsumer protection violation2010CT-BKG$33,000
Prospect Mortgage, LLCHomebridge Financial Servicesconsumer protection violation2013MA-BKG$25,000
Prospect Mortgage, LLCHomebridge Financial Servicesconsumer protection violation2012NH-BKG$101,185
Prospect Mortgage, LLCHomebridge Financial Servicesmortgage abuses2013NY-DFS$3,427,155
Prospect Mortgage LLCHomebridge Financial Servicesmortgage abuses2015MULTI-FIN$7,035,300
Stonegate Mortgage Corp.Home Point Capitalconsumer protection violation2013KY-FIN$5,000
PlainsCapital Bank and PrimeLendingHilltop Holdingsbanking violation2011FED$30,780
PrimeLendingHilltop Holdingsmortgage abuses2010DOJ_RIGHTS$2,000,000
Southwest Securities, Inc.Hilltop Holdingsinvestor protection violation2005SEC$10,000,000
Hilltop Securities Inc.Hilltop Holdingsinvestor protection violation2016SEC$360,000
Southwest Securities, Inc.Hilltop Holdingsinvestor protection violation2010SEC$470,147
Hilltop Securities Inc. and Hilltop Securities Independent Network Inc.Hilltop Holdingsinvestor protection violation2019SEC$810,785
PrimeLending, A PlainsCapital CompanyHilltop Holdingsconsumer protection violation2016CA-DFPI$1,619,523
Southwest Securities, Inc.Hilltop Holdingsinvestor protection violation2012IL-SEC$7,500
Southwest Securities, Inc.Hilltop Holdingsinvestor protection violation2011FINRA$650,000
Southwest Securities, Inc.Hilltop Holdingsinvestor protection violation2011FINRA$500,000
Southwest Securities, Inc.Hilltop Holdingsinvestor protection violation2004FINRA$36,971
Southwest Securities Inc.Hilltop Holdingsinvestor protection violation2000FINRA$500,000
Hilltop Securities Inc.Hilltop Holdingsinvestor protection violation2021SEC$340,193
Highmark, Inc.Highmark Inc.False Claims Act and related2004DOJ_CIVIL$1,500,000
Highmark, IncHighmark Inc.wage and hour violation2014WHD$120,900
Healthnow New YorkHighmark Inc.consumer protection violation2016NY-AG$60,000
HealthNow New YorkHighmark Inc.consumer protection violation2005NY-AG$5,000
HealthNow NewYork, Inc.Highmark Inc.consumer protection violation2009NY-AG$212,500
Highmark BCBSD Inc.Highmark Inc.insurance violation2016DE-INS$383,000
HealthNow New York Inc.Highmark Inc.insurance violation2008NY-DFS$1,050,000
HealthNowHighmark Inc.insurance violation2011NY-DFS$4,492,327
HealthNowHighmark Inc.insurance violation2012NY-DFS$101,640
HealthNow New York Inc.Highmark Inc.insurance violation2013NY-DFS$700,000
HealthNow New York Inc.Highmark Inc.insurance violation2016NY-DFS$750,000
HealthNow New York, Inc.Highmark Inc.insurance violation2018NY-DFS$118,583
Highmark BCBSD IncHighmark Inc.insurance violation2020DE-INS$299,000
Highmark, Inc.Highmark Inc.campaign finance violation2005FEC$54,078
Highmark Inc.Highmark Inc.price-fixing or anti-competitive practices2020private lawsuit-federal$7,500,000
Highmark, Inc.Highmark Inc.insurance violation2023SD-INS$5,000
HIGHMARK INC.Highmark Inc.workplace safety or health violation2018OSHA$25,868
Heritage Bank of CommerceHeritage Commerce Corp.banking violation2008FED$6,840
Time Insurance CompanyHaven Holdingsconsumer protection violation2007MA-AG$16,000
Time Insurance Co.Haven Holdingsinsurance violation2013AZ-DIFI$60,000
Time Insurance Co.Haven Holdingsinsurance violation2009CO-INS$103,500
Time Insurance Co.Haven Holdingsinsurance violation2010FL-OFR$23,000
Time Insurance Co.Haven Holdingsinsurance violation2014ID-INS$5,000
Time Insurance Co. and John Alden Life Insurance Co. and Union Securitiy Insurance Co.Haven Holdingsinsurance violation2012IN-INS$2,950,000
Time Insurance Co.Haven Holdingsinsurance violation2014MD-INS$25,000
Time Insurance Co.Haven Holdingsinsurance violation2008MN-FIN$7,500
Time Insurance Co.Haven Holdingsinsurance violation2019MN-FIN$5,000
Time Insurance Co. et al.Haven Holdingsinsurance violation2013MO-INS$1,000,000
Time Insurance Co.Haven Holdingsinsurance violation2010MT-FIN$50,000
Time Insurance CompanyHaven Holdingsinsurance violation2013NC-INS$524,000
Time Insurance CompanyHaven Holdingsinsurance violation2008NH-INS$450,000
Time Insurance CompanyHaven Holdingsinsurance violation2007OR-FIN$60,000
Time Insurance CompanyHaven Holdingsinsurance violation2014OR-FIN$40,000
Time Insurance CompanyHaven Holdingsinsurance violation2016OR-FIN$178,948
Time Insurance CompanyHaven Holdingsinsurance violation2016SD-INS$300,000
Time Insurance CompanyHaven Holdingsinsurance violation2018TX-INS$125,000
Time Insurance CompanyHaven Holdingsinsurance violation2018TX-INS$15,000
TIME INSURANCE COMPANYHaven Holdingsinsurance violation2014VA-INS$19,000
Time Insurance Company IiHaven Holdingsinsurance violation2015WA-INS$10,000
Time Insurance Co.Haven Holdingsinsurance violation2010WI-INS$280,000
Navigators Insurance CompanyHartford Financial Serviceseconomic sanction violation2015OFAC$271,815
Hartford Financial Services Group, Inc.Hartford Financial Servicesinvestor protection violation2006SEC$55,000,000
Hartford Fire Insurance CompanyHartford Financial Serviceswage and hour violation2010WHD$25,448
Hartford Fire InsuranceHartford Financial Serviceswage and hour violation2016private lawsuit-federal$2,650,000
Hartford Fire InsuranceHartford Financial Serviceswage and hour violation2011private lawsuit-federal$1,200,000
Hartford Financial Services Group Inc.Hartford Financial Servicesbenefit plan administrator violation2012private lawsuit-federal$1,935,000
Hartford Life Insurance CompanyHartford Financial Servicesbenefit plan administrator violation2010private lawsuit-federal$13,775,000
Hartford Financial Services Group, Inc.Hartford Financial Servicesprice-fixing or anti-competitive practices2009CT-AG$1,300,000
Hartford Fire and Casualty GroupHartford Financial Servicesinsurance violation2016MULTI-AG$2,100,000
Hartford Financial Services Group, Inc.Hartford Financial Servicesprice-fixing or anti-competitive practices2007MULTI-AG$115,000,000
The Hartford Financial Services GroupHartford Financial Servicesinvestor protection violation2006MULTI-AG$20,000,000
Hartford Fire Insurance Co. et al.Hartford Financial Servicesinsurance violation2006CA-INS$125,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.