Violation Tracker

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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 Companies	Total Penalty $	Number of Records
Bank of America	$87,286,650,890	328
JPMorgan Chase	$39,688,888,209	277
UBS	$31,069,299,125	179
Wells Fargo	$27,616,269,231	266
Citigroup	$26,945,611,792	181
Deutsche Bank	$20,011,467,563	99
Goldman Sachs	$17,729,358,987	111
NatWest Group PLC	$14,370,701,618	43
Morgan Stanley	$10,780,502,443	203
BNP Paribas	$10,363,464,666	23

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	Current Parent	Primary Offense Type	Year	Agency	Penalty Amount
Ocwen Financial Corporation	Ocwen Financial	consumer protection violation	2019	ME-AG	$84,000
Banc of America Investment Services, Inc.	Bank of America	investor protection violation	2008	MD-SEC	$10,000
Morgan Stanley & Co. Inc.	Morgan Stanley	investor protection violation	2008	MD-SEC	$35,000
Wachovia Securities, LLC	Wells Fargo	investor protection violation	2008	MD-SEC	$50,000
Morgan Stanley & Co. Inc.	Morgan Stanley	investor protection violation	2009	MD-SEC	$100,000
Prosper Marketplace, Inc.	Prosper Marketplace	investor protection violation	2009	MD-SEC	$28,706
Wells Fargo Advisors LLC	Wells Fargo	investor protection violation	2012	MD-SEC	$50,000
Ameriprise Financial Services, Inc.	Ameriprise Financial	investor protection violation	2013	MD-SEC	$50,000
JPMorgan Chase Bank, N.A.	JPMorgan Chase	investor protection violation	2017	MD-SEC	$100,000
LPL Financial LLC	LPL Financial	investor protection violation	2019	MD-SEC	$499,000
Allstate Indemnity Co. et al.	Allstate	insurance violation	2010	MD-INS	$10,000
American Modern Home Insurance Co.	Munich Re	insurance violation	2010	MD-INS	$5,000
American General Life and Accident Insurance Co.	American International Group	insurance violation	2011	MD-INS	$7,000
Travelers Casualty and Surety Company of America	Travelers	insurance violation	2011	MD-INS	$5,000
United of Omaha Life Insurance Co.	Mutual of Omaha	insurance violation	2011	MD-INS	$5,500
Gerber Life Insurance Co.	Western & Southern Financial Group	insurance violation	2011	MD-INS	$5,000
Monumental Life Insurance Co.	Aegon	insurance violation	2011	MD-INS	$9,000
Transamerica Life Insurance Co.	Aegon	insurance violation	2011	MD-INS	$5,000
Zurich American Insurance Co. et al.	Zurich Insurance	insurance violation	2011	MD-INS	$30,000
Bankers Life and Casualty Co.	CNO Financial	insurance violation	2011	MD-INS	$10,000
Commonwealth Land Title Insurance Co.	Fidelity National Financial	insurance violation	2011	MD-INS	$30,000
Commonwealth Land Title Insurance Co. et al.	Fidelity National Financial	insurance violation	2011	MD-INS	$30,000
Old Republic National Title Insurance Co.	Old Republic International	insurance violation	2011	MD-INS	$7,500
AMEX Assurance Co.	American Express	insurance violation	2011	MD-INS	$10,000
Federal Insurance Co. et al.	Chubb Limited	insurance violation	2011	MD-INS	$25,000
United States Life Insurance Company In the City of New York	American International Group	insurance violation	2011	MD-INS	$5,000
National General Assurance Co.	Allstate	insurance violation	2011	MD-INS	$50,000
Zurich American Insurance Co.	Zurich Insurance	insurance violation	2011	MD-INS	$125,000
The Prudential Insurance Company of America	Prudential Financial	insurance violation	2011	MD-INS	$75,000
Hartford Accident and Indemnity Co. et al.	Hartford Financial Services	insurance violation	2011	MD-INS	$125,000
Commonwealth Land Title Insurance Co.	Fidelity National Financial	insurance violation	2011	MD-INS	$30,000
First American Title Insurance Co.	First American Financial	insurance violation	2011	MD-INS	$15,000
Federal Insurance Co. et al.	Chubb Limited	insurance violation	2011	MD-INS	$15,000
State Farm Mutual Automobile Insurance Co. et al.	State Farm Insurance	insurance violation	2011	MD-INS	$10,000
Praetorian Insurance Co. and Redland Insurance Co.	QBE Insurance	insurance violation	2011	MD-INS	$10,000
Titan Indemnity Co. and Victoria Fire and Casualty Co.	Nationwide	insurance violation	2011	MD-INS	$20,000
Liberty Mutual Fire Insurance Co. et al.	Liberty Mutual Insurance	insurance violation	2011	MD-INS	$15,000
Liberty Mutual Fire Insurance Co. et al.	Liberty Mutual Insurance	insurance violation	2011	MD-INS	$15,000
Hartford Life and Accident Insurance Co.	Hartford Financial Services	insurance violation	2011	MD-INS	$95,000
Hartford Life and Accident Insurance Co.	Hartford Financial Services	insurance violation	2011	MD-INS	$12,500
Allstate Insurance Co. and Allstate Indemnity Co.	Allstate	insurance violation	2011	MD-INS	$40,000
Allstate Insurance Co. and Allstate Indemnity Co.	Allstate	insurance violation	2011	MD-INS	$40,000
Metropolitan Life Insurance Co.	MetLife	insurance violation	2011	MD-INS	$125,000
Banner Life Insurance Co.	Legal & General Group PLC	insurance violation	2011	MD-INS	$8,300
American Family Life Assurance Company of Columbus	Aflac	insurance violation	2012	MD-INS	$200,000
Metropolitan Life Insurance Co.	MetLife	insurance violation	2012	MD-INS	$11,400
Unum Life Insurance Company of America	Unum	insurance violation	2012	MD-INS	$19,000
Metropolitan Life Insurance Co.	MetLife	insurance violation	2012	MD-INS	$175,000
Thrivent Financial For Lutherans	Thrivent Financial	insurance violation	2012	MD-INS	$8,000
The United States Life Insurance Company In the City of New York	American International Group	insurance violation	2012	MD-INS	$75,000
Erie Insurance Exchange	Erie Indemnity	insurance violation	2012	MD-INS	$50,000
Metropolitan Life Insurance Co.	MetLife	insurance violation	2012	MD-INS	$5,000
Bankers Life and Casualty Co.	CNO Financial	insurance violation	2012	MD-INS	$15,000
Allstate Insurance Co.	Allstate	insurance violation	2013	MD-INS	$17,954
Phoenix Insurance Co. and Travelers Property Casualty Company of America	Travelers	insurance violation	2013	MD-INS	$50,000
Allstate Indemnity Co. et al.	Allstate	insurance violation	2013	MD-INS	$18,000
SAFECO Insurance Company of America, Inc. et al.	Liberty Mutual Insurance	insurance violation	2013	MD-INS	$195,000
Praetorian Insurance Co. and Stonington Insurance Co.	QBE Insurance	insurance violation	2013	MD-INS	$10,000
State Farm Mutual Automobile Insurance Co.	State Farm Insurance	insurance violation	2013	MD-INS	$15,000
Peerless Indemnity Insurance Co. et al.	Liberty Mutual Insurance	insurance violation	2013	MD-INS	$5,000
Gerber Life Insurance Co.	Western & Southern Financial Group	insurance violation	2013	MD-INS	$14,000
Homesite Insurance Company of the Midwest	American Family Insurance	insurance violation	2013	MD-INS	$20,000
United American Insurance Co.	Globe Life Inc.	insurance violation	2013	MD-INS	$5,200
Allstate Indemnity Co.	Allstate	insurance violation	2014	MD-INS	$5,000
Fidelity & Guaranty Life Insurance Co.	Fidelity National Financial	insurance violation	2014	MD-INS	$8,000
Foremost Insurance Company Grand Rapids, Michigan	Zurich Insurance	insurance violation	2014	MD-INS	$10,000
Elephant Insurance Co.	Admiral Group	insurance violation	2014	MD-INS	$5,000
United States Life Insurance Company In the City of New York	American International Group	insurance violation	2014	MD-INS	$25,000
The Travelers Indemnity Company of America et al.	Travelers	insurance violation	2014	MD-INS	$55,000
USAA Life Insurance Co.	USAA	insurance violation	2014	MD-INS	$9,000
USAA Casualty Insurance Co. et al.	USAA	insurance violation	2014	MD-INS	$5,000
SAFECO Insurance Company of America et al.	Liberty Mutual Insurance	insurance violation	2014	MD-INS	$5,000
Elephant Insurance Co.	Admiral Group	insurance violation	2014	MD-INS	$5,000
Stewart Title Guaranty Co.	Stewart Information Services	insurance violation	2014	MD-INS	$18,000
Hartford Casualty Insurance Co. et al.	Hartford Financial Services	insurance violation	2014	MD-INS	$35,000
Encompass Home and Auto Insurance Co.	Allstate	insurance violation	2014	MD-INS	$7,500
Time Insurance Co.	Haven Holdings	insurance violation	2014	MD-INS	$25,000
The Travelers Indemnity Company of America et al.	Travelers	insurance violation	2014	MD-INS	$20,400
Philadelphia Indemnity Insurance Co.	Tokio Marine	insurance violation	2014	MD-INS	$7,500
AIG Property Casualty Co.	American International Group	insurance violation	2015	MD-INS	$22,500
Jackson National Life Insurance Co.	Jackson Financial	insurance violation	2015	MD-INS	$8,200
The Standard Fire Insurance Co.	Travelers	insurance violation	2015	MD-INS	$8,000
The Standard Fire Insurance Co.	Travelers	insurance violation	2015	MD-INS	$10,000
Transamerica Premier Life Insurance Co.	Aegon	insurance violation	2015	MD-INS	$11,800
Transamerica Life Insurance Co.	Aegon	insurance violation	2015	MD-INS	$16,300
National Union Fire Insurance Company of Pittsburgh, PA	American International Group	insurance violation	2015	MD-INS	$20,000
Liberty Mutual Insurance Co. et al.	Liberty Mutual Insurance	insurance violation	2015	MD-INS	$5,500
Allstate Insurance Co.	Allstate	insurance violation	2015	MD-INS	$5,000
Homesite Insurance Company of the Midwest	American Family Insurance	insurance violation	2015	MD-INS	$5,000
Unitrin Direct Property & Casualty Co. et al.	Kemper	insurance violation	2015	MD-INS	$5,000
Federal Insurance Co. et al.	Chubb Limited	insurance violation	2015	MD-INS	$25,000
Empire Fire and Marine Insurance Co. et al.	Zurich Insurance	insurance violation	2015	MD-INS	$8,000
American Automobile Insurance Co.	Allianz	insurance violation	2015	MD-INS	$5,000
Fireman's Fund Insurance Co.	Allianz	insurance violation	2015	MD-INS	$5,000
Metropolitan Life Insurance Co.	MetLife	insurance violation	2015	MD-INS	$9,800
Commonwealth Land Title Insurance Co.	Fidelity National Financial	insurance violation	2015	MD-INS	$10,000
Unum Life Insurance Company of America	Unum	insurance violation	2015	MD-INS	$35,000
LM General Insurance Co. et al.	Liberty Mutual Insurance	insurance violation	2015	MD-INS	$8,000
Hartford Accident and Indemnity Co. et al.	Hartford Financial Services	insurance violation	2015	MD-INS	$15,000
State Farm Fire and Casualty Co.	State Farm Insurance	insurance violation	2015	MD-INS	$26,020
Penn Mutual Life Insurance Co.	Penn Mutual	insurance violation	2015	MD-INS	$10,400