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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $395,312,528,119
Number of Records: 8,003
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$87,320,969,499333
JPMorgan Chase$40,164,908,209281
UBS$31,275,299,125181
Wells Fargo$27,618,169,231268
Citigroup$27,081,211,792183
Deutsche Bank$20,015,467,563100
Goldman Sachs$17,919,491,249115
NatWest Group PLC$14,264,317,61841
Morgan Stanley$10,924,502,443207
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
Homesite Insurance Company of the MidwestAmerican Family Insuranceinsurance violation2013MD-INS$20,000
United American Insurance Co.Globe Life Inc.insurance violation2013MD-INS$5,200
ACE American Insurance Co. et al.Chubb Limitedinsurance violation2013ME-INS$30,550
Zurich American Insurance Co. et al.Zurich Insuranceinsurance violation2013ME-INS$35,350
LendingClub CorporationLendingClub Corp.investor protection violation2013ME-SEC$45,000
Lincoln National Life Insurance Co. and Lincoln Financial GroupLincoln Nationalinsurance violation2013MN-FIN$150,000
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2013MN-FIN$5,000
AMCO Insurance Co.Nationwideinsurance violation2013MN-FIN$20,000
The Northwestern Mutual Life Insurance Co.Northwestern Mutualinsurance violation2013MN-FIN$150,000
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2013MN-FIN$1,000,000
Depositors Insurance Co.Nationwideinsurance violation2013MN-FIN$40,000
QBE Insurance Co.QBE Insuranceinsurance violation2013MN-FIN$5,000
American Security Insurance CompanyAssurantinsurance violation2013MN-FIN$5,000
General Casualty Company of WisconsinQBE Insuranceinsurance violation2013MO-INS$14,722
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherinvestor protection violation2013MO-SEC$80,000
Safety National Casualty Co.Tokio Marineinsurance violation2013MO-INS$61,250
Safety First Insurance Co.Tokio Marineinsurance violation2013MO-INS$12,250
Time Insurance Co. et al.Haven Holdingsinsurance violation2013MO-INS$1,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2013MO-SEC$2,121,579
Tokio Marine & Nichido Fire Insurance Co.Tokio Marineinsurance violation2013MO-INS$29,750
LPL Financial LLCLPL Financialinvestor protection violation2013MO-SEC$185,000
Nationwide Agribusiness Insurance Co. and Farmland Mutual Insurance Co.Nationwideinsurance violation2013MO-INS$292,250
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2013MT-FIN$50,000
Arch Insurance Co.Arch Capitalinsurance violation2013MT-FIN$29,075
John Hancock Life Insurance Co.Manulife Financialinsurance violation2013MT-FIN$5,000
Travelers Casualty and Surety Co. et al.Travelersinsurance violation2013MT-FIN$5,000
Bankers Life and Casualty Co.CNO Financialinsurance violation2013MT-FIN$50,000
Time Insurance CompanyHaven Holdingsinsurance violation2013NC-INS$524,000
Securian Financial Services, Inc.Securian Financialconsumer protection violation2013NE-DBF$5,500
Ameriprise Financial Services Inc.Ameriprise Financialconsumer protection violation2013NE-DBF$10,000
Edward D. Jones & Co., L.P.Jones Financialconsumer protection violation2013NE-DBF$12,500
Pruco Securities, LLCPrudential Financialinvestor protection violation2013NJ-BOS$100,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2013NJ-DBI$90,000
Western Sky Financial, LLC et al.CashCall Inc.consumer protection violation2013NV-BKG$50,000
HealthNow New York Inc.Highmark Inc.insurance violation2013NY-DFS$700,000
Assurant, Inc.Assurantinsurance violation2013NY-DFS$14,000,000
QBE Insurance Corp.QBE Insuranceinsurance violation2013NY-DFS$10,000,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2013NY-DFS$4,560,000
Seneca Insurance Company, Inc.Fairfax Financial Holdingsinsurance violation2013NY-DFS$50,000
Companion Life Insurance CompanyBlueCross BlueShield of South Carolinainsurance violation2013NY-DFS$150,000
Bank of Tokyo Mitsubishi-UFJ, LtdMitsubishi UFJ Financial Groupeconomic sanction violation2013NY-DFS$250,000,000
Transamerica Financial Life Insurance CompanyAegoninsurance violation2013NY-DFS$852,418
Prospect Mortgage, LLCHomebridge Financial Servicesmortgage abuses2013NY-DFS$3,427,155
Royal Bank of ScotlandNatWest Group PLCeconomic sanction violation2013NY-DFS$50,000,000
Allianz Life Insurance Company of New YorkAllianzinsurance violation2013NY-DFS$135,000
Allstate Insurance CompanyAllstateinsurance violation2013OR-FIN$50,000
Progressive Classic Insurance CompanyProgressiveinsurance violation2013OR-FIN$6,000
State Farm VP Management Corp.State Farm Insuranceinvestor protection violation2013PA-BKG$75,000
Homesite Insurance CompanyAmerican Family Insuranceinsurance violation2013RI-FIN$5,000
Safeco Insurance CompanyLiberty Mutual Insuranceinsurance violation2013SC-INS$8,000
Nationwide Mutual Insurance CompanyNationwideinsurance violation2013SD-INS$15,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2013SD-INS$5,000
Washington National Insurance CompanyCNO Financialinsurance violation2013SD-INS$125,000
Catlin Insurance Company Inc.AXAinsurance violation2013SD-INS$5,000
Hartford Underwriters Insurance CompanyHartford Financial Servicesinsurance violation2013SD-INS$5,000
Hartford Insurance Company of the MidwestHartford Financial Servicesinsurance violation2013SD-INS$5,000
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2013SD-INS$5,000
Hartford Accident and IndemnityHartford Financial Servicesinsurance violation2013SD-INS$5,000
Hartford Fire Insurance CompanyHartford Financial Servicesinsurance violation2013SD-INS$5,000
Hartford Accident and IndemnityHartford Financial Servicesinsurance violation2013SD-INS$5,000
Hartford Fire Insurance CompanyHartford Financial Servicesinsurance violation2013SD-INS$5,000
Sentinel Insurance Company Ltd.Hartford Financial Servicesinsurance violation2013SD-INS$5,000
Twin City Fire Insurance CompanyHartford Financial Servicesinsurance violation2013SD-INS$5,000
Property & Casualty Insurance Company of HartfordHartford Financial Servicesinsurance violation2013SD-INS$5,000
Federal Insurance CompanyChubb Limitedinsurance violation2013TX-INS$36,000
Mid-Century Insurance CompanyZurich Insuranceinsurance violation2013TX-INS$14,360
National Interstate Insurance CompanyAmerican Financial Groupinsurance violation2013TX-INS$23,000
American Home Assurance CompanyAmerican International Groupinsurance violation2013TX-INS$5,500
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2013TX-INS$7,000
Standard Fire Insurance CompanyTravelersinsurance violation2013TX-INS$5,000
Federal Insurance CompanyChubb Limitedinsurance violation2013TX-INS$6,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2013TX-INS$15,000
Chubb Indemnity Insurance CompanyChubb Limitedinsurance violation2013TX-INS$7,000
Wausau Underwriters Insurance CompanyLiberty Mutual Insuranceinsurance violation2013TX-INS$8,000
Protective Insurance CompanyProgressiveinsurance violation2013TX-INS$30,000
Pacific Indemnity CompanyChubb Limitedinsurance violation2013TX-INS$17,500
Globe Life and Accident Insurance CompanyGlobe Life Inc.insurance violation2013UT-INS$10,000
BANKERS LIFE AND CASUALTY CO.CNO Financialinsurance violation2013VA-INS$27,000
ALLSTATE INSURANCE COMPANYAllstateinsurance violation2013VA-INS$5,000
American Family Life Assurance Company of ColumbusAflacinsurance violation2013VA-INS$10,000
PROGRESSIVE NORTHERN INSURANCEProgressiveinsurance violation2013VA-INS$221,905
ELEPHANT INSURANCE COMPANYAdmiral Groupinsurance violation2013VA-INS$6,154
Horace Mann Insurance CompanyHorace Mann Educators Corp.insurance violation2013VT-FIN$11,007
Bankers Life and Casualty CompanyCNO Financialinsurance violation2013VT-FIN$600,000
Dairyland Insurance CompanySentry Insuranceinsurance violation2013VT-FIN$37,852
American Income Life Insurance CompanyGlobe Life Inc.insurance violation2013WA-INS$75,000
American Family Mutual Insurance Company S.I.American Family Insuranceinsurance violation2013WA-INS$10,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2013WA-INS$15,000
American Alternative Insurance Corporation et al.Munich Reinsurance violation2013WA-INS$10,000
Allianz Life Insurance Company Of North AmericaAllianzinsurance violation2013WA-INS$150,000
Hartford Fire Insurance Company And Twin City Fire Insurance CompanyHartford Financial Servicesinsurance violation2013WA-INS$10,000
Hartford Accident & Indemnity Company et al.Hartford Financial Servicesinsurance violation2013WA-INS$100,000
Allstate Fire & Casualty Insurance CompanyAllstateinsurance violation2013WA-INS$15,000
American Guarantee & Liability Insurance Company et al.Zurich Insuranceinsurance violation2013WA-INS$50,000
Transamerica Premier Life Insurance CompanyAegoninsurance violation2013WA-INS$150,000
Bankers Life & CasualtyCNO Financialinsurance violation2013WI-INS$200,000
Thrivent Financial for LutheransThrivent Financialinsurance violation2013WI-INS$5,000
Amerisave Mortgage CorporationAmeriSave Mortgageinvestor protection violation2013MULTI-FIN$2,300,000
Morgan Keegan & CompanyRaymond James Financialtoxic securities abuses2013MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $100,000,000
TIAA-CREF Life Insurance CompanyTIAAinsurance violation2013MULTI-FIN$6,200,000
UBS Financial Services Inc.UBSinvestor protection violation2013MULTI-FIN$4,600,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.