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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 TypeYearAgencyPenalty Amount sort icon
J.P. Morgan SecuritiesJPMorgan Chaseinvestor protection violation2014SEC$54,000
Countrywide Home Loans, Inc.Bank of Americaconsumer protection violation2010IL-BKG$54,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2014CT-SEC$53,800
American Zurich Insurance CompanyZurich Insuranceinsurance violation2018TX-INS$53,750
Standard Insurance CompanyMeiji Yasuda Life Insuranceinsurance violation2024CT-INS$53,500
Sentry InsuranceSentry Insuranceconsumer protection violation2014MA-AG$53,430
Wausau Underwriters Insurance Co.Liberty Mutual Insuranceinsurance violation2002FL-OFR$53,000
Life Investors Insurance Company of AmericaAegoninsurance violation2006FL-OFR$53,000
Jackson National Life Insurance Co.Jackson Financialinsurance violation2010FL-OFR$53,000
Freedom Mortgage Corp.Freedom Mortgageconsumer protection violation2009WA-FIN$52,791
PROGRESSIVE NORTHERN INSURANCEProgressiveinsurance violation2016VA-INS$52,619
Investment Professionals, Inc.Ameriprise Financialinvestor protection violation2009MO-SEC$52,500
Thomas Weisel Partners LLCStifel Financialinvestor protection violation2006CT-SEC$52,480
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020PA-BKG$52,372
Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2009MO-SEC$52,300
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020CA-DFPI$52,047
Ocwen Financial Solutions, Private Ltd.Ocwen Financialconsumer protection violation2017CA-DFPI$52,000
Nationwide Insurance Company of America et al.Nationwideinsurance violation2011IA-INS$52,000
First American Title Insurance Co.First American Financialinsurance violation2020MD-INS$52,000
CIT GroupFirst Citizens BancSharesconsumer protection violation2009NE-DBF$52,000
Hartford Accident and Indemnity CompanyHartford Financial Servicesinsurance violation2022TX-INS$52,000
Mutual of Omaha BankFirst Citizens BancSharesbanking violation2013OCC$51,765
AIG Assurance CompanyAmerican International Groupinsurance violation2016TX-INS$51,750
RBC Capital Markets Corp.Royal Bank of Canadainvestor protection violation2010NJ-AG$51,724
SunTrust Mortgage Inc.Truist Financialwage and hour violation2012WHD$51,518
J.P. Morgan SecuritiesJPMorgan Chaseinvestor protection violation2014DE-AG$51,400
NATIONWIDE MUTUAL FIRE, ET AL.Nationwideinsurance violation2011VA-INS$51,384
Huntington National BankHuntington Bancshareswage and hour violation2005WHD$51,259
Nationwide Mutual Insurance Co.Nationwideinsurance violation2016MO-INS$51,250
Wells Fargo Bank, National AssociationWells Fargobanking violation2009OCC$51,205
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020CT-SEC$51,136
J.P. Morgan Securities, LLCJPMorgan Chaseinvestor protection violation2014AK-DBS$51,120
Jackson FinancialJackson Financialwage and hour violation2018MI-LEO$51,118
Permanent General Assurance Corporation of OhioAmerican Family Insuranceinsurance violation2019CO-INS$50,974
STATE FARM MUTUAL INSURANCE COState Farm Insuranceinsurance violation2017VA-INS$50,600
ESURANCE INSURANCE COMPANYAllstateinsurance violation2015VA-INS$50,508
J.P. Morgan Securities, LLCJPMorgan Chaseinvestor protection violation2014NJ-AG$50,460
Buckeye Partners LPIFM Investorspipeline safety violation2017PHMSA$50,400
Banco PopularPopular Inc.wage and hour violation2016private lawsuit-federal$50,243
USAA General Indemnity CompanyUSAAinsurance violation2023OR-FIN$50,200
E*Trade Group, Inc.Morgan Stanleybenefit plan administrator violation2008EBSA$50,001
FRED ALGER & COMPANY, INCORPORATEDAlger Associatesbenefit plan administrator violation2007EBSA$50,001
FIRST FINANCIAL BANCORPFirst Financial Bancorp.benefit plan administrator violation2007EBSA$50,001
LAVA TRADING INC.Citigroupbenefit plan administrator violation2006EBSA$50,001
AMERICAN INTERNATIONAL GROUP INC GROUP LIFE & MEDICAL INSURANCE PLANAmerican International Groupbenefit plan administrator violation2005EBSA$50,001
OCWEN FINANCIAL CORPORATIONOcwen Financialbenefit plan administrator violation2020EBSA$50,001
OCWEN FINANCIAL CORPORATIONOcwen Financialbenefit plan administrator violation2020EBSA$50,001
OCWEN FINANCIAL CORPORATIONOcwen Financialbenefit plan administrator violation2020EBSA$50,001
Stonex Group Inc.StoneX Groupbenefit plan administrator violation2024EBSA$50,001
Buckeye PartnersIFM Investorsrailroad safety violation2014FRA$50,000
UBS Fund Advisor, LLCUBSinvestor protection violation2009CFTC$50,000
Guy Carpenter & Company, IncMarsh & McLennaneconomic sanction violation2003OFAC$50,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2009SEC$50,000
Western Asset Management Co.Franklin Resourcesinvestor protection violation2001SEC$50,000
Legg Mason Fund Adviser, Inc.Franklin Resourcesinvestor protection violation2001SEC$50,000
Legg Mason Wood Walker, IncorporatedFranklin Resourcesinvestor protection violation2001SEC$50,000
Asurion, LLCAsurionemployment discrimination2019EEOC$50,000
Bank of AmericaBank of Americadiscriminatory practices (non-employment)2006MA-AG$50,000
Liberty MutualLiberty Mutual Insuranceconsumer protection violation2007MA-AG$50,000
Liberty Mutual Insurance Group Inc.Liberty Mutual Insuranceconsumer protection violation2018MA-AG$50,000
Metropolitan Property and Casualty Insurance Co.Zurich Insuranceconsumer protection violation2013MA-AG$50,000
United Services Automobile AssociationUSAAdiscriminatory practices (non-employment)2014MA-AG$50,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2017AR-INS$50,000
IberiaBank Mortgage Co.First Horizon Nationalconsumer protection violation2016AR-SEC$50,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2018AR-SEC$50,000
American Family Connect Property and Casualty Insurance CompanyAmerican Family Insuranceinsurance violation2020AZ-DIFI$50,000
21st Century Insurance Co. and 21st Century Casualty Co.Zurich Insuranceinsurance violation2007CA-INS$50,000
SunTrust Mortgage, Inc.Truist Financialmortgage abuses2016CA-DFPI$50,000
Guaranteed Rate, Inc.Guaranteed Rate Inc.consumer protection violation2017CA-DFPI$50,000
Amerisave Mortgage Corp.AmeriSave Mortgageconsumer protection violation2017CA-DFPI$50,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2007CO-INS$50,000
Wilmington Trust Co.M&T Bankinvestor protection violation2005DE-SEC$50,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2005FL-OFR$50,000
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2005FL-OFR$50,000
Ticor Title Insurance Co.Fidelity National Financialinsurance violation2005FL-OFR$50,000
USAA Life Insurance Co.USAAinsurance violation2009FL-OFR$50,000
GMAC Mortgage, LLCAlly Financialconsumer protection violation2010IL-BKG$50,000
State Farm Mutual Automobile Insurance Co. and State Farm Fire and Casualty Co.State Farm Insuranceinsurance violation2011IL-INS$50,000
Farmers Insurance Company, Inc.Zurich Insuranceinsurance violation2013KS-INS$50,000
Wachovia Securities, LLCWells Fargoinvestor protection violation2008MD-SEC$50,000
National General Assurance Co.Allstateinsurance violation2011MD-INS$50,000
Wells Fargo Advisors LLCWells Fargoinvestor protection violation2012MD-SEC$50,000
Erie Insurance ExchangeErie Indemnityinsurance violation2012MD-INS$50,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2013MD-SEC$50,000
Phoenix Insurance Co. and Travelers Property Casualty Company of AmericaTravelersinsurance violation2013MD-INS$50,000
NYLIFE Securities LLCNew York Life Insuranceinvestor protection violation2019ME-SEC$50,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2020MI-SEC$50,000
Transamerica Life Insurance Co. et al.Aegoninsurance violation2012MN-FIN$50,000
USAA Casualty Insurance Co.USAAinsurance violation2015MN-FIN$50,000
Safeco Insurance Company of IllinoisLiberty Mutual Insuranceinsurance violation2016MN-FIN$50,000
State Farm Mutual Automobile Insurance Co.State Farm Insuranceinsurance violation2017MN-FIN$50,000
American Income Life Insurance Co.Globe Life Inc.insurance violation2002MS-INS$50,000
Conseco Life Insurance Co.CNO Financialinsurance violation2003MS-INS$50,000
MetLife Securities, Inc.MetLifeinvestor protection violation2006MS-SEC$50,000
Stifel, Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2017MS-SEC$50,000
Time Insurance Co.Haven Holdingsinsurance violation2010MT-FIN$50,000
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2013MT-FIN$50,000
Bankers Life and Casualty Co.CNO Financialinsurance violation2013MT-FIN$50,000
Hartford Life Insurance Co. and Hartford Life and Accident Insurance Co.Hartford Financial Servicesinsurance violation2016MT-FIN$50,000
Santander Securities, LLCBanco Santanderinvestor protection violation2019NH-BSR$50,000
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2015NJ-DBI$50,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.