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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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$39,340,688,209275
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
Transamerica Life Insurance Co. et al.Aegoninsurance violation2012MN-FIN$50,000
Stifel, Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2012MO-SEC$1,101,385
National General Insurance Co.Allstateinsurance violation2012MO-INS$5,000
Old Republic Insurance Co.Old Republic Internationalinsurance violation2012MO-INS$134,750
LendingClub Corp.LendingClub Corp.investor protection violation2012MO-SEC$105,000
XL Specialty Insurance Co.AXAinsurance violation2012MO-INS$21,000
Stewart Title Guarantee Co.Stewart Information Servicesinsurance violation2012MO-INS$128,000
Chubb National Insurance Co.Chubb Limitedinsurance violation2012MO-INS$68,000
First American Title Insurance Co.First American Financialinsurance violation2012MO-INS$34,500
Zenith Insurance Co.Fairfax Financial Holdingsinsurance violation2012MO-INS$93,842
Fidelity National Title Insurance Co. et al.Fidelity National Financialinsurance violation2012MO-INS$237,500
Washington National Insurance Co.CNO Financialinsurance violation2012MO-INS$150,000
First American Title Insurance Co.First American Financialinsurance violation2012MO-INS$165,000
Companion Life Insurance Co.BlueCross BlueShield of South Carolinainsurance violation2012MT-FIN$12,500
LPL Financial LLCLPL Financialinvestor protection violation2012MT-FIN$30,500
Metlife Investors USA Insurance CoMetLifeinvestor protection violation2012MT-FIN$5,000
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2012MT-FIN$186,439
Hartford Life and Annuity Insurance CompanyHartford Financial Servicesinsurance violation2012NC-INS$91,500
American Modern Home Insurance CompanyMunich Reinsurance violation2012NC-INS$1,860,000
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2012NE-DBF$5,400
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2012NE-DBF$7,000
Home Loan Center Inc., d/b/a LendingTree LoansLendingTreeconsumer protection violation2012NE-DBF$6,000
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2012NE-DBF$5,800
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2012NH-BSR$155,000
Morgan Stanley Smith BarneyMorgan Stanleyinvestor protection violation2012NH-BSR$35,000
Prospect Mortgage, LLCHomebridge Financial Servicesconsumer protection violation2012NH-BKG$101,185
UBS Financial Services Inc.UBSinvestor protection violation2012NH-BSR$72,500
Praetorian Insurance CompanyQBE Insuranceinsurance violation2012NJ-DBI$10,000
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesinsurance violation2012NJ-DBI$4,233,100
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesinsurance violation2012NJ-DBI$100,000
Hartford Life Insurance CompanyHartford Financial Servicesinsurance violation2012NY-DFS$24,000,000
HealthNowHighmark Inc.insurance violation2012NY-DFS$101,640
Standard Chartered BankStandard Charteredanti-money-laundering deficiencies2012NY-DFS$340,000,000
Hartford Life and Accident Insurance CompanyHartford Financial Servicesinsurance violation2012OR-FIN$5,000
Bankers Life and Casualty CompanyCNO Financialinsurance violation2012OR-FIN$14,000
Navigators Insurance CompanyHartford Financial Servicesinsurance violation2012OR-FIN$17,000
American Home Assurance CompanyAmerican International Groupconsumer protection violation2012OR-FIN$20,000
Commerce and Industry Insurance CompanyAmerican International Groupinsurance violation2012OR-FIN$20,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2012OR-FIN$30,000
Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2012OR-FIN$10,000
Western Sky Financial, LLCCashCall Inc.consumer protection violation2012OR-FIN$17,500
Allied Home Mortgage Corporation et al.Americus Mortgageconsumer protection violation2012PA-BKG$10,000
Allstate Property & Casualty Insurance CompanyAllstateinsurance violation2012RI-FIN$8,000
MML Investors Services LLCMassachusetts Mutual Life Insuranceinvestor protection violation2012RI-FIN$250,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2012SC-INS$10,000
AXA Art Insurance CorporationAXAinsurance violation2012SC-INS$8,000
Nationwide Life Insurance CompanyNationwideinsurance violation2012SD-INS$40,000
Ace American Insurance CompanyChubb Limitedinsurance violation2012TX-INS$8,500
American Zurich Insurance CompanyZurich Insuranceinsurance violation2012TX-INS$27,500
Employers Insurance Company of WausauLiberty Mutual Insuranceinsurance violation2012TX-INS$15,000
Hartford Underwriters Insurance CompanyHartford Financial Servicesinsurance violation2012TX-INS$5,000
Liberty Mutual Insurance CompanyLiberty Mutual Insuranceinsurance violation2012TX-INS$16,500
Wausau Business Insurance CompanyLiberty Mutual Insuranceinsurance violation2012TX-INS$16,000
Illinois National Insurance CompanyAmerican International Groupinsurance violation2012TX-INS$8,900
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2012TX-INS$5,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2012TX-INS$16,000
Wausau Underwriters Insurance CompanyLiberty Mutual Insuranceinsurance violation2012TX-INS$5,000
Hartford Insurance Company of the MidwestHartford Financial Servicesinsurance violation2012TX-INS$13,000
Praetorian Insurance CompanyQBE Insuranceinsurance violation2012TX-INS$14,000
Travelers Property Casualty Company of AmericaTravelersinsurance violation2012TX-INS$25,000
Wausau Business Insurance CompanyLiberty Mutual Insuranceinsurance violation2012TX-INS$12,000
The Netherlands Insurance CompanyLiberty Mutual Insuranceinsurance violation2012TX-INS$8,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2012TX-INS$62,500
Zurich American Insurance CompanyZurich Insuranceinsurance violation2012TX-INS$35,000
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2012TX-INS$5,000
Arch Insurance CompanyArch Capitalinsurance violation2012TX-INS$26,500
American Home Assurance Co.American International Groupinsurance violation2012TX-INS$20,784
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2012TX-INS$18,096
Illinois National Insurance CompanyAmerican International Groupinsurance violation2012TX-INS$5,856
Sentry Insurance, A Mutual CompanySentry Insuranceinsurance violation2012TX-INS$13,750
Praetorian Insurance CompanyQBE Insuranceinsurance violation2012TX-INS$30,000
Hartford Insurance Company of the MidwestHartford Financial Servicesinsurance violation2012TX-INS$5,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2012TX-INS$6,960
Travelers Casualty and Surety CompanyTravelersinsurance violation2012TX-INS$6,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2012TX-INS$16,000
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2012UT-INS$15,000
United Insurance CompanyKemperinsurance violation2012UT-INS$5,500
GRANITE STATE INSURANCE CO.American International Groupinsurance violation2012VA-INS$19,560
ALPHA PROPERTY & CASUALTY INSURANCEKemperinsurance violation2012VA-INS$15,000
UNITED OF OMAHA LIFE INSURANCEMutual of Omahainsurance violation2012VA-INS$7,500
Farmers Insurance Exchange and Mid-Century Insurance CompanyFarmers Insurance Exchangeinsurance violation2012VA-INS$555,130
COMMERCE & INDUSTRY INSURANCEAmerican International Groupinsurance violation2012VA-INS$44,518
American Economy Insurance Co.Liberty Mutual Insuranceinsurance violation2012VA-INS$5,000
ELEPHANT INSURANCE COMPANYAdmiral Groupinsurance violation2012VA-INS$29,709
CAROLINA CASUALTY INSURANCE COW.R. Berkleyinsurance violation2012VA-INS$5,000
AMERICAN AUTOMOBILE INSURANCE CORPAllianzinsurance violation2012VA-INS$5,000
PEERLESS INSURANCE COMPANYLiberty Mutual Insuranceinsurance violation2012VA-INS$8,000
SENTINEL INSURANCE COMPANY LTDHartford Financial Servicesinsurance violation2012VA-INS$66,735
AIU INSURANCE COMPANYAmerican International Groupinsurance violation2012VA-INS$31,900
AMERICAN HOME ASSURANCE CO.American International Groupinsurance violation2012VA-INS$15,000
Fidelity National Title Insurance CompanyFidelity National Financialinsurance violation2012WA-INS$100,000
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceinsurance violation2012WA-INS$5,000
Sentinel Insurance Company LtdHartford Financial Servicesinsurance violation2012WA-INS$30,000
Farmers Insurance Company Of Washington And Farmers Insurance ExchangeZurich Insuranceinsurance violation2012WA-INS$10,000
Homesite Insurance Company Of The MidwestAmerican Family Insuranceinsurance violation2012WA-INS$30,000
Old Republic Title LtdOld Republic Internationalinsurance violation2012WA-INS$8,000
Fidelity & Guaranty Life Insurance CompanyFidelity National Financialinsurance violation2012WA-INS$7,500
Hartford Insurance Company The MidwestHartford Financial Servicesinsurance violation2012WA-INS$30,000
State Farm Fire & Casualty CompanyState Farm Insuranceinsurance violation2012WA-INS$50,000
Unitrin Auto And Home Insurance CompanyKemperinsurance violation2012WA-INS$15,000
American General Life Insurance Company of DelawareAmerican International Groupinsurance violation2012WI-INS$40,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.