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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 TypeYearAgency sort iconPenalty Amount
United Services Automobile AssociationUSAAinsurance violation2001KS-INS$5,000
Progressive Casualty Insurance Co. et al.Progressiveinsurance violation2004KS-INS$19,800
Nationwide Agribusiness Insurance Co.Nationwideinsurance violation2006KS-INS$7,500
Metropolitan Property and Casualty Co.Zurich Insuranceinsurance violation2006KS-INS$5,000
St. Paul Fire & Marine Insurance Co.Travelersinsurance violation2006KS-INS$5,000
Wausau Business Insurance Co.Liberty Mutual Insuranceinsurance violation2008KS-INS$15,622
Continental Western Insurance Co.W.R. Berkleyinsurance violation2008KS-INS$10,000
Reliance Standard Life Insurance Co.Tokio Marineinsurance violation2009KS-INS$6,300
Old Republic Insurance Co.Old Republic Internationalinsurance violation2009KS-INS$5,000
Progressive Direct Insurance Co.Progressiveinsurance violation2009KS-INS$5,000
Bankers Life & Casualty Co.CNO Financialinsurance violation2009KS-INS$8,000
Bankers Life & Casualty Co.CNO Financialinsurance violation2010KS-INS$22,000
Liberty Mutual Insurance Co.Liberty Mutual Insuranceinsurance violation2010KS-INS$13,000
The Travelers Indemnity Co. et al.Travelersinsurance violation2010KS-INS$10,000
Globe Life & Accident Insurance Co.Globe Life Inc.insurance violation2012KS-INS$17,250
Continental Western Insurance Co.W.R. Berkleyinsurance violation2012KS-INS$6,000
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2012KS-INS$5,000
Farmers Insurance Company, Inc.Zurich Insuranceinsurance violation2013KS-INS$50,000
Allstate Fire and Casualty Co.Allstateinsurance violation2014KS-INS$10,000
Seneca Insurance Co.Fairfax Financial Holdingsinsurance violation2014KS-INS$5,000
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2015KS-INS$81,000
State Farm Fire and Casualty Co.State Farm Insuranceinsurance violation2015KS-INS$10,000
Farmers Insurance Company, Inc.Zurich Insuranceinsurance violation2016KS-INS$20,000
American General Life Insurance Co.American International Groupinsurance violation2016KS-INS$15,000
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2016KS-INS$20,000
AGCS Marine Insurance Co.Allianzinsurance violation2017KS-INS$63,483
Great American Insurance Co.American Financial Groupinsurance violation2017KS-INS$13,000
Companion Life Insurance Co.BlueCross BlueShield of South Carolinainsurance violation2017KS-INS$100,000
Standard Fire Insurance Co.Travelersinsurance violation2018KS-INS$7,500
Liberty Mutual InsuranceLiberty Mutual Insuranceinsurance violation2018KS-INS$80,000
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2019KS-INS$60,000
Auto-Owners (Mutual) Insurance Co. and Owners Insurance Co.Auto-Owners Insuranceinsurance violation2019KS-INS$10,000
National Union Fire Insurance Company of Pittsburgh, PaAmerican International Groupinsurance violation2021KS-INS$5,000
USAA Casualty Insurance Company et al.USAAinsurance violation2021KS-INS$5,000
Austin Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2022KS-INS$7,000
Progressive Direct Insurance Company et al.Progressiveinsurance violation2022KS-INS$5,000
Travelers Home and Marine Insurance CompanyTravelersinsurance violation2022KS-INS$26,240
Travelers Personal Insurance CompanyTravelersinsurance violation2022KS-INS$5,980
Conseco Finance Servicing Corp.CNO Financialconsumer protection violation2002KS-BKG$7,275,000
Bankers Life and Casualty Co.CNO Financialprivacy violation2003KS-AG$15,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2010IN-SEC$692,000
ProEquities, Inc.Dai-ichi Lifeinvestor protection violation2010IN-SEC$9,000
Wells Fargo Advisors, LLCWells Fargoinvestor protection violation2010IN-SEC$8,495
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2011IN-SEC$10,000
UBS Financial ServicesUBSinvestor protection violation2011IN-SEC$677,000
Fidelity Brokerage Services LLCFidelity Investmentsinvestor protection violation2011IN-SEC$7,500
Morgan Stanley & Co. Inc.Morgan Stanleyinvestor protection violation2012IN-SEC$210,000
LPL Financial, LLCLPL Financialinvestor protection violation2013IN-SEC$14,000
Fifth Third Securities, Inc.Fifth Third Bancorpinvestor protection violation2013IN-SEC$8,500
Prosper MarketplaceProsper Marketplaceinvestor protection violation2015IN-SEC$13,957
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2015IN-SEC$475,000
JPMorgan Chase & Co.JPMorgan Chaseinvestor protection violation2016IN-SEC$905,000
JPMorgan Chase Bank, N.A. and J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2016IN-SEC$950,000
NYLIFE Securities, LLCNew York Life Insuranceinvestor protection violation2017IN-SEC$275,000
LPL Financial, LLCLPL Financialinvestor protection violation2018IN-SEC$450,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020IN-SEC$15,575
Victoria Fire & Casualty Co.Nationwideinsurance violation2003IN-INS$5,000
Workmen's Auto Insurance CompanyMercury General Corporationinsurance violation2003IN-INS$8,000
Progressive Casualty Insurance CompanyProgressiveinsurance violation2003IN-INS$8,000
Allstate Insurance CompanyAllstateinsurance violation2003IN-INS$12,220
Sun LIfe Assurance Company of Canada et al.Sun Life Financialinsurance violation2004IN-INS$125,000
Safeco Insurance Co. of AmericaLiberty Mutual Insuranceinsurance violation2005IN-INS$5,000
Universal Underwriters Insurance CompanyZurich Insuranceinsurance violation2006IN-INS$948,240
American Bankers Insurance Company of FloridaAssurantinsurance violation2007IN-INS$87,500
United Insurance Co. of AmericaKemperinsurance violation2007IN-INS$6,500
Bankers Life and Casualty Co.CNO Financialinsurance violation2007IN-INS$6,569
Lawyers Title Insurance Corp.Fidelity National Financialinsurance violation2007IN-INS$9,000
State Farm Mutual Automobile Insurance Co. et al.State Farm Insuranceinsurance violation2009IN-INS$275,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2009IN-INS$24,150
Ticor Title Insurance Co.Fidelity National Financialinsurance violation2009IN-INS$10,850
Liberty Mutual Insurance Co.Liberty Mutual Insuranceinsurance violation2009IN-INS$5,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2010IN-INS$200,000
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2010IN-INS$5,000
North Pointe Insurance Co.QBE Insuranceinsurance violation2012IN-INS$75,575
Mid-Century Insurance Co.Zurich Insuranceinsurance violation2012IN-INS$5,000
Time Insurance Co. and John Alden Life Insurance Co. and Union Securitiy Insurance Co.Haven Holdingsinsurance violation2012IN-INS$2,950,000
Fidelity National Title Company, LLCFidelity National Financialinsurance violation2014IN-INS$30,000
First American TitleFirst American Financialinsurance violation2014IN-INS$12,500
Stewart Title Co.Stewart Information Servicesinsurance violation2015IN-INS$59,400
Liberty Mutual InsuranceLiberty Mutual Insuranceinsurance violation2019IN-INS$5,000
ServiceLink LLCFidelity National Financialinsurance violation2019IN-INS$7,500
ServiceLink LLCFidelity National Financialinsurance violation2022IN-INS$67,175
Stewart Title CompanyStewart Information Servicesinsurance violation2023IN-INS$6,570
BUCKEYE PIPE LINE CO LPIFM Investorsenvironmental violation2019IN-ENV$22,500
LOUIS DREYFUS AGRICULTURAL INDUSTRIES LLCLouis Dreyfusenvironmental violation2016IN-ENV$8,750
BUCKEYE TERMINALS LLCIFM Investorsenvironmental violation2016IN-ENV$49,750
BUCKEYE TERMINALS LLC - HAMMONDIFM Investorsenvironmental violation2015IN-ENV$158,000
LOUIS DREYFUS AGRICULTURAL INDUSTRIES LLCLouis Dreyfusenvironmental violation2013IN-ENV$7,750
LOUIS DREYFUS AGRICULTURAL INDUSTRIES LLCLouis Dreyfusenvironmental violation2011IN-ENV$103,750
GM ACCEPTANCE CORP TRUCK & BUS GRPAlly Financialenvironmental violation2006IN-ENV$57,750
RR DONNELLEY & SONS COChatham Asset Managementenvironmental violation2006IN-ENV$9,563
RR DONNELLEY & SONS COChatham Asset Managementenvironmental violation2001IN-ENV$15,800
RR DONNELLEY & SONS COChatham Asset Managementenvironmental violation2001IN-ENV$9,200
Louis Dreyfus Company Agricultural Industries LLCLouis Dreyfusenvironmental violation2021IN-ENV$17,400
IAC Greencastle, LLCInvescoenvironmental violation2022IN-ENV$14,000
Countrywide Home LoansBank of Americamortgage abuses2009IN-AG$2,800,000
Western Sky Financial LLC, CashCall, Inc., WS Funding, LLC and Delbert Services Corp.CashCall Inc.consumer protection violation2016IN-AG$1,000,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2004IL-SEC$5,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2005IL-SEC$7,500
Bear, Stearns & Co., Inc.JPMorgan Chaseinvestor protection violation2005IL-SEC$10,000
Banc of America Investment Services, Inc.Bank of Americainvestor protection violation2006IL-SEC$250,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.