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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $394,610,993,640
Number of Records: 7,983
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$87,299,969,499332
JPMorgan Chase$40,164,908,209281
UBS$31,275,299,125181
Wells Fargo$27,617,269,231267
Citigroup$27,081,211,792183
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,919,491,249115
NatWest Group PLC$14,264,317,61841
Morgan Stanley$10,909,502,443206
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 Type sort iconYearAgencyPenalty Amount
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2024TX-INS$28,300
TWIN CITY FIRE INSURANCE COMPANYHartford Financial Servicesinsurance violation2024MO-INS$26,000
Permanent General Assurance CompanyAmerican Family Insuranceinsurance violation2023CT-INS$24,500
Homesite Insurance CompanyAmerican Family Insuranceinsurance violation2024CT-INS$24,000
General Casualty Company of WisconsinQBE Insuranceinsurance violation2024CT-INS$20,000
Metropolitan Life Insurance CompanyMetLifeinsurance violation2023CT-INS$20,000
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2024TX-INS$20,000
Principal Life Insurance CompanyPrincipal Financialinsurance violation2024CT-INS$16,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2024TX-INS$16,000
American Alternative Insurance CorporationMunich Reinsurance violation2024CT-INS$15,500
Willis Towers Watson Insurance Services West IncWillis Towers Watsoninsurance violation2024TX-INS$14,750
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2024TX-INS$14,000
Arthur J. Gallagher Risk Management Services, LLCArthur J. Gallagher & Co.insurance violation2024TX-INS$13,250
Arch Indemnity Insurance CompanyArch Capitalinsurance violation2024TX-INS$12,000
Minnesota Life Insurance CompanySecurian Financialinsurance violation2024CT-INS$10,500
Arch Insurance CompanyArch Capitalinsurance violation2024TX-INS$10,500
Ace Property and Casualty Insurance CompanyChubb Limitedinsurance violation2024SC-ENV$10,000
Arch Insurance CompanyArch Capitalinsurance violation2024TX-INS$10,000
United Services Automobile Association, et al.USAAinsurance violation2024VA-INS$10,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2024TX-INS$9,500
Willis Towers Watson Northeast, Inc.Willis Towers Watsoninsurance violation2024TX-INS$9,150
Selective Insurance Company of South CarolinaSelective Insurance Groupinsurance violation2024CT-INS$8,500
AGCS Marine Insurance CompanyAllianzinsurance violation2024CT-INS$8,000
AIU Insurance CompanyAmerican International Groupinsurance violation2024TX-INS$8,000
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2024TX-INS$8,000
Travelers Indemnity Company of ConnecticutTravelersinsurance violation2024TX-INS$8,000
Travelers Indemnity Company of ConnecticuTravelersinsurance violation2024TX-INS$8,000
Aon Risk Services Southwest Inc.Aoninsurance violation2024TX-INS$7,750
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2024TX-INS$6,000
XL Specialty Insurance CompanyAXAinsurance violation2024TX-INS$5,500
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2024TX-INS$5,500
Affinity Insurance Services, Inc.Aoninsurance violation2024AK-INS$5,000
Liberty Insurance Corp.Liberty Mutual Insuranceinsurance violation2024TX-INS$5,000
LIBERTY MUTUAL FIRE INSURANCE COMPANYLiberty Mutual Insuranceinsurance violation2024WA-INS$5,000
EQUITABLE FINANCIAL LIFE INSURANCE COMPANY OF AMERICAEquitable Holdingsinsurance violation2024WA-INS$5,000
Barclays Capital Inc.Barclaysinvestor protection violation2016SEC$35,000,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2016SEC$54,300,000
Goldman Sachs & Co.Goldman Sachsinvestor protection violation2016SEC$15,000,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2016SEC$4,000,000
Morgan Stanley Investment ManagementMorgan Stanleyinvestor protection violation2015SEC$8,800,000
J.P. Morgan Securities LLC and JPMorgan Chase Bank N.A.JPMorgan Chaseinvestor protection violation2015SEC$267,000,000
ICBC Standard Bank PlcIndustrial and Commercial Bank of Chinainvestor protection violation2015SEC$4,200,000
UBS Willow Management LLC and UBS Fund Advisor LLCUBSinvestor protection violation2015SEC$17,500,000
UBS AGUBSinvestor protection violation2015SEC$19,500,000
UBS Financial Services Inc. of Puerto RicoUBSinvestor protection violation2015SEC$15,000,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2015SEC$4,250,000
Citigroup Global MarketsCitigroupinvestor protection violation2015SEC$15,000,000
Citigroup Global Markets Inc. and Citigroup Alternative Investments LLCCitigroupinvestor protection violation2015SEC$180,000,000
Edward D. Jones & Co. LPJones Financialinvestor protection violation2015SEC$20,000,000
Goldman Sachs & Co.Goldman Sachsinvestor protection violation2015SEC$7,000,000
Merrill LynchBank of Americainvestor protection violation2015SEC$10,900,000
Deutsche Bank AGDeutsche Bankinvestor protection violation2015SEC$55,000,000
BlackRock Advisors LLCBlackRockinvestor protection violation2015SEC$12,000,000
UBS Securities LLCUBSinvestor protection violation2015SEC$14,400,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2014SEC$4,000,000
HSBC Private Bank (Suisse)HSBCinvestor protection violation2014SEC$12,500,000
Bank of America CorporationBank of Americainvestor protection violation2014SEC$7,650,000
Barclays Capital Inc.Barclaysinvestor protection violation2014SEC$15,000,000
Wells Fargo Advisors LLCWells Fargoinvestor protection violation2014SEC$5,000,000
Credit Suisse Group AGUBSinvestor protection violation2014SEC$196,000,000
Massachusetts Mutual Life Insurance CompanyMassachusetts Mutual Life Insuranceinvestor protection violation2012SEC$1,625,000
Mizuho Financial GroupMizuho Financialinvestor protection violation2012SEC$127,500,000
OppenheimerFunds Inc.Invescoinvestor protection violation2012SEC$35,000,000
UBS Financial Services Inc. of Puerto RicoUBSinvestor protection violation2012SEC$26,600,000
Goldman Sachs & Co.Goldman Sachsinvestor protection violation2012SEC$22,000,000
UBS Global Asset ManagementUBSinvestor protection violation2012SEC$300,000
Morgan Stanley Investment ManagementMorgan Stanleyinvestor protection violation2011SEC$3,300,000
UBS Securities LLCUBSinvestor protection violation2011SEC$8,000,000
RBC Capital Markets LLCRoyal Bank of Canadainvestor protection violation2011SEC$30,400,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2011SEC$850,000
TD Ameritrade Inc.Charles Schwab Corp.investor protection violation2011SEC$10,000,000
Charles Schwab Investment Management and Charles Schwab & Co., Inc.Charles Schwab Corp.investor protection violation2011SEC$118,000,000
Bank of AmericaBank of Americainvestor protection violation2010SEC$150,000,000
JPMorgan ChaseJPMorgan Chaseinvestor protection violation2016CFTC$225,000
Credit SuisseUBSinvestor protection violation2016CFTC$665,000
JPMorgan Chase BankJPMorgan Chaseinvestor protection violation2015CFTC$100,000,000
BNP Paribas SecuritiesBNP Paribasinvestor protection violation2015CFTC$140,000
Deutsche Bank AGDeutsche Bankinvestor protection violation2015CFTC$2,500,000
Morgan StanleyMorgan Stanleyinvestor protection violation2015CFTC$300,000
Royal Bank of CanadaRoyal Bank of Canadainvestor protection violation2014CFTC$35,000,000
Morgan Stanley Smith BarneyMorgan Stanleyinvestor protection violation2014CFTC$280,000
Merrill LynchBank of Americainvestor protection violation2014CFTC$1,200,000
JPMorgan SecuritiesJPMorgan Chaseinvestor protection violation2014CFTC$650,000
Morgan Stanley Smith BarneyMorgan Stanleyinvestor protection violation2014CFTC$490,000
Morgan Stanley Capital GroupMorgan Stanleyinvestor protection violation2014CFTC$200,000
JPMorgan ChaseJPMorgan Chaseinvestor protection violation2013CFTC$100,000,000
ABN AMRO Clearing Chicago LLCABN AMROinvestor protection violation2013CFTC$1,000,000
Mizuho Securities USA Inc.Mizuho Financialinvestor protection violation2013CFTC$175,000
Goldman SachsGoldman Sachsinvestor protection violation2012CFTC$1,500,000
Morgan Stanley Smith BarneyMorgan Stanleyinvestor protection violation2012CFTC$200,000
JPMorgan Chase BankJPMorgan Chaseinvestor protection violation2012CFTC$600,000
CitigroupCitigroupinvestor protection violation2012CFTC$525,000
Morgan StanleyMorgan Stanleyinvestor protection violation2012CFTC$5,000,000
Goldman Sachs Execution & Clearing LPGoldman Sachsinvestor protection violation2012CFTC$7,000,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2012CFTC$140,000
BlackRock Institutional Trust Company NABlackRockinvestor protection violation2012CFTC$250,000
Merrill LynchBank of Americainvestor protection violation2011CFTC$350,000
Morgan Stanley Capital GroupMorgan Stanleyinvestor protection violation2010CFTC$14,000,000
UBS SecuritiesUBSinvestor protection violation2010CFTC$200,000
State Street Bank and Trust CompanyState Street Corp.investor protection violation2016SEC$382,400,000
Citigroup Global MarketsCitigroupinvestor protection violation2016SEC$7,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.