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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $364,987,502,767
Number of Records: 7,424
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$83,860,718,022283
JPMorgan Chase$36,735,865,891239
Citigroup$26,665,437,031170
Wells Fargo$25,943,801,143236
Deutsche Bank$19,684,396,13592
UBS$17,479,735,000115
Goldman Sachs$17,054,777,59197
NatWest Group PLC$14,007,380,19038
Credit Suisse$11,673,430,79257
Morgan Stanley$10,440,931,900196

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 icon . Penalty Amount
United Casualty Insurance Company of AmericaKemperinsurance violation2005FL-OFR$17,500
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2005FL-OFR$50,000
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2005FL-OFR$50,000
Safeco Insurance Company of America et al.Liberty Mutual Insuranceinsurance violation2005FL-OFR$35,350
Ticor Title Insurance Co.Fidelity National Financialinsurance violation2005FL-OFR$50,000
American General Life and Accident Insurance Co.American International Groupinsurance violation2006FL-OFR$1,568,324
Combined Insurance Company of AmericaChubb Limitedinsurance violation2006FL-OFR$9,750
Pacific Life & Annuity Co.Pacific Lifeinsurance violation2006FL-OFR$38,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2006FL-OFR$12,100
Life Investors Insurance Company of AmericaAegoninsurance violation2006FL-OFR$53,000
CUNA Mutual Life Insurance Co.CUNA Mutualinsurance violation2007FL-OFR$7,500
USAA Life Insurance Co.USAAinsurance violation2007FL-OFR$22,500
Fortis Insurance Co.Assurantinsurance violation2007FL-OFR$11,000
Ace American Insurance Co.Chubb Limitedinsurance violation2007FL-OFR$56,000
Cincinnati Insurance Co.Cincinnati Financialinsurance violation2007FL-OFR$65,000
American Home Assurance Co.American International Groupinsurance violation2007FL-OFR$25,500
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2007FL-OFR$240,000
Mutual of Omaha Insurance Co.Mutual of Omahainsurance violation2007FL-OFR$13,000
Fireman's Fund Insurance Co.Allianzinsurance violation2007FL-OFR$5,500
St. Paul Fire & Marine Insurance Co.Travelersinsurance violation2007FL-OFR$23,750
Chicago Insurance Co.Allianzinsurance violation2008FL-OFR$130,000
The Guardian Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2008FL-OFR$10,500
Zurich American Insurance Co.Zurich Insuranceinsurance violation2008FL-OFR$8,000
State Farm Life Insurance Co.State Farm Insuranceinsurance violation2008FL-OFR$10,500
Property and Casualty Insurance Company of HartfordHartford Financial Servicesinsurance violation2008FL-OFR$13,000
QBE Insurance Corp.QBE Insuranceinsurance violation2008FL-OFR$157,000
Amex Assurance Co.American Expressinsurance violation2008FL-OFR$8,000
Nationwide Financial ServicesNationwideconsumer protection violation2008FL-OFR$7,000
American General Life Insurance Co.American International Groupinsurance violation2008FL-OFR$260,000
USAA Life Insurance Co.USAAinsurance violation2009FL-OFR$50,000
Universal Property & Casualty Insurance Co.Universal Insurance Holdingsinsurance violation2009FL-OFR$99,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2010FL-OFR$165,000
Jackson National Life Insurance Co.Jackson Financialinsurance violation2010FL-OFR$53,000
Time Insurance Co.Haven Holdingsinsurance violation2010FL-OFR$23,000
Genworth Life and Annuity Insurance Co.Genworth Financialinsurance violation2010FL-OFR$18,000
State Farm Life Insurance Co.State Farm Insuranceinsurance violation2010FL-OFR$10,500
Liberty National Life Insurance Co.Globe Life Inc.insurance violation2011FL-OFR$60,000
New York Life Insurance Co.New York Life Insuranceinsurance violation2011FL-OFR$18,000
American Heritage Life Insurance Co.Allstateinsurance violation2011FL-OFR$28,000
RiverSource Life Insurance Co.Ameriprise Financialinsurance violation2011FL-OFR$10,500
Saxon Mortgage Services, Inc.Ocwen Financialconsumer protection violation2012FL-OFR$15,000
LendingClub Corp.LendingClub Corp.investor protection violation2012FL-OFR$100,000
State Farm Life Insurance Co.State Farm Insuranceinsurance violation2012FL-OFR$10,500
Pacific Life Insurance Co.Pacific Lifeinsurance violation2012FL-OFR$10,500
Metropolitan Life Insurance Co.MetLifeinsurance violation2012FL-OFR$103,000
Universal Property & Casualty Insurance Co.Universal Insurance Holdingsinsurance violation2013FL-OFR$1,260,000
State Farm Life Insurance Co.State Farm Insuranceinsurance violation2014FL-OFR$10,500
Pruco Life Insurance Co.Prudential Financialinsurance violation2014FL-OFR$10,500
Genworth Life and Annuity Insurance Co.Genworth Financialinsurance violation2014FL-OFR$10,500
Moneygram Payment Systems, Inc.MoneyGram Internationalconsumer protection violation2015FL-OFR$7,500
PayPal, Inc.PayPal Holdingsconsumer protection violation2015FL-OFR$14,500
American Express Travel Related Services Co, Inc.American Expressconsumer protection violation2015FL-OFR$9,000
ACE Cash Express, Inc.ACE Cash Expressconsumer protection violation2016FL-OFR$28,000
Nationwide Life and Annuity Insurance Co.Nationwideinsurance violation2016FL-OFR$22,435
CashCall, Inc., Western Sky Financial, LLC, WS Funding, LLCCashCall Inc.payday lending violation2016FL-OFR$500,000
American General Life Insurance Co.American International Groupinsurance violation2018FL-OFR$210,000
Western Union International Services LLCWestern Unionconsumer protection violation2019FL-OFR$10,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020FL-OFR$79,045
Coinbase, Inc.Coinbase Global Inc.consumer protection violation2021FL-OFR$6,500
Moneygram Payment Systems, Inc.MoneyGram Internationalconsumer protection violation2021FL-OFR$9,625
LOUIS DREYFUS CITRUS, INC.Louis Dreyfusenvironmental violation2010FL-DEP$14,600
LOUIS DREYFUS CITRUS INCLouis Dreyfusenvironmental violation2008FL-DEP$21,000
IFCO SYSTEMS NORTH AMERICA, INC.Triton Investments Advisersenvironmental violation2008FL-DEP$15,000
LOUIS DREYFUS CITRUS, INC.Louis Dreyfusenvironmental violation2006FL-DEP$7,200
THE FIFTH THIRD BANKFifth Third Bancorpenvironmental violation2006FL-DEP$16,000
WHEELABRATOR SOUTH BROWARD, INC.Macquarieenvironmental violation2005FL-DEP$14,450
LOUIS DREYFUS CITRUS, INC.Louis Dreyfusenvironmental violation2005FL-DEP$8,500
WHEELABRATOR RIDGE ENERGY, INC.Macquarieenvironmental violation2004FL-DEP$19,000
Wheelabrator South Broward, Inc.Macquarieenvironmental violation2021FL-DEP$78,000
Aon Corp.Aonconsumer protection violation2008FL-AG$4,000,000
Bank of New York MellonBank of New York Melloninvestor protection violation2013FL-AG$28,000,000
Brown & Brown, Inc.Brown & Brownconsumer protection violation2006FL-AG$5,800,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2010FL-AG$25,000,000
Morgan Stanley Capital Group Inc.Morgan Stanleyconsumer protection violation2009FL-AG$2,275,000
Willis Group Holdings Ltd.Willis Towers Watsonconsumer protection violation2007FL-AG$2,600,000
Ocwen Financial CorporationOcwen Financialmortgage abuses2020FL-AG$11,600,000
Transamerica Financial Advisors, Inc.Aegoninvestor protection violation2020FINRA$8,800,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargoinvestor protection violation2020FINRA$2,075,000
Interactive Brokers LLCInteractive Brokers Groupanti-money-laundering deficiencies2020FINRA$15,000,000
SG Americas Securities, LLCSociete Generaleinvestor protection violation2020FINRA$1,550,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2020FINRA$7,200,000
Stifel, Nicolaus & Company, IncorporatedStifel Financialinvestor protection violation2020FINRA$3,650,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2019FINRA$4,600,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2019FINRA$280,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2019FINRA$280,000
LPL Financial LLCLPL Financialinvestor protection violation2019FINRA$280,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2019FINRA$280,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2019FINRA$280,000
Credit Suisse Securities (USA) LLCCredit Suisseinvestor protection violation2019FINRA$6,500,000
Robinhood Financial, LLCRobinhood Marketsinvestor protection violation2019FINRA$1,250,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2019FINRA$4,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2019FINRA$8,000,000
BNP Paribas Securities Corp. and BNP Paribas Prime Brokerage, Inc.BNP Paribasanti-money-laundering deficiencies2019FINRA$15,000,000
UBS Financial Services Inc.UBSinvestor protection violation2019FINRA$2,000,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2019FINRA$1,100,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2019FINRA$1,250,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2019FINRA$772,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2019FINRA$2,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyanti-money-laundering deficiencies2018FINRA$10,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americasecurities issuance or trading violation2018FINRA$5,990,530
UBS Financial Services Inc. and UBS Securities LLCUBSanti-money-laundering deficiencies2018FINRA$5,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.