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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $380,111,147,460
Number of Records: 7,452
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$87,232,669,824317
JPMorgan Chase$38,995,648,319267
UBS$31,045,549,125177
Wells Fargo$27,517,918,911260
Citigroup$26,917,736,792179
Deutsche Bank$19,968,467,56396
Goldman Sachs$17,475,327,552105
NatWest Group PLC$14,349,701,61842
Morgan Stanley$10,535,931,900197
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 Parent sort icon . Primary Offense TypeYearAgencyPenalty Amount
American Alternative Insurance Corp.Munich Reinsurance violation2019CT-INS$49,500
American Alternative Insurance Corp.Munich Reinsurance violation2003FL-OFR$21,500
American Modern Home Insurance Co.Munich Reinsurance violation2010MD-INS$5,000
American Modern Insurance Group, Inc. et al.Munich Reinsurance violation2016MN-FIN$1,000,000
American Modern Home Insurance Co.Munich Reinsurance violation2015MO-INS$10,000
American Alternative Insurance Corp.Munich Reinsurance violation2019MO-INS$85,000
American Modern Home Insurance CompanyMunich Reinsurance violation2012NC-INS$1,860,000
American Family Home Insurance CompanyMunich Reinsurance violation2015NY-DFS$25,000
American Modern Home Insurance CompanyMunich Reinsurance violation2015NY-DFS$150,000
American Family Home Insurance Co.Munich Reinsurance violation2011SC-INS$9,800
American Alternative Insurance CorporationMunich Reinsurance violation2017TX-INS$160,000
American Alternative Insurance Corporation et al.Munich Reinsurance violation2013WA-INS$10,000
American Modern Home Insurance CompanyMunich Reinsurance violation2016WA-INS$5,000
American Modern Home Insurance CompanyMunich Reinsurance violation2017WA-INS$5,000
American Modern Home Insurance CompanyMunich Reinsurance violation2017MULTI-FIN$255,000
American Modern Insurance Group Inc.Munich Reinsurance violation2015MULTI-FIN$6,000,000
Mutual of OmahaMutual of Omahaconsumer protection violation2002NY-AG$10,000
Mutual of Omaha Insurance Co.Mutual of Omahakickbacks and bribery2008CT-AG$1,700,000
Mutual of Omaha Insurance Co.Mutual of Omahaconsumer protection violation2019MA-AG$25,000
Mutual of Omaha Insurance Co.Mutual of Omahainsurance violation2019CT-INS$60,500
United of Omaha Life Insurance Co.Mutual of Omahainsurance violation2018DE-INS$17,000
Mutual of Omaha Insurance Co.Mutual of Omahainsurance violation2007FL-OFR$13,000
United of Omaha Life Insurance Co.Mutual of Omahainsurance violation2011MD-INS$5,500
Mutual of Omaha Insurance Co.Mutual of Omahainsurance violation2018MD-INS$6,600
United of Omaha Life Insurance Co.Mutual of Omahainsurance violation2000ME-INS$6,000
United of Omaha Life Insurance CompanyMutual of Omahainsurance violation2005OR-FIN$25,000
United of Omaha Life Insurance CompanyMutual of Omahainsurance violation2011OR-FIN$5,000
MUTUAL OF OMAHA INSURANCE CO.Mutual of Omahainsurance violation2002VA-INS$25,800
UNITED OF OMAHA LIFE INSURANCEMutual of Omahainsurance violation2012VA-INS$7,500
United Of Omaha Life Insurance CompanyMutual of Omahainsurance violation2015WA-INS$5,000
Mutual Of Omaha Insurance CompanyMutual of Omahainsurance violation2019WA-INS$12,000
Mutual of Omaha Mortgage, Inc.Mutual of Omahaconsumer protection violation2020PA-BKG$7,000
Mutual of Omaha Mortgage, Inc.Mutual of Omahaconsumer protection violation2022MA-BKG$25,000
Mutual of OmahaMutual of Omahaconsumer protection violation2012private lawsuit-federal$1,900,000
NASDAQ Stock Market, LLC and NASDAQ Execution Services, LLCNasdaq Inc.investor protection violation2013SEC$10,000,000
Brut, LLCNasdaq Inc.investor protection violation2003SEC$45,000
BRUT LLCNasdaq Inc.investor protection violation2006FINRA$2,200,000
National Australia Bank Ltd.National Australia Bankeconomic sanction violation2007OFAC$100,000
National Australia Bank LimitedNational Australia Bankprice-fixing or anti-competitive practices2022private lawsuit-federal$27,000,000
National Life Insurance CompanyNational Life Groupwage and hour violation2014WHD$32,087
Life Insurance Company of the SouthwestNational Life Groupinsurance violation2014DE-INS$6,000
Life Insurance Company of the SouthwestNational Life Groupinsurance violation2006VA-INS$5,000
Life Insurance Company Of The SouthwestNational Life Groupinsurance violation2014WA-INS$17,500
Life Insurance Company of the SouthwestNational Life Groupinsurance violation2020VA-INS$6,600
National Western Life Insurance Co.National Western Lifeinsurance violation2009CO-INS$11,500
National Western Life Insurance Co.National Western Lifeinsurance violation2014CO-INS$11,500
National Western Life Insurance Co.National Western Lifeinsurance violation2019CO-INS$34,500
National Western Life Insurance Co.National Western Lifeinsurance violation2014NJ-DBI$2,973,656
National Western Life Insurance Co.National Western Lifeconsumer protection violation2014private lawsuit-federal$21,020,000
Nationwide Life Insurance CompanyNationwideinvestor protection violation2015SEC$8,000,000
Nationwide InsuranceNationwidewage and hour violation2011WHD$13,331
Nationwide InsuranceNationwidewage and hour violation2010WHD$9,109
NationwideNationwidewage and hour violation2009WHD$28,290
Nationwide Mutual Insurance CompanyNationwidewage and hour violation2005WHD$16,185
NationwideNationwidewage and hour violation2013private lawsuit-federal$850,000
Nationwide Life InsuranceNationwidebenefit plan administrator violation2015private lawsuit-federal$140,000,000
Nationwide Mutual Insurance CompanyNationwideFair Credit Reporting Act violation2006private lawsuit-federal$19,250,000
Nationwide InsuranceNationwideconsumer protection violation2008MS-AG$40,000,000
Nationwide InsuranceNationwideconsumer protection violation2015WV-AG$5,750,000
Nationwide Life InsuranceNationwideconsumer protection violation2005MA-AG$650,000
Nationwide Mutual Insurance CompanyNationwideinsurance violation2012MULTI-AG$7,200,000
Nationwide Mutual Insurance CompanyNationwideprivacy violation2017MULTI-AG$5,500,000
Nationwide Mutual Insurance CoNationwidewage and hour violation2018WHD$210,373
Titan Insurance Co.Nationwideinsurance violation2006AZ-DIFI$40,000
Scottsdale Insurance Co.Nationwideinsurance violation2010AZ-DIFI$37,500
Titan Indemnity Co.Nationwideinsurance violation2010AZ-DIFI$20,000
Harleysville Mutual Insurance Co.Nationwideinsurance violation2002CA-INS$200,000
Amco Insurance Co. and Allied Property and Casualty Insurance Co.Nationwideinsurance violation2005CA-INS$20,000
Harleysville Mutual Insurance Co.Nationwideinsurance violation2005CA-INS$100,000
Harleysville Mutual Insurance Co.Nationwideinsurance violation2007CA-INS$299,500
Nationwide Insurance Company of AmericaNationwideinsurance violation2007CO-INS$81,500
Nationwide Mutual Fire Insurance Co.Nationwideinsurance violation2007CO-INS$6,000
Nationwide Mutual Insurance Co.Nationwideinsurance violation2007CO-INS$8,500
Nationwide Property and Casualty Insurance Co.Nationwideinsurance violation2007CO-INS$6,000
Nationwide Life and Annuity Insurance Co.Nationwideinsurance violation2019CT-INS$16,500
Harleysville Insurance Co.Nationwideinsurance violation2020CT-INS$49,000
Titan Indemnity Co.Nationwideinsurance violation2014DE-INS$25,000
Nationwide Mutual Insurance Co.Nationwideinsurance violation2015DE-INS$15,000
Nationwide Life Insurance Co. and Nationwide Life and Annuity Insurance Co.Nationwideinsurance violation2018DE-INS$45,500
Nationwide General Insurance Co. et al.Nationwideinsurance violation2019DE-INS$56,600
Scottsdale Insurance Co.Nationwideinsurance violation2005FL-OFR$5,000
Nationwide Financial ServicesNationwideconsumer protection violation2008FL-OFR$7,000
Nationwide Life and Annuity Insurance Co.Nationwideinsurance violation2016FL-OFR$22,435
Nationwide Insurance Company of America et al.Nationwideinsurance violation2011IA-INS$52,000
Nationwide Life Insurance Co.Nationwideinsurance violation2015ID-INS$5,000
Victoria Fire & Casualty Co.Nationwideinsurance violation2003IN-INS$5,000
Nationwide Agribusiness Insurance Co.Nationwideinsurance violation2006KS-INS$7,500
Scottsdale Insurance CompanyNationwideinsurance violation2000MA-INS$26,208
National Casualty CompanyNationwideinsurance violation2000MA-INS$6,500
Harleysville Worcester Insurance CompanyNationwideinsurance violation2002MA-INS$6,000
Titan Indemnity Co. and Victoria Fire and Casualty Co.Nationwideinsurance violation2011MD-INS$20,000
Allied Property And Casualty Insurance Co. et al.Nationwideinsurance violation2016MD-INS$20,000
Nationwide General Insurance Co.Nationwideinsurance violation2016MD-INS$15,000
Allied Property And Casualty Insurance Co. et al.Nationwideinsurance violation2017MD-INS$5,000
Nationwide General Insurance Co. et al.Nationwideinsurance violation2018MD-INS$33,000
Harleysville Insurance Co.Nationwideinsurance violation2002MN-FIN$80,000
Allied Property and Casualty Insurance Co.Nationwideinsurance violation2008MN-FIN$7,000
AMCO Insurance Co.Nationwideinsurance violation2013MN-FIN$20,000
Depositors Insurance Co.Nationwideinsurance violation2013MN-FIN$40,000
Nationwide Insurance Company of America et al.Nationwideinsurance violation2018MN-FIN$25,000
Allied Property & Casualty Insurance Co. et al.Nationwideinsurance violation2006MO-INS$65,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.