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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
United States Life Insurance Company in the City of New YorkAmerican International Groupconsumer protection violation2011MA-AG$760,000
Wachovia Bank N.A.Wells Fargoprice-fixing or anti-competitive practices2011MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $58,750,000
Wachovia Securities, LLCWells Fargoinvestor protection violation2011NJ-AG$3,200,000
Wells Fargo BankWells Fargoconsumer protection violation2011CT-AG$741,465
Wheelabrator Saugus, Wheelabrator Andover and Wheelabrator MillburyMacquarieenvironmental violation2011MA-AG$7,500,000
BANK OF THE WESTBank of Montrealbanking violation2011FDIC$135,000
REPUBLIC BANK & TRUST COMPANYRepublic Bancorpbanking violation2011FDIC$900,000
CATHAY BANKCathay General Bancorpbanking violation2011FDIC$17,710
BANCORPSOUTH BANKCadence Bankbanking violation2011FDIC$46,500
GREAT SOUTHERN BANKGreat Southern Bancorpbanking violation2011FDIC$21,935
Commerzbank AGCommerzbankeconomic sanction violation2011OFAC$175,500
Societe GeneraleSociete Generaleeconomic sanction violation2011OFAC$111,259
McGriff, Seibels & Williams of Texas, Inc.Truist Financialeconomic sanction violation2011OFAC$122,408
Metropolitan Life Insurance CompanyMetLifeeconomic sanction violation2011OFAC$22,500
Prospect Mortgage, LLCHomebridge Financial Servicesconsumer protection violation2011AR-SEC$5,000
Permanent General Assurance Corp.American Family Insuranceinsurance violation2011AZ-DIFI$70,000
Safeco Insurance Company of IllinoisLiberty Mutual Insuranceinsurance violation2011AZ-DIFI$15,000
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2011AZ-DIFI$10,000
Homesite Indemnity Co.American Family Insuranceinsurance violation2011AZ-DIFI$19,000
Austin Mututal Insurance Co.American Family Insuranceinsurance violation2011AZ-DIFI$30,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2011AZ-DIFI$36,000
GMAC Mortgage, LLC dba DitechAlly Financialconsumer protection violation2011AZ-DIFI$7,500
GMAC Mortgage, LLCAlly Financialconsumer protection violation2011AZ-DIFI$7,500
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2011CA-INS$185,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2011CA-INS$185,000
John Hancock Life Insurance Co.Manulife Financialinsurance violation2011CA-INS$70,000
Allied Cash Advance California, LLCCNG Financialpayday lending violation2011CA-DFPI$103,709
Wedbush Securities Inc.Wedbush Securitiesinsurance violation2011CO-INS$14,300
Mid-Century Insurance Co.Zurich Insuranceinsurance violation2011CO-INS$255,500
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2011CO-INS$81,400
Mid-Century Insurance Co.Zurich Insuranceinsurance violation2011CO-INS$66,000
Bristol West Insurance Co.Zurich Insuranceinsurance violation2011CO-INS$161,500
Charles Schwab & Co., Inc.Charles Schwab Corp.investor protection violation2011CT-SEC$2,800,000
Allstate Insurance Co.Allstateinsurance violation2011DE-INS$25,000
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
Nationwide Insurance Company of America et al.Nationwideinsurance violation2011IA-INS$52,000
Travelers Casualty & Surety Company of America et al.Travelersinsurance violation2011IA-INS$5,000
Academy Mortgage Corp.Academy Mortgage Corp.consumer protection violation2011ID-FIN$155,000
Charles Schwab & Co., Inc. et al.Charles Schwab Corp.investor protection violation2011IL-SEC$8,567,364
State Farm Mutual Automobile Insurance Co. and State Farm Fire and Casualty Co.State Farm Insuranceinsurance violation2011IL-INS$50,000
American Bankers Life Assurance Company of FloridaAssurantinsurance violation2011IL-INS$15,000
Stifel, Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2011IL-SEC$80,224
Quicken Loans, Inc.Rocket Companies Inc.consumer protection violation2011IL-BKG$75,000
Sentinel Insurance Company Ltd.Hartford Financial Servicesinsurance violation2011IL-INS$9,000
LPL Financial, LLCLPL Financialinvestor protection violation2011IL-SEC$250,000
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
Provident Funding Associates, LPProvident Funding Associatesconsumer protection violation2011KY-FIN$66,000
PHH Mortgage Corp.Ocwen Financialconsumer protection violation2011KY-FIN$5,000
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2011MA-BKG$25,000
Progressive Direct Insurance Co.Progressiveinsurance violation2011MA-INS$125,000
American General Life and Accident Insurance Co.American International Groupinsurance violation2011MD-INS$7,000
Travelers Casualty and Surety Company of AmericaTravelersinsurance violation2011MD-INS$5,000
United of Omaha Life Insurance Co.Mutual of Omahainsurance violation2011MD-INS$5,500
Gerber Life Insurance Co.Western & Southern Financial Groupinsurance violation2011MD-INS$5,000
Monumental Life Insurance Co.Aegoninsurance violation2011MD-INS$9,000
Transamerica Life Insurance Co.Aegoninsurance violation2011MD-INS$5,000
Zurich American Insurance Co. et al.Zurich Insuranceinsurance violation2011MD-INS$30,000
Bankers Life and Casualty Co.CNO Financialinsurance violation2011MD-INS$10,000
Commonwealth Land Title Insurance Co.Fidelity National Financialinsurance violation2011MD-INS$30,000
Commonwealth Land Title Insurance Co. et al.Fidelity National Financialinsurance violation2011MD-INS$30,000
Old Republic National Title Insurance Co.Old Republic Internationalinsurance violation2011MD-INS$7,500
AMEX Assurance Co.American Expressinsurance violation2011MD-INS$10,000
Federal Insurance Co. et al.Chubb Limitedinsurance violation2011MD-INS$25,000
United States Life Insurance Company In the City of New YorkAmerican International Groupinsurance violation2011MD-INS$5,000
National General Assurance Co.Allstateinsurance violation2011MD-INS$50,000
Zurich American Insurance Co.Zurich Insuranceinsurance violation2011MD-INS$125,000
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2011MD-INS$75,000
Hartford Accident and Indemnity Co. et al.Hartford Financial Servicesinsurance violation2011MD-INS$125,000
Commonwealth Land Title Insurance Co.Fidelity National Financialinsurance violation2011MD-INS$30,000
First American Title Insurance Co.First American Financialinsurance violation2011MD-INS$15,000
Federal Insurance Co. et al.Chubb Limitedinsurance violation2011MD-INS$15,000
State Farm Mutual Automobile Insurance Co. et al.State Farm Insuranceinsurance violation2011MD-INS$10,000
Praetorian Insurance Co. and Redland Insurance Co.QBE Insuranceinsurance violation2011MD-INS$10,000
Titan Indemnity Co. and Victoria Fire and Casualty Co.Nationwideinsurance violation2011MD-INS$20,000
Liberty Mutual Fire Insurance Co. et al.Liberty Mutual Insuranceinsurance violation2011MD-INS$15,000
Liberty Mutual Fire Insurance Co. et al.Liberty Mutual Insuranceinsurance violation2011MD-INS$15,000
Hartford Life and Accident Insurance Co.Hartford Financial Servicesinsurance violation2011MD-INS$95,000
Hartford Life and Accident Insurance Co.Hartford Financial Servicesinsurance violation2011MD-INS$12,500
Allstate Insurance Co. and Allstate Indemnity Co.Allstateinsurance violation2011MD-INS$40,000
Allstate Insurance Co. and Allstate Indemnity Co.Allstateinsurance violation2011MD-INS$40,000
Metropolitan Life Insurance Co.MetLifeinsurance violation2011MD-INS$125,000
Banner Life Insurance Co.Legal & General Group PLCinsurance violation2011MD-INS$8,300
Bankers Life & Casualty Co.CNO Financialinsurance violation2011ME-INS$102,801
CUNA Mutual Insurance SocietyCUNA Mutualinsurance violation2011ME-INS$100,000
Progressive Northwestern Insurance Co.Progressiveinsurance violation2011ME-INS$100,000
Homesite Insurance Company of the MidwestAmerican Family Insuranceinsurance violation2011ME-INS$7,500
American Family Life Assurance Company of ColumbusAflacinsurance violation2011ME-INS$20,000
Prosper Marketplace, Inc.Prosper Marketplaceinvestor protection violation2011ME-SEC$5,000
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2011MN-FIN$5,000
Safeco Insurance Company of America et al.Liberty Mutual Insuranceinsurance violation2011MN-FIN$25,000
A.G. Edwards & Sons, Inc.Wells Fargoinvestor protection violation2011MO-SEC$765,993
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherinvestor protection violation2011MO-SEC$5,000
Sentry Insurance a Mutual CompanySentry Insuranceinsurance violation2011MO-INS$5,200
National Interstate Insurance Co.American Financial Groupinsurance violation2011MO-INS$43,000
Old Republic National Title Insurance Co.Old Republic Internationalinsurance violation2011MO-INS$74,000
Genworth Life and Annuity Insurance Co.Genworth Financialinsurance violation2011MT-FIN$5,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.