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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$388,129,347,579
Number of Records: 7,728
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$39,688,888,209277
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
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
American Express Travel Related Services Company, Inc.American Expressconsumer protection violation2011NE-DBF$35,000
UBS Financial Services Inc.UBSinvestor protection violation2011NH-BSR$1,000,000
PHH Mortgage CorporationOcwen Financialconsumer protection violation2011NJ-DBI$9,000
Quicken Loans Inc.Rocket Companies Inc.consumer protection violation2011OH-BKG$35,000
HealthNowHighmark Inc.insurance violation2011NY-DFS$4,492,327
Bankers Life and Casualty CompanyCNO Financialinsurance violation2011OR-FIN$5,000
United of Omaha Life Insurance CompanyMutual of Omahainsurance violation2011OR-FIN$5,000
Metropolitan Life Insurance CompanyMetLifeinsurance violation2011OR-FIN$5,000
Standard Insurance CompanyMeiji Yasuda Life Insuranceinsurance violation2011OR-FIN$15,000
AXA Advisors LLCEquitable Holdingsinvestor protection violation2011OR-FIN$80,000
LPL Financial LLCLPL Financialinvestor protection violation2011OR-FIN$100,000
New Day Financial LLCNew Day Financial LLCconsumer protection violation2011PA-BKG$57,500
MLD Mortgage Inc. dba The Money StoreMLD Mortgage Inc. dba The Money Storeconsumer protection violation2011PA-BKG$27,500
Bankers Life & Casualty CompanyCNO Financialinsurance violation2011RI-FIN$975,000
Morgan Stanley & Co. Inc.Morgan Stanleyinvestor protection violation2011SC-SEC$30,000
American Family Home Insurance Co.Munich Reinsurance violation2011SC-INS$9,800
United Services Automobile AssociationUSAAinsurance violation2011SC-INS$8,000
Bristol West Insurance CompanyZurich Insuranceinsurance violation2011SC-INS$7,500
XL Specialty Insurance CompanyAXAinsurance violation2011TX-INS$25,000
SCOR Global Life U.S. Re Insurance CompanySCORinsurance violation2011TX-INS$99,000
SCOR Global Life U.S. Re Insurance Company of TexasSCORinsurance violation2011TX-INS$90,000
Ace American Insurance CompanyChubb Limitedinsurance violation2011TX-INS$48,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2011TX-INS$68,000
Virginia Surety Company Inc.Assurantinsurance violation2011TX-INS$200,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2011TX-INS$18,000
Marsh USA Inc.Marsh & McLennaninsurance violation2011TX-INS$121,189
American Zurich Insurance CompanyZurich Insuranceinsurance violation2011TX-INS$9,000
Hanover Insurance CompanyHanover Insuranceinsurance violation2011TX-INS$15,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2011TX-INS$15,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2011TX-INS$5,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2011TX-INS$10,000
Hartford Casualty Insurance CorporationHartford Financial Servicesinsurance violation2011TX-INS$5,500
Hartford Fire Insurance CompanyHartford Financial Servicesinsurance violation2011TX-INS$85,000
XL Insurance America Inc.AXAinsurance violation2011TX-INS$7,000
Ace American Insurance CompanyChubb Limitedinsurance violation2011TX-INS$40,000
Great American Assurance Co. et al.American Financial Groupinsurance violation2011TX-INS$195,000
Accident Fund Insurance Co. of AmericaAF Groupinsurance violation2011TX-INS$8,000
Chubb Indemnity Insurance Co.Chubb Limitedinsurance violation2011TX-INS$24,000
Federal Insurance Co.Chubb Limitedinsurance violation2011TX-INS$17,500
BNY Mellon Capital Markets LLCBank of New York Melloninvestor protection violation2011TX-SEC$500,000
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2011UT-INS$50,000
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2011UT-INS$29,500
Lincoln National life Insurance CompanyLincoln Nationalinsurance violation2011UT-INS$6,000
Genworth Life and Annuity Insurance CompanyGenworth Financialinsurance violation2011UT-INS$6,000
Sentry Insurance A Mutual CompanySentry Insuranceinsurance violation2011UT-INS$6,000
Selective Insurance Company of AmericaSelective Insurance Groupinsurance violation2011VA-INS$8,000
STATE FARM MUTUAL, ET AL.State Farm Insuranceinsurance violation2011VA-INS$60,000
HORACE MANN INSURANCE CO., ET AL.Horace Mann Educators Corp.insurance violation2011VA-INS$48,800
EMPIRE FIRE & MARINE INSURANCE COZurich Insuranceinsurance violation2011VA-INS$25,000
Property & Casualty Insurance Company of Hartford and Trumbull Insurance CompanyHartford Financial Servicesinsurance violation2011VA-INS$126,386
NATIONAL UNION FIRE INSURANCEAmerican International Groupinsurance violation2011VA-INS$40,000
Auto-Owners Insurance Company and Owners Insurance CompanyAuto-Owners Insuranceinsurance violation2011VA-INS$10,000
CAROLINA CASUALTY INSURANCE COW.R. Berkleyinsurance violation2011VA-INS$10,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2011VA-INS$10,000
NATIONWIDE MUTUAL FIRE, ET AL.Nationwideinsurance violation2011VA-INS$51,384
American Guarantee and Liability Insurance CompanyZurich Insuranceinsurance violation2011VA-INS$5,000
Allied Property & Casualty Insurance CompanyNationwideinsurance violation2011VA-INS$27,911
American Automobile Insurance Company et al.Allianzinsurance violation2011VA-INS$10,973
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2011VA-INS$10,000
BRISTOL WEST INSURANCE CO.Zurich Insuranceinsurance violation2011VA-INS$75,400
CONSECO SENIOR & CONSECO LIFECNO Financialinsurance violation2011VA-INS$25,000
PEERLESS INDEMNITY INSURANCE CO. ET AL.Liberty Mutual Insuranceinsurance violation2011VA-INS$40,057
American Economy Insurance Co. et al.Liberty Mutual Insuranceinsurance violation2011VA-INS$12,000
Austin Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2011WA-INS$10,000
Chubb Group Of CompaniesChubb Limitedinsurance violation2011WA-INS$534,000
Homesite Insurance Company Of The MidwestAmerican Family Insuranceinsurance violation2011WA-INS$12,000
Ace American Insurance CompanyChubb Limitedinsurance violation2011WA-INS$50,000
Progressive American Insurance CompanyProgressiveinsurance violation2011WA-INS$30,000
American Family Mutual Insurance Company S.I.American Family Insuranceinsurance violation2011WA-INS$20,000
Old Republic Title LtdOld Republic Internationalinsurance violation2011WA-INS$5,000
Metropolitan Life Insurance CompanyMetLifeinsurance violation2011WA-INS$10,000
Unum Life Insurance Company Of AmericaUnuminsurance violation2011WA-INS$75,000
American Bankers Insurance Company Of FloridaAssurantinsurance violation2011WA-INS$170,000
Victoria Fire & Casualty CompanyNationwideinsurance violation2011WA-INS$5,000
HSBC Securities USA IncHSBCinsurance violation2011WA-INS$7,000
Allstate Insurance CompanyAllstateinsurance violation2011WA-INS$50,000
Chicago Title Insurance CompanyFidelity National Financialinsurance violation2011WA-INS$10,000
Arch Insurance CompanyArch Capitalinsurance violation2011WA-INS$20,000
Infinity Insurance Co.Kemperinsurance violation2011WI-INS$5,000
Selective Insurance Company of the SoutheastSelective Insurance Groupinsurance violation2011WI-INS$5,000
E*TRADE Securities LLCMorgan Stanleyinvestor protection violation2011MULTI-FIN$5,000,000
Mortgage Access Corp. dba Weichert Financial ServicesWeichert Financial Servicesconsumer protection violation2011MULTI-FIN$3,000,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2011MULTI-FIN$1,750,000
Wells Fargo Bank N.A.Wells Fargodiscriminatory practices (non-employment)2011private lawsuit-state$3,520,000
UBS AGUBSenvironmental violation2011CT-ENV$80,000
Imperial-Savannah, L.P.Louis Dreyfuswater pollution violation2011GA-ENV$80,000
Bank of North GeorgiaSynovus Financialwater pollution violation2011GA-ENV$14,000
LOUIS DREYFUS AGRICULTURAL INDUSTRIES LLCLouis Dreyfusair pollution violation2011IN-ENV$103,750
LIBERTY MUTUAL INSURANCE CO IH LABLiberty Mutual Insuranceenvironmental violation2011MA-ENV$8,000
WHEELABRATOR BALTIMOREMacquarieair pollution violation2011MD-ENV$77,500
JP Morgan ChaseJPMorgan Chaseenvironmental violation2011TX-ENV$6,555
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.