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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 Parent sort iconPrimary Offense TypeYearAgencyPenalty Amount
Comerica IncorporatedComericabenefit plan administrator violation2007private lawsuit-federal$2,020,000
Comerica Securities, Inc.Comericainvestor protection violation2019SEC$186,377
Comerica BankComericatoxic securities abuses2008MI-AG$110,000
Comerica SecuritiesComericainvestor protection violation2015FINRA$347,757
Comerica Securities, Inc.Comericainvestor protection violation2008FINRA$750,000
Comerica BankComericaconsumer protection violation2014private lawsuit-federal$14,580,000
Comerica Securities IncComericawage and hour violation2010MI-LEO$24,968
Coinbase Inc.Coinbase Global Inc.investor protection violation2021CFTC$6,500,000
Coinbase, Inc.Coinbase Global Inc.consumer protection violation2021FL-OFR$6,500
Coinbase Inc.Coinbase Global Inc.anti-money-laundering deficiencies2023NY-DFS$100,000,000
Coinbase, Inc.Coinbase Global Inc.investor protection violation2023NJ-AG$5,000,000
Conseco, Inc.CNO Financialinvestor protection violation2004SEC$15,000,000
CNO Services, LLCCNO Financialwage and hour violation2010WHD$69,610
Conseco Finance Servicing Corp.CNO Financialwage and hour violation2002WHD$145,512
Bankers Life and CasualtyCNO Financialprivacy violation2008MO-AG$25,000
Bankers Life and Casualty Co.CNO Financialprivacy violation2003KS-AG$15,000
Bankers Life and Casualty CompanyCNO Financialprivacy violation2002KY-AG$5,000
Conseco, Inc.CNO Financialinvestor protection violation2004NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $15,000,000
Conseco Senior Health Insurance Co.CNO Financialinsurance violation2009CA-INS$500,000
Bankers Life & Casualty Co.CNO Financialinsurance violation2009CT-INS$100,000
Bankers Life and Casualty Co.CNO Financialinsurance violation2016DE-INS$55,500
Bankers Life and Casualty Co.CNO Financialinsurance violation2019DE-INS$41,200
Conseco Senior Health Insurance Co.CNO Financialinsurance violation2000FL-OFR$5,500
Conseco Life Insurance Co.CNO Financialinsurance violation2000FL-OFR$5,625
Conseco Senior Health Insurance Co.CNO Financialinsurance violation2001FL-OFR$22,500
Bankers Life and Casualty Co.CNO Financialinsurance violation2001FL-OFR$10,500
Conseco Life Insurance Co.CNO Financialinsurance violation2007IA-INS$750,000
Bankers Life and Casualty Co.CNO Financialinsurance violation2007IN-INS$6,569
Conseco Finance Servicing Corp.CNO Financialconsumer protection violation2002KS-BKG$7,275,000
Bankers Life & Casualty Co.CNO Financialinsurance violation2009KS-INS$8,000
Bankers Life & Casualty Co.CNO Financialinsurance violation2010KS-INS$22,000
Bankers Life and Casualty Co.CNO Financialinsurance violation2017LA-INS$10,000
Bankers Life and Casualty Co.CNO Financialinsurance violation2011MD-INS$10,000
Bankers Life and Casualty Co.CNO Financialinsurance violation2012MD-INS$15,000
Bankers Life and Casualty Co.CNO Financialinsurance violation2018MD-INS$14,100
Washington National Life Insurance Co.CNO Financialinsurance violation2001ME-INS$10,000
Bankers Life & Casualty Co.CNO Financialinsurance violation2003ME-INS$5,000
Conseco Health Insurance Co.CNO Financialinsurance violation2004ME-INS$10,000
Bankers Life & Casualty Co.CNO Financialinsurance violation2005ME-INS$500,000
Bankers Life & Casualty Co.CNO Financialinsurance violation2006ME-INS$7,500
Bankers Life & Casualty Co.CNO Financialinsurance violation2009ME-INS$500,000
Bankers Life & Casualty Co.CNO Financialinsurance violation2011ME-INS$102,801
Conseco Senior Health Insurance Co.CNO Financialinsurance violation2004MN-FIN$5,000
Conseco Health Insurance Co.CNO Financialinsurance violation2004MN-FIN$5,000
Bankers Life and Casualty Co.CNO Financialinsurance violation2008MN-FIN$7,500
Conseco Life Insurance Co.CNO Financialinsurance violation2014MN-FIN$250,000
Bankers Life and Casualty Co.CNO Financialinsurance violation2015MN-FIN$22,500
Bankers Life and Casualty Co.CNO Financialinsurance violation2015MN-FIN$7,500
Washington National Insurance Co.CNO Financialinsurance violation2017MN-FIN$140,000
Bankers Life and Casualty Co. and Colonial Penn Life Insurance Co.CNO Financialinsurance violation2018MN-FIN$10,000
Bankers Life and Casualty Co. and Colonial Penn Life Insurance Co.CNO Financialinsurance violation2019MN-FIN$175,000
Conseco Medical Insurance Co.CNO Financialinsurance violation2009MO-INS$75,018
Bankers Life and Casualty Co.CNO Financialinvestor protection violation2010MO-SEC$789,600
Washington National Insurance Co.CNO Financialinsurance violation2012MO-INS$150,000
Bankers Life and Casualty Co.CNO Financialinvestor protection violation2015MO-SEC$102,178
Conseco Life Insurance Co.CNO Financialinsurance violation2003MS-INS$50,000
Bankers Life and Casualty Co.CNO Financialinsurance violation2013MT-FIN$50,000
Conseco Senior Health Insurance CompanyCNO Financialinsurance violation2001ND-INS$5,000
Bankers Conseco Life Insurance CompanyCNO Financialinsurance violation2015NY-DFS$10,270
Bankers Conseco Life InsuranceCNO Financialinsurance violation2019NY-DFS$27,900
Conseco Life Insurance CompanyCNO Financialinsurance violation2003OR-FIN$8,300
Bankers Life and Casualty CompanyCNO Financialinsurance violation2008OR-FIN$150,000
Bankers Life and Casualty CompanyCNO Financialinsurance violation2010OR-FIN$25,000
Bankers Life and Casualty CompanyCNO Financialinsurance violation2011OR-FIN$5,000
Bankers Life and Casualty CompanyCNO Financialinsurance violation2012OR-FIN$14,000
Bankers Life and Casualty CompanyCNO Financialinsurance violation2014OR-FIN$115,000
Bankers Life and Casualty CompanyCNO Financialinsurance violation2004PA-INS$5,000
Bankers Life & Casualty CompanyCNO Financialinsurance violation2011RI-FIN$975,000
Conseco Life Insurance CompanyCNO Financialinsurance violation2004SC-INS$6,000
Washington National Insurance CompanyCNO Financialinsurance violation2013SD-INS$125,000
CONSECO HEALTH INSURANCE COMPANYCNO Financialinsurance violation2001VA-INS$19,000
CONSECO SENIOR HEALTH INS.CNO Financialinsurance violation2005VA-INS$7,500
CONSECO SENIOR & CONSECO LIFECNO Financialinsurance violation2011VA-INS$25,000
BANKERS LIFE AND CASUALTY CO.CNO Financialinsurance violation2013VA-INS$27,000
Bankers Life and Casualty CompanyCNO Financialinsurance violation2013VT-FIN$600,000
Washington National Insurance CompanyCNO Financialinsurance violation2018WA-INS$7,500
Bankers Life & Casualty CompanyCNO Financialinsurance violation2019WA-INS$30,000
Conseco Health Insurance Co.CNO Financialinsurance violation2004WI-INS$11,000
Conseco Senior Health Insurance Co.CNO Financialinsurance violation2008WI-INS$100,000
Conseco Health Insurance Co.CNO Financialinsurance violation2009WI-INS$20,000
Bankers Life & Casualty Co.CNO Financialinsurance violation2010WI-INS$1,500,000
Bankers Life & Casualty Co.CNO Financialinsurance violation2012WI-INS$40,000
Bankers Life & CasualtyCNO Financialinsurance violation2013WI-INS$200,000
Bankers Life and Casualty Company and BLC Financial Services, Inc.CNO Financialinvestor protection violation2012MULTI-FIN$10,641,000
Bankers Life and Casualty CompanyCNO Financialinsurance violation2012MULTI-FIN$4,000,000
Conseco Life Insurance CompanyCNO Financialinsurance violation2010MULTI-FIN$11,000,000
Conseco Senior Health Insurance Company and Bankers Life and Casualty CompanyCNO Financialinsurance violation2008MULTI-FIN$2,342,728
Bankers Conseco Life Insurance CompanyCNO Financialinsurance violation2020NY-DFS$75,000
BANKERS LIFE AND CASUALTY COMPANYCNO Financialinsurance violation2022MO-INS$38,500
Conseco Insurance CompanyCNO Financialconsumer protection violation2011private lawsuit-federal$3,000,000
Bankers Life & Casualty CompanyCNO Financialinsurance violation2023CT-INS$10,000
Bankers Life & CasualtyCNO Financialwage and hour violation2017MI-LEO$16,190
Washington National Insurance Co.CNO Financialinsurance violation2023SD-INS$15,000
CNG FINANCIAL CORPORATIONCNG Financiallabor relations violation2001NLRB$6,000
Allied Cash Advance California, LLCCNG Financialpayday lending violation2011CA-DFPI$103,709
Great Plains Specialty Finance, Inc., d/b/a Check 'n GoCNG Financialconsumer protection violation2007NE-DBF$10,200
Great Plains Specialty Finance, Inc., d/b/a Check 'n GoCNG Financialconsumer protection violation2009NE-DBF$42,850
Great Plains Specialty Finance, Inc., d/b/a Check 'n GoCNG Financialconsumer protection violation2009NE-DBF$5,500
Great Plains Specialty Finance, Inc., d/b/a Check 'n GoCNG Financialconsumer protection violation2009NE-DBF$5,250
Great Plains Specialty Finance, Inc., d/b/a Check 'n GoCNG Financialconsumer protection violation2009NE-DBF$29,800
Great Plains Specialty Finance, Inc., d/b/a Check 'n GoCNG Financialconsumer protection violation2009NE-DBF$24,400
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.