Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$388,802,802,308
Number of Records: 7,734
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$87,294,650,890329
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$14,264,317,61841
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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentPrimary Offense TypeYear sort iconAgencyPenalty Amount
Zurich American Insurance Company et al.Zurich InsuranceFalse Claims Act and related2010NY-AG$37,500,000
MAINSOURCE BANKFirst Financial Bancorp.banking violation2010FDIC$22,000
BANK OF THE WESTBank of Montrealbanking violation2010FDIC$68,200
S&T BANKS&T Bancorpbanking violation2010FDIC$32,640
BUSEY BANKFirst Busey Corp.banking violation2010FDIC$7,445
Discover Financial ServicesDiscover Financial Serviceseconomic sanction violation2010OFAC$8,720
Wells Fargo Bank, N.AWells Fargoeconomic sanction violation2010OFAC$67,500
Compass BankPNC Financial Serviceseconomic sanction violation2010OFAC$607,500
Barclays plcBarclayseconomic sanction violation2010NY-MANDA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $149,000,000
Wachovia Securities, LLCWells Fargoinvestor protection violation2010AK-DBS$129,131
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2010AK-DBS$150,507
UBS Securities LLCUBSinvestor protection violation2010AK-DBS$733,465
Morgan Keegan & Co.Raymond James Financialinvestor protection violation2010AL-SEC$15,000
Merrill Lynch & Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2010AR-SEC$15,000
American Express Prepaid Card Management Corp.American Expressconsumer protection violation2010AR-SEC$20,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2010AZ-DIFI$10,000
Scottsdale Insurance Co.Nationwideinsurance violation2010AZ-DIFI$37,500
World Group Securities, Inc.Aegoninvestor protection violation2010AZ-CC$853,501
Titan Indemnity Co.Nationwideinsurance violation2010AZ-DIFI$20,000
Unigard Insurance Co.QBE Insuranceinsurance violation2010AZ-DIFI$16,000
QBE Insurance Corp.QBE Insuranceinsurance violation2010AZ-DIFI$40,000
Hartford Accident and Indemnity Co. et al.Hartford Financial Servicesinsurance violation2010CA-INS$40,000
Old Republic Title Co. and Old Republic National Title Insurance Co.Old Republic Internationalinsurance violation2010CA-INS$399,000
ACE Cash Express, Inc.ACE Cash Expresspayday lending violation2010CA-DFPI$118,400
Esurance Insurance Co.Allstateinsurance violation2010CO-INS$154,500
Zurich Insurance GroupZurich Insuranceinsurance violation2010CT-INS$235,000
Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2010CT-SEC$15,000
Prospect Mortgage Company, LLCHomebridge Financial Servicesconsumer protection violation2010CT-BKG$33,000
Chicago Title Insurance Company,Fidelity National Financialinsurance violation2010CT-INS$62,000
Prosper Marketplace, Inc.Prosper Marketplaceinvestor protection violation2010CT-SEC$5,000
Wachovia Securities, LLC nka Wells Fargo Advisors, LLCWells Fargoinvestor protection violation2010CT-SEC$75,000
PNC Investments LLCPNC Financial Servicesinvestor protection violation2010DE-SEC$250,000
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
National Union Fire Insurance Company of Pittsburgh, Pa.American International Groupinsurance violation2010ID-INS$15,000
Progressive Northwestern Insurance Co. and Progressive Direct Insurance Co.Progressiveinsurance violation2010ID-INS$32,000
GMAC Mortgage, LLCAlly Financialconsumer protection violation2010IL-BKG$50,000
Countrywide Home Loans, Inc.Bank of Americaconsumer protection violation2010IL-BKG$54,000
Indiana Insurance Co.Liberty Mutual Insuranceinsurance violation2010IL-INS$25,000
LPL Financial Corp.LPL Financialinvestor protection violation2010IL-SEC$300,000
MetLife Securities, Inc.MetLifeinvestor protection violation2010IL-SEC$135,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2010IN-INS$200,000
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2010IN-INS$5,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2010IN-SEC$692,000
ProEquities, Inc.Dai-ichi Lifeinvestor protection violation2010IN-SEC$9,000
Wells Fargo Advisors, LLCWells Fargoinvestor protection violation2010IN-SEC$8,495
Bankers Life & Casualty Co.CNO Financialinsurance violation2010KS-INS$22,000
Liberty Mutual Insurance Co.Liberty Mutual Insuranceinsurance violation2010KS-INS$13,000
The Travelers Indemnity Co. et al.Travelersinsurance violation2010KS-INS$10,000
James B. Nutter & CompanyJames B. Nutter & Companyconsumer protection violation2010KY-FIN$24,000
PHH Mortgage Corp.Ocwen Financialconsumer protection violation2010KY-FIN$8,000
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2010KY-FIN$19,500
AmeriSave Mortgage Corp.AmeriSave Mortgageconsumer protection violation2010MA-BKG$25,000
Litton Loan ServicingOcwen Financialconsumer protection violation2010MD-FIN$71,000
Saxon Mortgage ServicesOcwen Financialconsumer protection violation2010MD-FIN$71,000
Allstate Indemnity Co. et al.Allstateinsurance violation2010MD-INS$10,000
American Modern Home Insurance Co.Munich Reinsurance violation2010MD-INS$5,000
AIU Insurance Co.American International Groupinsurance violation2010ME-INS$11,111
American Home Assurance Co.American International Groupinsurance violation2010ME-INS$11,111
Commerce and Industry Insurance Co.American International Groupinsurance violation2010ME-INS$11,111
Granite State Insurance Co.American International Groupinsurance violation2010ME-INS$11,111
Illinois National Insurance Co.American International Groupinsurance violation2010ME-INS$11,111
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2010ME-INS$11,111
National Union Fire Insurance Company of Pittsburg, Pa.American International Groupinsurance violation2010ME-INS$11,111
New Hampshire Insurance Co.American International Groupinsurance violation2010ME-INS$11,111
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2010ME-SEC$10,000
Allstate Indemnity Insurance Co.Allstateinsurance violation2010MN-FIN$9,000
National Union Fire Insurance Company of Pittsburgh, Pa.American International Groupinsurance violation2010MN-FIN$100,000
First American Title Insurance Co.First American Financialinsurance violation2010MN-FIN$21,750
Commonwealth Land Title Insurance Co.Fidelity National Financialinsurance violation2010MO-INS$188,976
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2010MO-INS$73,113
Lawyers Title Insurance Corp.Fidelity National Financialinsurance violation2010MO-INS$190,000
Stifel, Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2010MO-SEC$211,617
Edward D. Jones & Co. L.P.Jones Financialinvestor protection violation2010MO-SEC$40,500
Bankers Life and Casualty Co.CNO Financialinvestor protection violation2010MO-SEC$789,600
LPL Financial Corp.LPL Financialinvestor protection violation2010MO-SEC$37,540
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2010MO-SEC$277,500
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2010MO-SEC$92,015
John Alden Life Insurance Co.Assurantinsurance violation2010MT-FIN$175,000
Time Insurance Co.Haven Holdingsinsurance violation2010MT-FIN$50,000
NEXT Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2010MT-FIN$5,000
Edward JonesJones Financialinvestor protection violation2010MT-FIN$100,000
Safeco Insurance Company of IllinoisLiberty Mutual Insuranceinsurance violation2010MT-FIN$25,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2010NC-SEC$7,800,000
Allstate Insurance CompanyAllstateinsurance violation2010NC-INS$680,718
Ace Cash Express, Inc.,ACE Cash Expressconsumer protection violation2010NE-DBF$7,000
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2010NE-DBF$11,950
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2010NE-DBF$8,550
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2010NE-DBF$6,550
Great Plains Specialty Finance, Inc., d/b/a Check 'n GoCNG Financialconsumer protection violation2010NE-DBF$18,350
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2010NH-INS$100,000
Virginia Surety Company Inc.Assurantinsurance violation2010NH-INS$20,000
21st Century National Insurance CompanyZurich Insuranceinsurance violation2010NJ-DBI$10,000
Stifel Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2010NJ-BOS$5,415,381
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesinsurance violation2010NJ-DBI$500,000
AXA Equitable Life Insurance CompanyEquitable Holdingsinsurance violation2010NY-DFS$1,900,000
Citicorp Insurance Agency, Inc., Citicorp Investment Services, and SBHU Life Agency, Inc.Citigroupinsurance violation2010NY-DFS$2,000,000
American General Financial Services Inc.OneMain Holdingsprivacy violation2010OR-FIN$75,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.