Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $394,610,993,640
Number of Records: 7,983
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$87,299,969,499332
JPMorgan Chase$40,164,908,209281
UBS$31,275,299,125181
Wells Fargo$27,617,269,231267
Citigroup$27,081,211,792183
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,919,491,249115
NatWest Group PLC$14,264,317,61841
Morgan Stanley$10,909,502,443206
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
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
Towers PerrinWillis Towers Watsonbenefit plan administrator violation2011private lawsuit-federal$9,200,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2011FINRA$1,750,000
Barclays Capital Inc.Barclaysinvestor protection violation2011FINRA$3,000,000
Wells Fargo Investments, LLCWells Fargoinvestor protection violation2011FINRA$2,000,000
NEXT Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2011FINRA$2,050,000
Chase Investment Services CorporationJPMorgan Chaseinvestor protection violation2011FINRA$3,600,000
Morgan Stanley & Co. Inc. and Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2011FINRA$1,371,000
UBS Securities LLCUBSinvestor protection violation2011FINRA$12,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2011FINRA$1,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2011FINRA$2,115,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2011FINRA$500,000
SunTrust Robinson Humphrey, Inc.Truist Financialinvestor protection violation2011FINRA$5,000,000
Northern Trust SecuritiesNorthern Trustinvestor protection violation2011FINRA$600,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2011FINRA$4,500,000
Merrill LynchBank of Americainvestor protection violation2011FINRA$3,000,000
Nuveen Investments, LLCTIAAinvestor protection violation2011FINRA$3,000,000
Wells Fargo Advisors, LLCWells Fargoinvestor protection violation2011FINRA$1,000,000
Santander Securities of Puerto RicoBanco Santanderinvestor protection violation2011FINRA$2,000,000
UBS Financial Services, Inc.UBSinvestor protection violation2011FINRA$10,750,000
Southwest Securities, Inc.Hilltop Holdingsinvestor protection violation2011FINRA$650,000
Southwest Securities, Inc.Hilltop Holdingsinvestor protection violation2011FINRA$500,000
Lincoln Financial Securities, Inc. and Lincoln Financial Advisors CorporationLincoln Nationalinvestor protection violation2011FINRA$600,000
Charles Schwab & Company, Inc.Charles Schwab Corp.investor protection violation2011FINRA$18,000,000
Bank of America Corp.Bank of Americaworkplace whistleblower retaliation2011OSHA$930,000
Mercury Air CentersMacquarieair pollution violation2011CA-SCAQMD$5,500
El Paso Electric CompanyJPMorgan Chaseutility service violation2011TX-PUC$18,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2011TX-PUC$18,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2011TX-PUC$27,000
Morgan Stanley & Co. LLCMorgan Stanleyprice-fixing or anti-competitive practices2011private lawsuit-federal$6,500,000
Allianz Life Insurance Company of North AmericaAllianzconsumer protection violation2011private lawsuit-federal$68,000,000
Bank of America N.A.Bank of Americaconsumer protection violation2011private lawsuit-federal$410,000,000
Bank of America, N.A.Bank of Americaconsumer protection violation2011private lawsuit-federal$9,950,000
Countrywide Financial CorporationBank of Americaconsumer protection violation2011private lawsuit-federal$34,000,000
Charles Schwab Corp.Charles Schwab Corp.consumer protection violation2011private lawsuit-federal$235,000,000
Conseco Insurance CompanyCNO Financialconsumer protection violation2011private lawsuit-federal$3,000,000
Fifth Third BankFifth Third Bancorpconsumer protection violation2011private lawsuit-federal$9,500,000
Chase Bank USA, N.A.JPMorgan Chaseconsumer protection violation2011private lawsuit-federal$7,800,000
Chase Bank USA, N.A.JPMorgan Chaseconsumer protection violation2011private lawsuit-federal$4,900,000
Washington MutualJPMorgan Chaseconsumer protection violation2011private lawsuit-federal$8,736,000
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2011private lawsuit-federal$125,000,000
Farmers Insurance CompanyZurich Insuranceconsumer protection violation2011private lawsuit-federal$10,975,000
Bank Of AmericaBank of Americawage and hour violation2011MI-LEO$5,000
Huntington National BankHuntington Bancshareswage and hour violation2011MI-LEO$11,434
Jackson National Life Distributors IncJackson Financialwage and hour violation2011MI-LEO$10,716
Citizens BankCitizens Financial Groupwage and hour violation2011MI-LEO$8,169
EL PASO ELECTRIC COMPANYJPMorgan Chaseworkplace safety or health violation2011OSHA$18,300
FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS, INCFidelity Investmentsworkplace safety or health violation2011OSHA$7,000
IMPERIAL SUGAR COMPANY; IMPERIAL-SAVANNAH, L.P.Louis Dreyfusworkplace safety or health violation2011OSHA$13,600
BANK OF AMERICABank of Americaworkplace safety or health violation2011OSHA$6,600
THE HARTFORD FINANCIAL SERVICES GROUP, INC.Hartford Financial Servicesworkplace safety or health violation2011OSHA$5,600
IFCO SYSTEMS NORTH AMERICA, INC.Triton Investments Advisersworkplace safety or health violation2011OSHA$5,950
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2011OSHA$6,400
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.