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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 TypeYearAgency sort iconPenalty Amount
Hartford Fire Insurance CompanyHartford Financial Servicesinsurance violation2013SD-INS$5,000
Hartford Accident and IndemnityHartford Financial Servicesinsurance violation2013SD-INS$5,000
Hartford Fire Insurance CompanyHartford Financial Servicesinsurance violation2013SD-INS$5,000
Sentinel Insurance Company Ltd.Hartford Financial Servicesinsurance violation2013SD-INS$5,000
Twin City Fire Insurance CompanyHartford Financial Servicesinsurance violation2013SD-INS$5,000
Property & Casualty Insurance Company of HartfordHartford Financial Servicesinsurance violation2013SD-INS$5,000
Protective Life Insurance CompanyDai-ichi Lifeinsurance violation2014SD-INS$5,000
Protective Insurance CompanyProgressiveinsurance violation2014SD-INS$7,500
American General Life Insurance CompanyAmerican International Groupinsurance violation2014SD-INS$15,000
General Casualty Company of WisconsinQBE Insuranceinsurance violation2014SD-INS$5,000
Hartford Accident and IndemnityHartford Financial Servicesinsurance violation2014SD-INS$10,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2014SD-INS$5,000
Union Security Insurance CompanyAssurantinsurance violation2015SD-INS$7,500
Foremost Insurance Group et al.Zurich Insuranceinsurance violation2015SD-INS$750,000
Sentry Insurance GroupSentry Insuranceinsurance violation2015SD-INS$125,000
Nationwide Life Insurance CompanyNationwideinsurance violation2015SD-INS$10,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2015SD-INS$100,000
Transamerica Life Insurance CompanyAegoninsurance violation2016SD-INS$15,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2016SD-INS$15,000
American Memorial Life Insurance CompanyAssurantinsurance violation2016SD-INS$5,000
Time Insurance CompanyHaven Holdingsinsurance violation2016SD-INS$300,000
Union Security Insurance CompanyAssurantinsurance violation2016SD-INS$35,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2016SD-INS$5,000
Hartford Accident and IndemnityHartford Financial Servicesinsurance violation2016SD-INS$10,000
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2017SD-INS$5,000
Companion Life Insurance CompanyBlueCross BlueShield of South Carolinainsurance violation2017SD-INS$40,000
Hartford Life and Accident Insurance CompanyHartford Financial Servicesinsurance violation2018SD-INS$10,000
Transamerica Life Insurance CompanyAegoninsurance violation2018SD-INS$10,000
American Family Life Assurance CompanyAflacinsurance violation2019SD-INS$100,000
Genworth Life Insurance CompanyGenworth Financialinsurance violation2019SD-INS$5,000
Transamerica Life Insurance CompanyAegoninsurance violation2019SD-INS$30,000
Edward D. Jones & Co. L.P.Jones Financialinvestor protection violation2019SD-INS$10,000
Federal Insurance Co.Chubb Limitedinsurance violation2020SD-INS$25,000
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2020SD-INS$85,000
Producers Agriculture Insurance CompanyTokio Marineinsurance violation2022SD-INS$45,000
Highmark, Inc.Highmark Inc.insurance violation2023SD-INS$5,000
American Memorial Life Insurance CompanyAssurantinsurance violation2023SD-INS$5,000
Washington National Insurance Co.CNO Financialinsurance violation2023SD-INS$15,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020SD-SEC$5,750
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2021SD-SEC$20,000
Barclays Capital Inc.Barclaysinvestor protection violation2016SEC$35,000,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2016SEC$54,300,000
Goldman Sachs & Co.Goldman Sachsinvestor protection violation2016SEC$15,000,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2016SEC$4,000,000
Morgan Stanley Investment ManagementMorgan Stanleyinvestor protection violation2015SEC$8,800,000
J.P. Morgan Securities LLC and JPMorgan Chase Bank N.A.JPMorgan Chaseinvestor protection violation2015SEC$267,000,000
ICBC Standard Bank PlcIndustrial and Commercial Bank of Chinainvestor protection violation2015SEC$4,200,000
UBS Willow Management LLC and UBS Fund Advisor LLCUBSinvestor protection violation2015SEC$17,500,000
UBS AGUBSinvestor protection violation2015SEC$19,500,000
UBS Financial Services Inc. of Puerto RicoUBSinvestor protection violation2015SEC$15,000,000
Credit Suisse Securities (USA) LLCUBSdata submission deficiencies2015SEC$4,250,000
Citigroup Global MarketsCitigroupinvestor protection violation2015SEC$15,000,000
Citigroup Global Markets Inc. and Citigroup Alternative Investments LLCCitigroupinvestor protection violation2015SEC$180,000,000
Edward D. Jones & Co. LPJones Financialinvestor protection violation2015SEC$20,000,000
Goldman Sachs & Co.Goldman Sachsinvestor protection violation2015SEC$7,000,000
Merrill LynchBank of Americainvestor protection violation2015SEC$10,900,000
Deutsche Bank AGDeutsche Bankinvestor protection violation2015SEC$55,000,000
BlackRock Advisors LLCBlackRockinvestor protection violation2015SEC$12,000,000
UBS Securities LLCUBSinvestor protection violation2015SEC$14,400,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2014SEC$4,000,000
HSBC Private Bank (Suisse)HSBCinvestor protection violation2014SEC$12,500,000
Bank of America CorporationBank of Americainvestor protection violation2014SEC$7,650,000
Barclays Capital Inc.Barclaysinvestor protection violation2014SEC$15,000,000
Wells Fargo Advisors LLCWells Fargoinvestor protection violation2014SEC$5,000,000
Morgan StanleyMorgan Stanleytoxic securities abuses2014SEC$275,000,000
Credit Suisse Group AGUBSinvestor protection violation2014SEC$196,000,000
Merrill LynchBank of Americatoxic securities abuses2013SEC$131,800,000
Fifth Third BancorpFifth Third Bancorpaccounting fraud or deficiencies2013SEC$6,500,000
RBS Securities Inc.NatWest Group PLCtoxic securities abuses2013SEC$153,700,000
JPMorgan & Co.JPMorgan Chaseaccounting fraud or deficiencies2013SEC$200,000,000
UBS SecuritiesUBStoxic securities abuses2013SEC$50,000,000
Capital One Financial CorporationCapital One Financialaccounting fraud or deficiencies2013SEC$3,500,000
J.P. Morgan Securities LLCJPMorgan Chasetoxic securities abuses2012SEC$296,900,000
Credit Suisse Securities (USA)UBStoxic securities abuses2012SEC$120,000,000
Massachusetts Mutual Life Insurance CompanyMassachusetts Mutual Life Insuranceinvestor protection violation2012SEC$1,625,000
Goldman Sachs & Co.Goldman Sachsillicit political contributions2012SEC$12,000,000
Wells FargoWells Fargotoxic securities abuses2012SEC$6,500,000
Mizuho Financial GroupMizuho Financialinvestor protection violation2012SEC$127,500,000
OppenheimerFunds Inc.Invescoinvestor protection violation2012SEC$35,000,000
UBS Financial Services Inc. of Puerto RicoUBSinvestor protection violation2012SEC$26,600,000
Option One Mortgage CorporationOcwen Financialtoxic securities abuses2012SEC$28,200,000
Goldman Sachs & Co.Goldman Sachsinvestor protection violation2012SEC$22,000,000
UBS Global Asset ManagementUBSinvestor protection violation2012SEC$300,000
Morgan Stanley Investment ManagementMorgan Stanleyinvestor protection violation2011SEC$3,300,000
UBS Securities LLCUBSinvestor protection violation2011SEC$8,000,000
CitigroupCitigrouptoxic securities abuses2011SEC$285,000,000
RBC Capital Markets LLCRoyal Bank of Canadainvestor protection violation2011SEC$30,400,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2011SEC$850,000
Morgan Keegan & CompanyRaymond James Financialtoxic securities abuses2011SEC$200,000,000
J.P. Morgan Securities LLCJPMorgan Chasetoxic securities abuses2011SEC$153,600,000
Wells Fargo Securities LLCWells Fargotoxic securities abuses2011SEC$11,000,000
TD Ameritrade Inc.Charles Schwab Corp.investor protection violation2011SEC$10,000,000
Charles Schwab Investment Management and Charles Schwab & Co., Inc.Charles Schwab Corp.investor protection violation2011SEC$118,000,000
Citigroup Inc.Citigrouptoxic securities abuses2010SEC$75,000,000
Goldman Sachs & Co.Goldman Sachstoxic securities abuses2010SEC$550,000,000
Bank of AmericaBank of Americainvestor protection violation2010SEC$150,000,000
BNY MellonBank of New York MellonForeign Corrupt Practices Act2015SEC$14,800,000
Allianz SEAllianzForeign Corrupt Practices Act2012SEC$12,396,423
Aon CorporationAonForeign Corrupt Practices Act2011SEC$14,545,020
State Street Bank and Trust CompanyState Street Corp.investor protection violation2016SEC$382,400,000
Citigroup Global MarketsCitigroupdata submission deficiencies2016SEC$7,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.