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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $347,416,567,662
Number of Records: 7,172
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$83,354,221,356271
JPMorgan Chase$36,129,286,132223
Wells Fargo$25,781,458,643230
Citigroup$25,740,655,365159
Deutsche Bank$18,541,562,80279
UBS$17,082,743,334106
Goldman Sachs$16,603,475,84890
NatWest Group PLC$13,515,546,85731
Credit Suisse$11,427,400,12652
Morgan Stanley$10,167,765,234190

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 icon . AgencyPenalty Amount
American Home Assurance CompanyAmerican International Groupinsurance violation2007OR-FIN$10,000
Commerce and Industry Insurance CompanyAmerican International Groupinsurance violation2007OR-FIN$10,000
Granite State Insurance CompanyAmerican International Groupinsurance violation2007OR-FIN$5,000
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2007OR-FIN$10,000
Reliance Standard Life Insurance CompanyTokio Marineinsurance violation2007OR-FIN$5,000
Farmers Insurance Company of OregonZurich Insuranceinsurance violation2007OR-FIN$10,000
Virginia Surety Company, Inc.Assurantinsurance violation2007OR-FIN$6,100
Seabury & Smith Inc.Marsh & McLennaninsurance violation2007PA-INS$25,000
Lincoln Financial Advisors Corp.Lincoln Nationalinvestor protection violation2007RI-FIN$5,000
Morgan Stanley & Co. Inc.Morgan Stanleyinvestor protection violation2007RI-FIN$250,000
AXA Insurance CompanyAXAinsurance violation2007SC-INS$8,000
A.G. Edwards & Sons Inc.Wells Fargoinvestor protection violation2007SC-SEC$575,000
Ameritrade Inc.Charles Schwab Corp.investor protection violation2007TX-SEC$200,000
AMERICAN BANKERS LIFEAssurantinsurance violation2007VA-INS$97,000
LIBERTY INSURANCE CORP. ET AL.Liberty Mutual Insuranceinsurance violation2007VA-INS$15,000
UBS FINANCIAL SERVICES, INC.UBSinvestor protection violation2007VA-SEC$100,000
RELIASTAR LIFE INSURANCE CO.Voya Financialinsurance violation2007VA-INS$8,000
UNION SECURITY LIFE INSURANCEAssurantinsurance violation2007VA-INS$27,000
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceinsurance violation2007VA-INS$6,000
AMEX ASSURANCE CO.American Expressinsurance violation2007VA-INS$26,400
Group Hospitalization and Medical Services, Inc.CareFirst of Marylandinsurance violation2007VA-INS$15,000
United Services Automobile AssociationUSAAinsurance violation2007VA-INS$6,000
CAREFIRST BLUECHOICE, INC.CareFirst of Marylandinsurance violation2007VA-INS$120,000
UNITED AMERICAN INSURANCE CO.Globe Life Inc.insurance violation2007VA-INS$15,000
CUNA MUTUAL INSURANCE SOCIETYCUNA Mutualinsurance violation2007VA-INS$30,000
BANNER LIFE INSURANCE COMPANYLegal & General Group PLCinsurance violation2007VA-INS$5,000
AMERICAN HOME ASSURANCE ET AL.American International Groupinsurance violation2007VA-INS$5,000
Metropolitan Property and CasualtyZurich Insuranceinsurance violation2007VA-INS$5,000
SENTINEL INSURANCE COMPANYHartford Financial Servicesinsurance violation2007VA-INS$5,000
HORACE MANN INSURANCE CO. ET AL.Horace Mann Educators Corp.insurance violation2007VA-INS$42,400
Allstate Insurance Company and Allstate Indemnity CompanyAllstateinsurance violation2007VA-INS$8,000
CHUBB INDEMNITY INSURANCE, ET AL.Chubb Limitedinsurance violation2007VA-INS$5,000
MERCURY CASUALTY COMPANYMercury General Corporationinsurance violation2007VA-INS$25,600
OppenheimerFunds Distributor, Inc.Invescoinvestor protection violation2007WA-FIN$669,500
Asurion Warranty Services, Inc.Asurioninsurance violation2007WI-INS$5,000
Austin Mutual Insurance Co.American Family Insuranceinsurance violation2007WI-INS$8,000
Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2007WI-FIN$50,000
CUNA Mutual Insurance SocietyCUNA Mutualinsurance violation2007MULTI-FIN$584,622
Wachovia Capital Markets LLCWells Fargoinvestor protection violation2007MULTI-FIN$24,650,000
Allstate CorporationAllstatediscriminatory practices (non-employment)2007private lawsuit-federal$11,720,000
VitolVitolenvironmental violation2007CA-ARB$150,000
BUCKEYE PERTH AMBOY TERMINAL LLCIFM Investorsenvironmental violation2007NJ-ENV$5,700
BUCKEYE PORT READING TERMINAL LLCIFM Investorsenvironmental violation2007NJ-ENV$11,760
Buckeye Pipe Line Company, L.P.IFM Investorsenvironmental violation2007OH-ENV$30,000
Citizens Bank of Rhode IslandCitizens Financial Groupenvironmental violation2007RI-ENV$7,510
Fidelity Management Trust CompanyFidelity Investmentsbenefit plan administrator violation2007private lawsuit-federal$10,850,000
J.P. Morgan Securities, Inc.JPMorgan Chaseinvestor protection violation2007FINRA$500,000
Wachovia Capital Markets, LLCWells Fargoinvestor protection violation2007FINRA$300,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2007FINRA$1,000,000
UBS Financial Services, Inc.UBSinvestor protection violation2007FINRA$370,000
Morgan Stanley & Co.Morgan Stanleyinvestor protection violation2007FINRA$12,500,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2007FINRA$2,600,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2007FINRA$6,100,000
MML Investors Services, Inc.Massachusetts Mutual Life Insuranceinvestor protection violation2007FINRA$473,000
NYLIFE Securities LLCNew York Life Insuranceinvestor protection violation2007FINRA$354,000
Northwestern Mutual Investment Services, LLCNorthwestern Mutualinvestor protection violation2007FINRA$100,000
Wells Fargo Securities, LLCWells Fargoinvestor protection violation2007FINRA$250,000
Wachovia Securities LLCWells Fargoinvestor protection violation2007FINRA$2,000,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2007FINRA$15,200,000
HSBC BrokerageHSBCinvestor protection violation2007FINRA$250,000
Fidelity Investments Institutional Services Company, Inc. and Fidelity Distributors CorporationFidelity Investmentsinvestor protection violation2007FINRA$400,000
Raymond James Financial Services Inc.Raymond James Financialinvestor protection violation2007FINRA$2,750,000
Banc of America Investment Services Inc.Bank of Americaanti-money-laundering deficiencies2007FINRA$3,000,000
AllianceBernstein Investments, Inc.Equitable Holdingsinvestor protection violation2007FINRA$100,000
Fidelity Distributors Corp. et al.Fidelity Investmentsinvestor protection violation2007FINRA$3,750,000
Bank of AmericaBank of Americaenvironmental violation2007CA-SCAQMD$46,000
CITIMORTGAGE, INC.Citigroupworkplace safety or health violation2007OSHA$5,097
WASHINGTON MUTUALJPMorgan Chaseworkplace safety or health violation2007OSHA$5,000
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP N.A. INCInvescoworkplace safety or health violation2007OSHA$5,200
IFCO SYSTEMS NORTH AMERICA, INC.Triton Investments Advisersworkplace safety or health violation2007OSHA$9,210
PRO LINE PRINTING, INC.Chatham Asset Managementworkplace safety or health violation2007OSHA$5,000
IFCO SYSTEMSTriton Investments Advisersworkplace safety or health violation2007OSHA$5,550
INTERNATIONAL AUTOMOTIVE COMPONENTSInvescoworkplace safety or health violation2007OSHA$5,625
R.R. DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2007OSHA$5,100
IFCO SYSTEMS NORTH AMERICA, INC.Triton Investments Advisersworkplace safety or health violation2007OSHA$27,690
BUSEY BANKFirst Busey Corp.banking violation2006FDIC$5,200
THE RICHLAND TRUST COMPANYPark National Corp.banking violation2006FDIC$11,100
Crawford and CompanyCrawford & Co.False Claims Act and related2006DOJ_CIVIL$1,363,204
Prudential Equity Group LLCPrudential Financialinvestor protection violation2006DOJ_CRIMINAL$600,000,000
BankAtlanticTruist Financialanti-money-laundering deficiencies2006DOJ_CRIMINAL$10,000,000
Williams Power Company Inc.JPMorgan Chasedata submission deficiencies2006DOJ_CRIMINAL$50,000,000
American International Group, Inc.American International Groupaccounting fraud or deficiencies2006DOJ_CRIMINAL$25,000,000
ABN AMRO Bank, N.V.ABN AMROeconomic sanction violation2006OFAC$40,000,000
U.S. Bank National AssociationU.S. Bancorpbanking violation2006OCC$125,000
First National Bank of OmahaFirst National of Nebraskabanking violation2006OCC$25,000
Seacoast National BankSeacoast Banking Corporation of Floridabanking violation2006OCC$16,500
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.insider trading2006SEC$3,755,839
Hartford Financial Services Group, Inc.Hartford Financial Servicesinvestor protection violation2006SEC$55,000,000
Morgan Stanley & Co.Morgan Stanleyinvestor protection violation2006SEC$10,000,000
A.G. Edwards & Sons, Inc.Wells Fargoinvestor protection violation2006SEC$125,000
Banc of America Securities LLCBank of Americainvestor protection violation2006SEC$750,000
Bear, Stearns & Co., Inc.JPMorgan Chaseinvestor protection violation2006SEC$1,500,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2006SEC$1,500,000
Goldman Sachs & Co.Goldman Sachsinvestor protection violation2006SEC$1,500,000
J.P. Morgan Securities, Inc.JPMorgan Chaseinvestor protection violation2006SEC$1,500,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2006SEC$1,500,000
Morgan Keegan & Company, Inc.Raymond James Financialinvestor protection violation2006SEC$125,000
Morgan Stanley & Co. Incorporated/ Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2006SEC$1,500,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2006SEC$125,000
RBC Dain Rauscher IncRoyal Bank of Canadainvestor protection violation2006SEC$1,500,000
SunTrust Capital Markets Inc.Truist Financialinvestor protection violation2006SEC$125,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.