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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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Company sort iconCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount
Virginia Surety Company, Inc.Assurantinsurance violation2015NY-DFS$10,000
Virginia Surety Company, Inc.Assurantinsurance violation2007OR-FIN$6,100
Virginia Surety Company, Inc.Assurantinsurance violation2008OR-FIN$25,000
Virginia Surety Company, Inc.Assurantinsurance violation2009OR-FIN$10,000
Virginia Surety Company, Inc.Assurantinsurance violation2008TX-INS$7,000
Virginia Surety Company Inc.Assurantinsurance violation2010NH-INS$20,000
Virginia Surety Company Inc.Assurantinsurance violation2011TX-INS$200,000
Virginia Surety Company Inc.Assurantinsurance violation2013MULTI-FIN$200,000
Virginia Surety Company IncAssurantinsurance violation2010WA-INS$12,000
VICTORIA FIRE AND CASUALTY INSURANCENationwideinsurance violation2009VA-INS$7,500
VICTORIA FIRE AND CASUALTY CO.Nationwideinsurance violation2014VA-INS$72,400
Victoria Fire & Casualty Insurance CompanyNationwideinsurance violation2010VA-INS$23,558
Victoria Fire & Casualty Insurance CompanyNationwideinsurance violation2016VA-INS$2,236,476
VICTORIA FIRE & CASUALTY ET ALNationwideinsurance violation2003VA-INS$29,000
Victoria Fire & Casualty CompanyNationwideinsurance violation2011WA-INS$5,000
Victoria Fire & Casualty Co.Nationwideinsurance violation2003IN-INS$5,000
Variable Annuity Life Insurance CompanyAmerican International Groupinsurance violation2017NY-DFS$25,000
Variable Annuity Life Insurance CompanyAmerican International Groupinsurance violation2021NY-DFS$230,820
Vanguard Group, Inc.Vanguard Groupemployment discrimination2008EEOC$500,000
Vanguard GroupVanguard Groupemployment discrimination2010EEOC$300,000
Vanguard Advisers Inc.Vanguard Groupinvestor protection violation2017PA-BKG$23,480
Valley Forge Life Insurance CompanyPrudential PLCinsurance violation2001MA-INS$11,600
Valley Forge Life Insurance CompanyPrudential PLCinsurance violation2002MA-INS$24,500
VALIC Financial Advisors, Inc.American International Groupinvestor protection violation2016FINRA$1,750,000
VALIC Financial Advisors Inc.American International Groupinvestor protection violation2020SEC$39,900,000
UVEST Financial Services Group, Inc.LPL Financialinvestor protection violation2013MULTI-FIN$750,000
USAllianz SecuritiesAllianzinvestor protection violation2006FINRA$5,000,000
USAA Life Insurance Company of New YorkUSAAinsurance violation2016NY-DFS$10,000
USAA Life Insurance Co.USAAinsurance violation2007FL-OFR$22,500
USAA Life Insurance Co.USAAinsurance violation2009FL-OFR$50,000
USAA Life Insurance Co.USAAinsurance violation2014MD-INS$9,000
USAA InsuranceUSAAlabor relations violation2005NLRB$125,361
USAA Indemnity Co.USAAinsurance violation2021CT-INS$32,500
USAA General Indemnity Company et al.USAAinsurance violation2023MD-INS$45,900
USAA General Indemnity CompanyUSAAinsurance violation2018OR-FIN$5,000
USAA General Indemnity CompanyUSAAinsurance violation2016RI-FIN$15,000
USAA General Indemnity CompanyUSAAinsurance violation2023OR-FIN$50,200
USAA General Indemnity Co. et al.USAAinsurance violation2020MD-INS$67,500
USAA Federal Savings BankUSAAconsumer protection violation2019CFPB$15,500,000
USAA Federal Savings BankUSAAconsumer protection violation2003NY-AG$33,500
USAA Federal Savings BankUSAAbanking violation2020OCC$85,000,000
USAA Federal Savings BankUSAAbanking violation2020OCC$382,500
USAA Federal Savings BankUSAAanti-money-laundering deficiencies2022OCC$60,000,000
USAA Federal Savings BankUSAAanti-money-laundering deficiencies2022FINCEN$80,000,000
USAA Casualty Insurance Company et al.USAAinsurance violation2021NH-INS$25,000
USAA Casualty Insurance Company et al.USAAinsurance violation2021KS-INS$5,000
USAA Casualty Insurance CompanyUSAAinsurance violation2019RI-FIN$8,000
USAA Casualty Insurance CompanyUSAAinsurance violation2020RI-FIN$12,000
USAA Casualty Insurance CompanyUSAAconsumer protection violation2023private lawsuit-federal$2,291,738
USAA Casualty Insurance Co. et al.USAAinsurance violation2014MD-INS$5,000
USAA Casualty Insurance Co.USAAinsurance violation2014MN-FIN$5,000
USAA Casualty Insurance Co.USAAinsurance violation2015MN-FIN$50,000
USAA Casualty Insurance Co.USAAinsurance violation2010SC-INS$7,000
USAA Casualty Insurance Co.USAAinsurance violation2020OR-FIN$50,000
USAA Casualty Insurance Co.USAAinsurance violation2021CT-INS$36,500
USAA CASUALTY INSURANCE CO ET AL.USAAinsurance violation2018VA-INS$4,396,720
USAA Casualty Insurance and United Services Auto AssociationUSAAinsurance violation2003NJ-DBI$6,200,000
USAAUSAAwage and hour violation2008private lawsuit-federal$738,423
USAAUSAAinsurance violation2002OH-INS$30,000
US Bank NAU.S. Bancorpconsumer protection violation2003NY-AG$33,500
US Bank N.A.U.S. Bancorpconsumer protection violation2014private lawsuit-federal$55,000,000
US BANKU.S. Bancorpwage and hour violation2014IL-DOL$131,922
US BankU.S. Bancorpprivacy violation2000MULTI-AG$2,000,000
US BankU.S. Bancorphousing code violation2016CA-LACA$13,500,000
US Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2001ND-SEC$23,250
US Bancorp Investments, Inc.U.S. Bancorpinvestor protection violation2010FINRA$275,000
US BancorpU.S. Bancorpbanking violation2018FED$15,000,000
UnumProvident CorporationUnumconsumer protection violation2006NY-AG$17,400,000
UnumProvident CorporationUnumconsumer protection violation2004MULTI-AG$15,000,000
UnumProvident Corp. et al.Unuminsurance violation2006CA-INS$700,000
Unum Life Insurance Company of America et al.Unuminsurance violation2005CA-INS$8,598,503
UNUM Life Insurance Company of AmericaUnumbenefit plan administrator violation2010private lawsuit-federal$5,000,000
Unum Life Insurance Company of AmericaUnuminsurance violation2014CA-INS$25,000
Unum Life Insurance Company of AmericaUnuminsurance violation2012MD-INS$19,000
Unum Life Insurance Company of AmericaUnuminsurance violation2015MD-INS$35,000
Unum Life Insurance Company Of AmericaUnuminsurance violation2010WA-INS$7,000
Unum Life Insurance Company Of AmericaUnuminsurance violation2011WA-INS$75,000
Unum Life Insurance Company Of AmericaUnuminsurance violation2018WA-INS$7,000
UNUM Life Insurance Company of AmericaUnuminsurance violation2021CT-INS$12,500
Unum Life Insurance Company of AmericaUnumconsumer protection violation2016private lawsuit-federal$45,998,014
UNUM LIFE INSURANCE COMPANYUnuminsurance violation2003VA-INS$14,000
Unum Life Insurance Co.UnumFalse Claims Act and related2005MA-AG$650,000
Unum Insurance Co.Unumkickbacks and bribery2008CA-MULTI$250,000
UNUM GROUP CORPORATIONUnumworkplace safety or health violation2011OSHA$5,400
Unum GroupUnumkickbacks and bribery2008USAO$5,550,000
UNUMUnumwage and hour violation2011WA-DLI$15,070
Univest Corporation of PennsylvaniaUnivest FinancialFamily and Medical Leave Act2016WHD$5,076
Universal Underwriters Service Corp.Zurich Insuranceinsurance violation2008WI-INS$10,000
Universal Underwriters Life Insurance CompanyZurich Insuranceinsurance violation2006VA-INS$24,000
Universal Underwriters Life Insurance Co.Zurich Insuranceconsumer protection violation2008TX-AG$2,400,000
Universal Underwriters Insurance CompanyZurich Insuranceinsurance violation2006IN-INS$948,240
Universal Underwriters Insurance CompanyZurich Insuranceinsurance violation2007NH-INS$28,125
Universal Underwriters Insurance Co.Zurich Insuranceinsurance violation2007MO-INS$6,530
Universal Underwriter Insurance Co.Zurich Insuranceinsurance violation2004MN-FIN$200,000
Universal Property & Casualty Insurance Co.Universal Insurance Holdingsinsurance violation2004FL-OFR$47,500
Universal Property & Casualty Insurance Co.Universal Insurance Holdingsinsurance violation2009FL-OFR$99,000
Universal Property & Casualty Insurance Co.Universal Insurance Holdingsinsurance violation2013FL-OFR$1,260,000
Universal Property & Casualty Insurance Co.Universal Insurance Holdingsinsurance violation2022MN-FIN$10,000
Unitrin Inc.Kemperinsurance violation2002MULTI-FIN$33,000,000
Unitrin Direct Property & Casualty CompanyKemperinsurance violation2021TX-INS$7,500
Unitrin Direct Property & Casualty Co. et al.Kemperinsurance violation2015MD-INS$5,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.