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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$340,816,534,046
Number of Records: 7,081
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$36,129,269,434222
Citigroup$25,740,655,365159
Wells Fargo$22,081,446,244228
Deutsche Bank$18,541,457,30278
UBS$17,082,743,334106
Goldman Sachs$16,599,475,84889
NatWest Group PLC$13,515,546,85731
Credit Suisse$10,932,400,12651
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 TypeYearAgency sort iconPenalty Amount
CashCall, Inc. and Western Sky Financial L.L.C.CashCall Inc.payday lending violation2014CT-BKG$400,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2018CT-BKG$100,000
Heartland Payment Systems, LLC dba HPS Heartland Payroll Solutions, Inc.Global Payments Inc.consumer protection violation2019CT-BKG$12,450
Janney Montgomery Scott, LLCPenn Mutualinvestor protection violation2020CT-BKG$150,000
Schupp & Grochmal, LLCSchupp & Grochmalinvestor protection violation2020CT-BKG$10,510
E-Trade Financial Corporate Services, Inc.Morgan Stanleyconsumer protection violation2021CT-BKG$10,000
Navient Solutions, LLCNavientconsumer protection violation2021CT-BKG$25,400
American Express Centurion BankAmerican Expresstax violations2012CT-AG$14,970
Bank of AmericaBank of Americaprivacy violation2009CT-AG$350,000
Brown & Brown Insurance of Arizona, Inc.Brown & Browntax violations2014CT-AG$37,650
Citibank N.A.Citigroupprivacy violation2013CT-AG$55,000
GE Capital Corp.Synchrony Financialconsumer protection violation2006CT-AG$336,000
Hartford Financial Services Group, Inc.Hartford Financial Servicesprice-fixing or anti-competitive practices2009CT-AG$1,300,000
Jackson National Life Insurance CoJackson Financialinvestor protection violation2008CT-AG$484,000
John Hancock Assignment Co.Manulife Financialtax violations2014CT-AG$38,910
Liberty Mutual Insurance Co.Liberty Mutual Insurancekickbacks and bribery2010CT-AG$2,000,000
Marsh & McLennan Companies, Inc.Marsh & McLennankickbacks and bribery2009CT-AG$2,400,000
Metropolitan Life Insurance Co.MetLifeprivacy violation2012CT-AG$10,000
MONY Life Insurance Co.Dai-ichi Lifeconsumer protection violation2000CT-AG$250,000
Mutual of Omaha Insurance Co.Mutual of Omahakickbacks and bribery2008CT-AG$1,700,000
Pacific Resources Benefits Advisors, LLCBrown & Browntax violations2014CT-AG$5,400
Pioneer Credit Recovery, Inc.Navienttax violations2013CT-AG$12,255
Principal Financial GroupPrincipal Financialkickbacks and bribery2007CT-AG$5,000,000
Providian Financial Corp.JPMorgan Chaseconsumer protection violation2000CT-AG$1,600,000
RBS Securities, Inc.NatWest Group PLCtoxic securities abuses2016CT-AG$120,000,000
Travelers Companies, Inc.Travelersconsumer protection violation2018CT-AG$5,000,000
United American Insurance Co.Globe Life Inc.consumer protection violation2003CT-AG$45,000
United States Fidelity & GuarantyTravelersFalse Claims Act and related2007CT-AG$17,500,000
Wells Fargo BankWells Fargoconsumer protection violation2011CT-AG$741,465
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2005CO-SEC$259,227
OppenheimerFunds Distributor, Inc.Invescoinvestor protection violation2007CO-SEC$494,500
AllianceBernstein L.P.Equitable Holdingsinvestor protection violation2013CO-SEC$20,232
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020CO-SEC$69,338
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2000CO-INS$25,000
Commonwealth Land Title Insurance Co.Fidelity National Financialinsurance violation2000CO-INS$20,750
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2001CO-INS$17,250
Federal Insurance Co.Chubb Limitedinsurance violation2005CO-INS$16,000
Commerce and Industry Insurance Co.American International Groupinsurance violation2005CO-INS$6,000
Allstate Insurance Co.Allstateinsurance violation2005CO-INS$10,500
Old Republic Insurance Co.Old Republic Internationalinsurance violation2006CO-INS$6,000
Unitrin Auto and Home Insurance Co.Kemperinsurance violation2006CO-INS$7,500
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2006CO-INS$6,000
Farmers Insurance Exchange and Truck Insurance Exchange and Mid-Century Insurance Co.Farmers Insurance Exchangeinsurance violation2006CO-INS$49,500
New England Life Insurance Co.Brighthouse Financialinsurance violation2006CO-INS$32,000
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2006CO-INS$34,800
Jackson National Life Insurance Co.Jackson Financialinsurance violation2007CO-INS$10,000
Auto-Owners Insurance Co.Auto-Owners Insuranceinsurance violation2007CO-INS$5,000
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2007CO-INS$5,500
Nationwide Insurance Company of AmericaNationwideinsurance violation2007CO-INS$81,500
ING USA Annuity and Life Insurance Co.Voya Financialinsurance violation2007CO-INS$5,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2007CO-INS$50,000
Nationwide Mutual Fire Insurance Co.Nationwideinsurance violation2007CO-INS$6,000
Nationwide Mutual Insurance Co.Nationwideinsurance violation2007CO-INS$8,500
Nationwide Property and Casualty Insurance Co.Nationwideinsurance violation2007CO-INS$6,000
National Western Life Insurance Co.National Western Lifeinsurance violation2009CO-INS$11,500
Time Insurance Co.Haven Holdingsinsurance violation2009CO-INS$103,500
Permanent General Assurance Corp.American Family Insuranceinsurance violation2009CO-INS$31,900
Esurance Insurance Co.Allstateinsurance violation2010CO-INS$154,500
Wedbush Securities Inc.Wedbush Securitiesinsurance violation2011CO-INS$14,300
Mid-Century Insurance Co.Zurich Insuranceinsurance violation2011CO-INS$255,500
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2011CO-INS$81,400
Mid-Century Insurance Co.Zurich Insuranceinsurance violation2011CO-INS$66,000
Bristol West Insurance Co.Zurich Insuranceinsurance violation2011CO-INS$161,500
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2012CO-INS$218,000
United American Insurance Co.Globe Life Inc.insurance violation2012CO-INS$86,500
Transamerica Life Insurance Co.Aegoninsurance violation2012CO-INS$6,270
John Alden Life Insurance Co.Assurantinsurance violation2012CO-INS$86,500
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2012CO-INS$70,400
North River Insurance Co.Fairfax Financial Holdingsinsurance violation2012CO-INS$62,700
United States Fire Insurance Co.Fairfax Financial Holdingsinsurance violation2012CO-INS$111,500
First American Title Insurance Co.First American Financialinsurance violation2013CO-INS$177,500
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2014CO-INS$48,400
Globe Life and Accident Insurance Co.Globe Life Inc.insurance violation2014CO-INS$12,100
National Western Life Insurance Co.National Western Lifeinsurance violation2014CO-INS$11,500
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2015CO-INS$140,500
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2015CO-INS$66,000
Auto Owners Insurance Co.Auto-Owners Insuranceinsurance violation2017CO-INS$25,875
National Western Life Insurance Co.National Western Lifeinsurance violation2019CO-INS$34,500
Companion Life Insurance Co.BlueCross BlueShield of South Carolinainsurance violation2019CO-INS$147,775
Permanent General Assurance Corp.American Family Insuranceinsurance violation2019CO-INS$56,494
Permanent General Assurance Corporation of OhioAmerican Family Insuranceinsurance violation2019CO-INS$50,974
ACE Cash Express, Inc.ACE Cash Expressconsumer protection violation2002CO-AG$1,300,000
CashCall, Inc., WS Funding, LLC, and Delbert Services CorporationCashCall Inc.consumer protection violation2016CO-AG$7,384,005
Countrywide Financial Corp.Bank of Americamortgage abuses2009CO-AG$6,000,000
Western Sky Financial, LLC et al.CashCall Inc.consumer protection violation2014CO-AG$565,000
Santander Consumer USA, Inc.Banco Santanderconsumer protection violation2021CO-AG$3,065,000
United States Fire Insurance Co.Fairfax Financial Holdingsconsumer protection violation2021CO-AG$50,000
Torchmark CorporationGlobe Life Inc.Medicare Parts C and D Enforcement Action2014CMS$40,000
Torchmark CorporationGlobe Life Inc.Medicare Parts C and D Enforcement Action2013CMS$150,000
Blue Shield of California Promise Health PlanCalifornia Physicians' ServiceMedicare Parts C and D Enforcement Action2020CMS$148,506
California Physicians' ServiceCalifornia Physicians' ServiceMedicare Parts C and D Enforcement Action2022CMS$40,282
CitigroupCitigroupinterest rate benchmark manipulation2016CFTC$175,000,000
CitibankCitigroupinterest rate benchmark manipulation2016CFTC$250,000,000
JPMorgan ChaseJPMorgan Chasedata submission deficiencies2016CFTC$225,000
Credit SuisseCredit Suisseinvestor protection violation2016CFTC$665,000
JPMorgan Chase BankJPMorgan Chasedata submission deficiencies2015CFTC$100,000,000
BNP Paribas SecuritiesBNP Paribasinvestor protection violation2015CFTC$140,000
Deutsche Bank AGDeutsche Bankdata submission deficiencies2015CFTC$2,500,000
Morgan StanleyMorgan Stanleyinvestor protection violation2015CFTC$300,000
BarclaysBarclaysinterest rate benchmark manipulation2015CFTC$400,000,000
BarclaysBarclaysinterest rate benchmark manipulation2015CFTC$115,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.