Violation Tracker

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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $385,467,775,190
Number of Records: 7,525
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 Companies	Total Penalty $	Number of Records
Bank of America	$87,248,751,230	324
JPMorgan Chase	$39,322,669,157	272
UBS	$31,059,299,125	178
Wells Fargo	$27,517,928,133	261
Citigroup	$26,945,611,792	181
Deutsche Bank	$20,006,467,563	98
Goldman Sachs	$17,729,327,552	109
NatWest Group PLC	$14,370,701,618	43
Morgan Stanley	$10,542,431,900	198
BNP Paribas	$10,363,464,666	23

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	Current Parent	Primary Offense Type	Year	Agency .	Penalty Amount
Allstate Insurance Company	Allstate	insurance violation	2022	CT-INS	$29,500
Reliance Standard Life Insurance Company	Tokio Marine	insurance violation	2022	CT-INS	$9,000
Arch Insurance Company	Arch Capital	insurance violation	2022	CT-INS	$6,500
Foremost Insurance Company Grand Rapids, Michigan	Zurich Insurance	insurance violation	2022	CT-INS	$20,000
John Hancock Life Insurance Company (U.S.A.)	Manulife Financial	insurance violation	2022	CT-INS	$68,000
Metropolitan Group Property & Casualty Insurance Company	Zurich Insurance	insurance violation	2022	CT-INS	$34,000
Ameritas Life Insurance Company	Ameritas Mutual Holding Company	insurance violation	2022	CT-INS	$31,500
Zurich American Insurance Company	Zurich Insurance	insurance violation	2022	CT-INS	$12,000
Wheelabrator Lisbon, Inc.	Macquarie	environmental violation	2013	CT-ENV	$9,350
UBS AG	UBS	environmental violation	2011	CT-ENV	$80,000
Pro Line Printing, Inc.	Chatham Asset Management	environmental violation	2004	CT-ENV	$11,125
Wheelabrator Putnam Incorporated	Macquarie	environmental violation	2003	CT-ENV	$33,500
R.R. Donnelley & Sons Company	Chatham Asset Management	environmental violation	2002	CT-ENV	$25,500
Freedom Mortgage Corp.	Freedom Mortgage	consumer protection violation	2009	CT-BKG	$43,000
PHH Mortgage Corp. dba Century Mortgage	Ocwen Financial	consumer protection violation	2009	CT-BKG	$6,000
Citigroup Global Markets Inc.	Citigroup	consumer protection violation	2009	CT-BKG	$75,000
Prospect Mortgage Company, LLC	Homebridge Financial Services	consumer protection violation	2010	CT-BKG	$33,000
PHH Mortgage Corp. dba Century Mortgage	Ocwen Financial	consumer protection violation	2013	CT-BKG	$29,000
CashCall, Inc. and Western Sky Financial L.L.C.	CashCall Inc.	payday lending violation	2014	CT-BKG	$400,000
Santander Consumer USA Inc.	Banco Santander	consumer protection violation	2018	CT-BKG	$100,000
Heartland Payment Systems, LLC dba HPS Heartland Payroll Solutions, Inc.	Global Payments Inc.	consumer protection violation	2019	CT-BKG	$12,450
Janney Montgomery Scott, LLC	Penn Mutual	investor protection violation	2020	CT-BKG	$150,000
Schupp & Grochmal, LLC	Schupp & Grochmal	investor protection violation	2020	CT-BKG	$10,510
E-Trade Financial Corporate Services, Inc.	Morgan Stanley	consumer protection violation	2021	CT-BKG	$10,000
Navient Solutions, LLC	Navient	consumer protection violation	2021	CT-BKG	$25,400
American Express Centurion Bank	American Express	tax violations	2012	CT-AG	$14,970
Bank of America	Bank of America	privacy violation	2009	CT-AG	$350,000
Brown & Brown Insurance of Arizona, Inc.	Brown & Brown	tax violations	2014	CT-AG	$37,650
Citibank N.A.	Citigroup	privacy violation	2013	CT-AG	$55,000
GE Capital Corp.	Synchrony Financial	consumer protection violation	2006	CT-AG	$336,000
Hartford Financial Services Group, Inc.	Hartford Financial Services	price-fixing or anti-competitive practices	2009	CT-AG	$1,300,000
Jackson National Life Insurance Co	Jackson Financial	investor protection violation	2008	CT-AG	$484,000
John Hancock Assignment Co.	Manulife Financial	tax violations	2014	CT-AG	$38,910
Liberty Mutual Insurance Co.	Liberty Mutual Insurance	kickbacks and bribery	2010	CT-AG	$2,000,000
Marsh & McLennan Companies, Inc.	Marsh & McLennan	kickbacks and bribery	2009	CT-AG	$2,400,000
Metropolitan Life Insurance Co.	MetLife	privacy violation	2012	CT-AG	$10,000
MONY Life Insurance Co.	Dai-ichi Life	consumer protection violation	2000	CT-AG	$250,000
Mutual of Omaha Insurance Co.	Mutual of Omaha	kickbacks and bribery	2008	CT-AG	$1,700,000
Pacific Resources Benefits Advisors, LLC	Brown & Brown	tax violations	2014	CT-AG	$5,400
Pioneer Credit Recovery, Inc.	Navient	tax violations	2013	CT-AG	$12,255
Principal Financial Group	Principal Financial	kickbacks and bribery	2007	CT-AG	$5,000,000
Providian Financial Corp.	JPMorgan Chase	consumer protection violation	2000	CT-AG	$1,600,000
RBS Securities, Inc.	NatWest Group PLC	toxic securities abuses	2016	CT-AG	$120,000,000
Travelers Companies, Inc.	Travelers	consumer protection violation	2018	CT-AG	$5,000,000
United American Insurance Co.	Globe Life Inc.	consumer protection violation	2003	CT-AG	$45,000
United States Fidelity & Guaranty	Travelers	False Claims Act and related	2007	CT-AG	$17,500,000
Wells Fargo Bank	Wells Fargo	consumer protection violation	2011	CT-AG	$741,465
Janney Montgomery Scott LLC	Penn Mutual	investor protection violation	2005	CO-SEC	$259,227
OppenheimerFunds Distributor, Inc.	Invesco	investor protection violation	2007	CO-SEC	$494,500
AllianceBernstein L.P.	Equitable Holdings	investor protection violation	2013	CO-SEC	$20,232
Solium Financial Services LLC	Morgan Stanley	investor protection violation	2020	CO-SEC	$69,338
JPMorgan Chase Bank, National Association	JPMorgan Chase	wage and hour violation	2022	CO-LAE	$5,838
Stewart Title Guaranty Co.	Stewart Information Services	insurance violation	2000	CO-INS	$25,000
Commonwealth Land Title Insurance Co.	Fidelity National Financial	insurance violation	2000	CO-INS	$20,750
Fidelity National Title Insurance Co.	Fidelity National Financial	insurance violation	2001	CO-INS	$17,250
Federal Insurance Co.	Chubb Limited	insurance violation	2005	CO-INS	$16,000
Commerce and Industry Insurance Co.	American International Group	insurance violation	2005	CO-INS	$6,000
Allstate Insurance Co.	Allstate	insurance violation	2005	CO-INS	$10,500
Old Republic Insurance Co.	Old Republic International	insurance violation	2006	CO-INS	$6,000
Unitrin Auto and Home Insurance Co.	Kemper	insurance violation	2006	CO-INS	$7,500
American Family Mutual Insurance Co.	American Family Insurance	insurance violation	2006	CO-INS	$6,000
Farmers Insurance Exchange and Truck Insurance Exchange and Mid-Century Insurance Co.	Farmers Insurance Exchange	insurance violation	2006	CO-INS	$49,500
New England Life Insurance Co.	Brighthouse Financial	insurance violation	2006	CO-INS	$32,000
Allianz Life Insurance Company of North America	Allianz	insurance violation	2006	CO-INS	$34,800
Jackson National Life Insurance Co.	Jackson Financial	insurance violation	2007	CO-INS	$10,000
Auto-Owners Insurance Co.	Auto-Owners Insurance	insurance violation	2007	CO-INS	$5,000
American Family Mutual Insurance Co.	American Family Insurance	insurance violation	2007	CO-INS	$5,500
Nationwide Insurance Company of America	Nationwide	insurance violation	2007	CO-INS	$81,500
ING USA Annuity and Life Insurance Co.	Voya Financial	insurance violation	2007	CO-INS	$5,000
Stewart Title Guaranty Co.	Stewart Information Services	insurance violation	2007	CO-INS	$50,000
Nationwide Mutual Fire Insurance Co.	Nationwide	insurance violation	2007	CO-INS	$6,000
Nationwide Mutual Insurance Co.	Nationwide	insurance violation	2007	CO-INS	$8,500
Nationwide Property and Casualty Insurance Co.	Nationwide	insurance violation	2007	CO-INS	$6,000
National Western Life Insurance Co.	National Western Life	insurance violation	2009	CO-INS	$11,500
Time Insurance Co.	Haven Holdings	insurance violation	2009	CO-INS	$103,500
Permanent General Assurance Corp.	American Family Insurance	insurance violation	2009	CO-INS	$31,900
Esurance Insurance Co.	Allstate	insurance violation	2010	CO-INS	$154,500
Wedbush Securities Inc.	Wedbush Securities	insurance violation	2011	CO-INS	$14,300
Mid-Century Insurance Co.	Zurich Insurance	insurance violation	2011	CO-INS	$255,500
Farmers Insurance Exchange	Farmers Insurance Exchange	insurance violation	2011	CO-INS	$81,400
Mid-Century Insurance Co.	Zurich Insurance	insurance violation	2011	CO-INS	$66,000
Bristol West Insurance Co.	Zurich Insurance	insurance violation	2011	CO-INS	$161,500
Farmers Insurance Exchange	Farmers Insurance Exchange	insurance violation	2012	CO-INS	$218,000
United American Insurance Co.	Globe Life Inc.	insurance violation	2012	CO-INS	$86,500
Transamerica Life Insurance Co.	Aegon	insurance violation	2012	CO-INS	$6,270
John Alden Life Insurance Co.	Assurant	insurance violation	2012	CO-INS	$86,500
Stewart Title Guaranty Co.	Stewart Information Services	insurance violation	2012	CO-INS	$70,400
North River Insurance Co.	Fairfax Financial Holdings	insurance violation	2012	CO-INS	$62,700
United States Fire Insurance Co.	Fairfax Financial Holdings	insurance violation	2012	CO-INS	$111,500
First American Title Insurance Co.	First American Financial	insurance violation	2013	CO-INS	$177,500
Fidelity National Title Insurance Co.	Fidelity National Financial	insurance violation	2014	CO-INS	$48,400
Globe Life and Accident Insurance Co.	Globe Life Inc.	insurance violation	2014	CO-INS	$12,100
National Western Life Insurance Co.	National Western Life	insurance violation	2014	CO-INS	$11,500
Safeco Insurance Company of America	Liberty Mutual Insurance	insurance violation	2015	CO-INS	$140,500
Chicago Title Insurance Co.	Fidelity National Financial	insurance violation	2015	CO-INS	$66,000
Auto Owners Insurance Co.	Auto-Owners Insurance	insurance violation	2017	CO-INS	$25,875
National Western Life Insurance Co.	National Western Life	insurance violation	2019	CO-INS	$34,500
Companion Life Insurance Co.	BlueCross BlueShield of South Carolina	insurance violation	2019	CO-INS	$147,775
Permanent General Assurance Corp.	American Family Insurance	insurance violation	2019	CO-INS	$56,494
Permanent General Assurance Corporation of Ohio	American Family Insurance	insurance violation	2019	CO-INS	$50,974
ACE Cash Express, Inc.	ACE Cash Express	consumer protection violation	2002	CO-AG	$1,300,000