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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$340,660,984,318
Number of Records: 7,055
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$83,124,221,356268
JPMorgan Chase$36,129,269,434222
Citigroup$25,540,655,365157
Wells Fargo$22,081,446,244228
Deutsche Bank$18,341,457,30276
UBS$16,880,243,334103
Goldman Sachs$16,399,475,84887
NatWest Group PLC$13,515,546,85731
BNP Paribas$12,154,369,73321
Credit Suisse$10,732,400,12649

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 Parent sort iconPrimary Offense TypeYearAgencyPenalty Amount
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.insider trading2006SEC$3,755,839
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.investor protection violation2004SEC$125,000
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.investor protection violation2008FINRA$50,000
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.investor protection violation2006FINRA$4,000,000
Arch Insurance CompanyArch Capitalconsumer protection violation2010MD-AG$460,000
Arch Insurance Co.Arch Capitalinsurance violation2019ID-INS$5,000
Arch Insurance Co.Arch Capitalinsurance violation2016MO-INS$145,000
Arch Insurance Co.Arch Capitalinsurance violation2013MT-INS$29,075
Arch Insurance CompanyArch Capitalinsurance violation2019NY-DFS$5,000,000
Arch Insurance CompanyArch Capitalinsurance violation2010TX-INS$14,000
Arch Insurance CompanyArch Capitalinsurance violation2012TX-INS$26,500
Arch Insurance CompanyArch Capitalinsurance violation2014TX-INS$40,143
Arch Insurance CompanyArch Capitalinsurance violation2014TX-INS$10,000
Arch Insurance CompanyArch Capitalinsurance violation2015TX-INS$19,000
Arch Insurance CompanyArch Capitalinsurance violation2016TX-INS$32,500
Arch Insurance CompanyArch Capitalinsurance violation2017TX-INS$5,000
Arch Insurance CompanyArch Capitalinsurance violation2018TX-INS$7,000
Arch Indemnity Insurance CompanyArch Capitalinsurance violation2019TX-INS$10,250
Arch Insurance CompanyArch Capitalinsurance violation2019VA-INS$26,447
Arch Insurance CompanyArch Capitalinsurance violation2011WA-INS$20,000
Arch Insurance CompanyArch Capitalinsurance violation2017MULTI-FIN$1,017,000
Arch Insurance Co.Arch Capitalinsurance violation2020WA-INS$10,000
Arch Insurance Co.Arch Capitalinsurance violation2021TX-INS$6,000
Arch Insurance Co.Arch Capitalinsurance violation2021TX-INS$69,000
Arch Insurance CompanyArch Capitalinsurance violation2022TX-INS$20,000
Arch Indemnity Insurance CompanyArch Capitalinsurance violation2022TX-INS$19,000
Arab Banking Corp.Arab Banking Corp.economic sanction violation2004OFAC$5,500
Aon CorporationAonForeign Corrupt Practices Act2011DOJ_CRIMINAL$1,760,000
Aon CorporationAonForeign Corrupt Practices Act2011SEC$14,545,020
Hewitt Associates LLCAonwage and hour violation2010WHD$48,103
AON Consulting Corporation IncAonwage and hour violation2004WHD$47,131
AonAonwage and hour violation2011private lawsuit-state$10,500,000
Hewitt AssociatesAonwage and hour violation2009private lawsuit-federal$4,900,000
Aon CorporationAonbenefit plan administrator violation2010private lawsuit-federal$1,800,000
Aon Corp.Aonconsumer protection violation2008FL-AG$4,000,000
Aon CorporationAonprice-fixing or anti-competitive practices2005MULTI-AG$190,000,000
AON SERVICE CORPORATIONAonwage and hour violation2017WHD$7,406
Aon Risk Services Inc. of WashingtonAoninsurance violation2002AK-INS$5,000
Aon Risk Services Inc. of PennsylvaniaAoninsurance violation2005MA-INS$19,000
Aon Risk Services NortheastAoninsurance violation2014MA-INS$15,000
AON Risk Services IncAoninsurance violation2004NJ-DBI$10,000
Affinity Insurance Services Inc.Aoninsurance violation2004PA-INS$5,000
Affinity Insurance Services Inc.Aoninsurance violation2006PA-INS$40,000
Aon Risk Services Central Inc.Aoninsurance violation2008PA-INS$5,000
Aon Hewitt Health Market Insurance Solutions, Inc.Aonwage and hour violation2021private lawsuit-federal$1,250,000
Affinity Insurance Services, Inc.Aoninsurance violation2021AK-INS$35,000
Amica Mutual Insurance Co.Amica Mutual Insuranceconsumer protection violation2012MA-AG$837,384
Amica Mutual Insurance Co.Amica Mutual Insuranceinsurance violation2007MA-INS$12,000
Amica Mutual Insurance Co.Amica Mutual Insuranceinsurance violation2016MD-INS$7,500
Amica Mutual Insurance CompanyAmica Mutual Insuranceinsurance violation2018NY-DFS$20,000
Amica Mutual Insurance CompanyAmica Mutual Insuranceinsurance violation2018TX-INS$10,000
AMICA MUTUAL INSURANCE COMPANYAmica Mutual Insuranceinsurance violation2002VA-INS$14,000
Amica Mutual Insurance CompanyAmica Mutual Insuranceinsurance violation2018WA-INS$20,000
Amica Mutual Insurance Co.Amica Mutual Insuranceinsurance violation2020TX-INS$120,000
Amica Mutual Insurance CompanyAmica Mutual Insuranceinsurance violation2022MD-INS$128,790
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2015SEC$200,000
Ameritas Life Insurance CorpAmeritas Mutual Holding Companywage and hour violation2017WHD$9,019
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2019SEC$3,389,174
Ameritas Investment Corp.Ameritas Mutual Holding Companyinsurance violation2019CA-INS$15,000
Ameritas Life Insurance Corp.Ameritas Mutual Holding Companyinsurance violation2019CT-INS$5,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2014IA-INS$10,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2008NE-DBF$11,000
Ameritas Life Insurance Corp.Ameritas Mutual Holding Companyinsurance violation2015NJ-DBI$2,524,290
Ameritas Life Insurance Corp. of New YorkAmeritas Mutual Holding Companyinsurance violation2015NY-DFS$72,975
Ameritas Life Insurance Corp.Ameritas Mutual Holding Companyinsurance violation2006OR-FIN$5,000
Ameritas Investment CorporationAmeritas Mutual Holding Companyinvestor protection violation2003TX-SEC$25,000
AMERITAS LIFE INSURANCE CORPAmeritas Mutual Holding Companyinsurance violation2001VA-INS$9,000
Ameritas Life Insurance CorpAmeritas Mutual Holding Companyinsurance violation2017WA-INS$10,000
Ameritas Life Insurance CorpAmeritas Mutual Holding Companyinsurance violation2019WA-INS$50,000
Ameritas Investment Company LLCAmeritas Mutual Holding Companyinvestor protection violation2020PA-BKG$100,000
Ameritas Life Insurance Corp.Ameritas Mutual Holding Companyinsurance violation2020TN-INS$30,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2015FINRA$278,544
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2009FINRA$100,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2021SD-SEC$20,000
Ameritas Life Insurance Corp. of New YorkAmeritas Mutual Holding Companyinsurance violation2020NY-DFS$84,668
Ameritas Advisory Services, LLCAmeritas Mutual Holding Companyinvestor protection violation2022SEC$4,628,194
Ameritas Life Insurance Corp.Ameritas Mutual Holding Companyinsurance violation2022WA-INS$40,000
Ameritas Investment Co.Ameritas Mutual Holding Companyinvestor protection violation2022NV-SEC$15,000
Amerisave Mortgage Corporation and Novo Appraisal Management CompanyAmeriSave Mortgageconsumer protection violation2014CFPB$19,300,000
Amerisave Mortgage Corp.AmeriSave Mortgageconsumer protection violation2017CA-DFPI$50,000
AmeriSave Mortgage Corp.AmeriSave Mortgageconsumer protection violation2009KY-FIN$18,000
AmeriSave Mortgage Corp.AmeriSave Mortgageconsumer protection violation2019KY-FIN$5,000
AmeriSave Mortgage Corp.AmeriSave Mortgageconsumer protection violation2010MA-BKG$25,000
Amerisave Mortgage CorporationAmeriSave Mortgageconsumer protection violation2009PA-BKG$50,000
Amerisave Mortgage CorporationAmeriSave Mortgageinvestor protection violation2013MULTI-FIN$2,300,000
AmeriSave Mortgage CorporationAmeriSave Mortgageprivacy violation2020private lawsuit-federal$6,250,000
Investment Professionals Inc.Ameriprise Financialinvestor protection violation2014SEC$67,800
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2009SEC$17,300,000
Ameriprise Financial, Inc.Ameriprise Financialinvestor protection violation2005SEC$15,000,000
Ameriprise Financial, Inc.Ameriprise Financialinvestor protection violation2005SEC$30,000,000
Columbia Management Advisors Inc. and Columbia Funds Distributor Inc.Ameriprise Financialinvestor protection violation2005SEC$140,000,000
American Express Financial Advisors Inc.Ameriprise Financialinvestor protection violation2004SEC$3,706,693
Ameriprise Financial, Inc.Ameriprise Financialemployment discrimination2016OFCCP$128,200
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2017SEC$8,750,000
Columbia Management Investment Services Corp.Ameriprise Financialinvestor protection violation2017SEC$250,000
Ameriprise Financial ServicesAmeriprise Financialinvestor protection violation2018SEC$230,000
Ameriprise FinancialAmeriprise Financialwage and hour violation2011private lawsuit-federal$185,000
Ameriprise Financial Services Inc.Ameriprise Financialinvestor protection violation2018SEC$4,500,000
American Express Financial AdvisorsAmeriprise Financialemployment discrimination2002private lawsuit-federal$31,000,000
Ameriprise Financial, Inc.Ameriprise Financialbenefit plan administrator violation2015private lawsuit-federal$27,500,000
American Express Financial Advisors Inc.Ameriprise Financialinvestor protection violation2005NJ-AG$5,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.