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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 Parent sort iconPrimary Offense TypeYearAgencyPenalty Amount
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2010TX-INS$175,000
Commerce and Industry Insurance CompanyAmerican International Groupinsurance violation2010TX-INS$60,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2010TX-INS$40,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2011TX-INS$5,000
Illinois National Insurance CompanyAmerican International Groupinsurance violation2012TX-INS$8,900
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2012TX-INS$16,000
American Home Assurance Co.American International Groupinsurance violation2012TX-INS$20,784
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2012TX-INS$18,096
Illinois National Insurance CompanyAmerican International Groupinsurance violation2012TX-INS$5,856
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2012TX-INS$16,000
American Home Assurance CompanyAmerican International Groupinsurance violation2013TX-INS$5,500
Commerce and Industry Insurance CompanyAmerican International Groupinsurance violation2014TX-INS$5,800
Illinois National Insurance CompanyAmerican International Groupinsurance violation2014TX-INS$12,774
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2014TX-INS$29,981
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2014TX-INS$8,397
American Home Assurance CompanyAmerican International Groupinsurance violation2014TX-INS$7,848
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2014TX-INS$6,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2014TX-INS$89,000
Illinois National Insurance CompanyAmerican International Groupinsurance violation2015TX-INS$8,000
AIG Property Casualty CompanyAmerican International Groupinsurance violation2015TX-INS$8,500
Commerce and Industry Insurance CompanyAmerican International Groupinsurance violation2015TX-INS$34,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2015TX-INS$19,500
American Home Assurance CompanyAmerican International Groupinsurance violation2015TX-INS$90,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2015TX-INS$34,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2015TX-INS$7,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2015TX-INS$8,500
Commerce and Industry Insurance CompanyAmerican International Groupinsurance violation2015TX-INS$15,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2016TX-INS$12,500
American Home Assurance CompanyAmerican International Groupinsurance violation2016TX-INS$20,000
Commerce and Industry Insurance CompanyAmerican International Groupinsurance violation2016TX-INS$12,500
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2016TX-INS$18,000
Granite State Insurance CompanyAmerican International Groupinsurance violation2016TX-INS$10,200
Illinois National Insurance CoAmerican International Groupinsurance violation2016TX-INS$24,250
AIG Assurance CompanyAmerican International Groupinsurance violation2016TX-INS$51,750
AIG Property Casualty CompanyAmerican International Groupinsurance violation2016TX-INS$55,800
AIU Insurance CompanyAmerican International Groupinsurance violation2016TX-INS$27,180
American Home Assurance CompanyAmerican International Groupinsurance violation2016TX-INS$9,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2016TX-INS$6,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2017TX-INS$5,000
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2017TX-INS$44,000
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2017TX-INS$5,300
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2017TX-INS$38,000
Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2018TX-INS$8,500
Granite State Insurance CompanyAmerican International Groupinsurance violation2018TX-INS$22,000
Commerce and Industry Insurance CompanyAmerican International Groupinsurance violation2018TX-INS$20,000
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2018TX-INS$8,400
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2019TX-INS$7,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2019TX-INS$30,000
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2019TX-INS$9,000
AMERICAN GENERAL LIFEAmerican International Groupinsurance violation2001VA-INS$14,000
SUNAMERICA SECURITIES, INC.American International Groupinvestor protection violation2006VA-SEC$10,000
AMERICAN HOME ASSURANCE ET AL.American International Groupinsurance violation2007VA-INS$5,000
AIU INSURANCE COMPANY ET AL.American International Groupinsurance violation2008VA-INS$100,000
AIG CASUALTY INSURANCE CO., ET AL.American International Groupinsurance violation2008VA-INS$10,000
NATIONAL UNION FIRE INSURANCEAmerican International Groupinsurance violation2011VA-INS$40,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2011VA-INS$10,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2011VA-INS$10,000
GRANITE STATE INSURANCE CO.American International Groupinsurance violation2012VA-INS$19,560
COMMERCE & INDUSTRY INSURANCEAmerican International Groupinsurance violation2012VA-INS$44,518
AIU INSURANCE COMPANYAmerican International Groupinsurance violation2012VA-INS$31,900
AMERICAN HOME ASSURANCE CO.American International Groupinsurance violation2012VA-INS$15,000
NATIONAL UNION FIRE INSURANCEAmerican International Groupinsurance violation2014VA-INS$8,000
GRANITE STATE INSURANCE CO.American International Groupinsurance violation2018VA-INS$152,318
National Union Fire Insurance Company of Pittsburgh, PennsylvaniaAmerican International Groupinsurance violation2019VA-INS$28,806
National Union Fire Insurance Company Of Pittsburgh, PaAmerican International Groupinsurance violation2010WA-INS$100,000
National Union Fire Insurance Company Of Pittsburgh, PaAmerican International Groupinsurance violation2010WA-INS$40,000
National Union Fire Insurance Company Of Pittsburgh, PaAmerican International Groupinsurance violation2010WA-INS$55,000
National Union Fire Insurance Company Of Pittsburgh, PaAmerican International Groupinsurance violation2015WA-INS$300,000
National Union Fire Insurance Company Of Pittsburgh, PaAmerican International Groupinsurance violation2015WA-INS$110,000
National Union Fire Insurance Company Of Pittsburgh, PaAmerican International Groupinsurance violation2015WA-INS$200,000
AIG Assurance Company et al.American International Groupinsurance violation2017WA-INS$25,000
American General Life Insurance CompanyAmerican International Groupinsurance violation2020WA-INS$10,000
AIG Warranty Guard, Inc.American International Groupinsurance violation2000WI-INS$100,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2000WI-INS$15,000
AIG Warranty Guard, Inc.American International Groupinsurance violation2003WI-INS$50,000
National Union Fire Ins Co. of PittsburghAmerican International Groupinsurance violation2003WI-INS$10,000
National Union Fire Ins Co. of PittsburghAmerican International Groupinsurance violation2003WI-INS$5,000
National Union Fire Ins Co. of PittsburghAmerican International Groupinsurance violation2003WI-INS$10,000
American General Life Insurance Company of DelawareAmerican International Groupinsurance violation2012WI-INS$40,000
American GeneralAmerican International Groupinsurance violation2000MULTI-FIN$7,500,000
American International GroupAmerican International Groupinsurance violation2010MULTI-FIN$146,500,000
American International GroupAmerican International Groupinsurance violation2012MULTI-FIN$11,000,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2012MULTI-FIN$39,000,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2020CT-INS$106,000
VALIC Financial Advisors Inc.American International Groupinvestor protection violation2020SEC$39,900,000
New Hampshire Insurance Co.American International Groupinsurance violation2020TX-INS$7,000
New Hampshire Insurance Co.American International Groupinsurance violation2020TX-INS$16,500
New Hampshire Insurance Co.American International Groupinsurance violation2020TX-INS$9,500
New Hampshire Insurance Co.American International Groupinsurance violation2020TX-INS$5,500
National Union Fire Insurance Company of Pittsburgh, PA. et al.American International Groupinsurance violation2020WA-INS$20,000
American General Life InsuranceAmerican International Groupdiscriminatory practices (non-employment)2000private lawsuit-federal$214,000,000
AIG Property Casualty CompanyAmerican International Groupinsurance violation2020NY-DFS$583,900
NEW HAMPSHIRE INSURANCE COMPANYAmerican International Groupinsurance violation2020WA-INS$15,000
American International GroupAmerican International Groupinsurance violation2021NY-DFS$12,000,000
VALIC Financial Advisors, Inc.American International Groupinvestor protection violation2016FINRA$1,750,000
SunAmerica Securities, Inc.American International Groupinvestor protection violation2009FINRA$300,000
SunAmerica Securities, Inc.American International Groupinvestor protection violation2005FINRA$2,500,000
SunAmerica Securities, Inc.American International Groupinvestor protection violation2004FINRA$100,000
American General Life Insurance CompanyAmerican International Groupinsurance violation2020CT-INS$10,000
National Union Fire Insurance Company of Pittsburgh, PaAmerican International Groupinsurance violation2021KS-INS$5,000
New Hampshire Insurance Co.American International Groupinsurance violation2021TX-INS$6,200
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.