Basic Search  |  Summaries  |  Advanced Search

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent Parent sort iconPrimary Offense TypeYearAgencyPenalty Amount
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
New Hampshire Insurance Co.American International Groupinsurance violation2021TX-INS$7,500
Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2021TX-INS$9,000
New Hampshire Insurance Co.American International Groupinsurance violation2021TX-INS$15,000
New Hampshire Insurance Co.American International Groupinsurance violation2021TX-INS$6,000
American General Life Insurance CompanyAmerican International Groupinsurance violation2021DE-INS$106,000
National Union Fire Insurance Company of Pittsburgh, PaAmerican International Groupinsurance violation2021LA-INS$9,000
American General Life Insurance CompanyAmerican International Groupinsurance violation2021MD-INS$32,250
American General Life Insurance CompanyAmerican International Groupinsurance violation2021WA-INS$10,000
Variable Annuity Life Insurance CompanyAmerican International Groupinsurance violation2021NY-DFS$230,820
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2022TX-INS$10,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2021TX-INS$5,500
National Union Fire Insurance Company of Pittsburgh, PA. et al.American International Groupinsurance violation2021NY-DFS$50,000
New Hampshire Insurance Co.American International Groupinsurance violation2022AK-INS$7,500
American General Life Insurance Co.American International Groupinsurance violation2022MO-INS$117,300
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2022NY-DFS$477,600
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$6,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$30,000
AMERICAN INTERNATIONAL GROUPAmerican International Groupworkplace safety or health violation2003OSHA$5,900
Brothers Property CorporationAmerican Financial Groupwage and hour violation2006WHD$29,273
Great American Insurance Co.American Financial Groupinsurance violation2009MA-AG$176,000
Great American Financial Resources, Inc.American Financial Groupwage and hour violation2019private lawsuit-federal$1,250,000
GREAT AMERICAN ALLIANCE INSURANCE COMPANYAmerican Financial Groupinsurance violation2001FL-OFR$5,500
GREAT AMERICAN ASSURANCE COMPANYAmerican Financial Groupinsurance violation2001FL-OFR$12,500
Great American Insurance Co.American Financial Groupinsurance violation2017KS-INS$13,000
National Interstate Insurance Co.American Financial Groupinsurance violation2011MO-INS$43,000
Great American Alliance Insurance Co.American Financial Groupinsurance violation2014MO-INS$33,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.