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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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Company sort iconCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount
American Family Mutual Insurance Company S.I.American Family Insuranceinsurance violation2015WA-INS$10,000
American Family Mutual Insurance Company S.I.American Family Insuranceinsurance violation2016WA-INS$15,000
American Family Mutual Insurance Company S.I.American Family Insuranceinsurance violation2018WA-INS$10,000
American Family Mutual Insurance Company S.I.American Family Insuranceinsurance violation2022WA-INS$25,000
American Family Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2009ND-INS$5,000
American Family Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2016NE-DOI$15,000
American Family Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2003OR-FIN$10,000
American Family Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2008OR-FIN$6,500
American Family Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2018UT-INS$39,400
American Family Mutual Insurance Co. and American Standard Insurance Co. of WisconsinAmerican Family Insuranceinsurance violation2015MO-INS$472,089
American Family Mutual Insurance Co. and American Family Insurance Co.American Family Insuranceinsurance violation2020MN-FIN$35,000
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2006CO-INS$6,000
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2007CO-INS$5,500
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2016KS-INS$20,000
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2002MN-FIN$5,000
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2002MN-FIN$10,000
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2011MN-FIN$5,000
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2013MN-FIN$5,000
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2014MN-FIN$7,500
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2016MO-INS$7,000
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2022MULTI-FIN$1,950,000
American Family Life Insurance Company of ColumbusAflacinsurance violation2018MULTI-FIN$2,500,000
American Family Life Insurance Company of ColumbusAflacinsurance violation2017MULTI-FIN$350,000
American Family Life Assurance Company of New York (AFLAC)Aflacinsurance violation2018NY-DFS$1,138,368
American Family Life Assurance Company of ColumbusAflacinsurance violation2012MD-INS$200,000
American Family Life Assurance Company of ColumbusAflacinsurance violation2011ME-INS$20,000
American Family Life Assurance Company of ColumbusAflacinsurance violation2006MN-FIN$15,000
American Family Life Assurance Company of ColumbusAflacinsurance violation2013VA-INS$10,000
American Family Life Assurance Company of ColumbusAflacinsurance violation2012MULTI-FIN$1,600,000
American Family Life Assurance Company of ColumbusAflacinsurance violation2020CT-INS$8,500
American Family Life Assurance Company of ColumbusAflacinsurance violation2022MN-FIN$25,000
American Family Life Assurance CompanyAflacinsurance violation2019SD-INS$100,000
American Family Life Assurance Co., known as AflacAflacFamily and Medical Leave Act2012WHD$16,882
AMERICAN FAMILY LIFE ASSURANCEAflacinsurance violation2003VA-INS$7,500
American Family Insurance CompanyAmerican Family Insuranceinsurance violation2018NE-DOI$15,000
AMERICAN FAMILY INSURANCE COMPANYAmerican Family Insuranceinsurance violation2021WA-INS$50,000
American Family Insurance CompanyAmerican Family Insuranceinsurance violation2022WA-INS$25,000
AMERICAN FAMILY INSURANCEAmerican Family Insuranceworkplace safety or health violation2012OSHA$12,500
American Family Home Insurance CompanyMunich Reinsurance violation2015NY-DFS$25,000
American Family Home Insurance Co.Munich Reinsurance violation2011SC-INS$9,800
American Family Connect Property and Casualty Insurance CompanyAmerican Family Insuranceinsurance violation2020AZ-DIFI$50,000
American Family Connect Property And Casualty Insurance CompanyAmerican Family Insuranceinsurance violation2016WA-INS$10,000
American Family Connect Property And Casualty Insurance CompanyAmerican Family Insuranceinsurance violation2019WA-INS$7,500
American Family Connect Insurance CompanyAmerican Family Insuranceinsurance violation2021NY-DFS$23,000
American Family Assurance Company of ColumbusAflacinsurance violation2014ID-INS$30,000
American Express Travel Related Services Company, Inc.American Expresseconomic sanction violation2013OFAC$5,226,120
American Express Travel Related Services Company, Inc.American Expressconsumer protection violation2011NE-DBF$35,000
American Express Travel Related Services CompAmerican ExpressFamily and Medical Leave Act2004WHD$26,722
American Express Travel Related Services Co., Inc.American Expresseconomic sanction violation2007OFAC$16,625
American Express Travel Related Services Co.American Expresswage and hour violation2021WHD$5,663
American Express Travel Related Services Co, Inc.American Expressconsumer protection violation2015FL-OFR$9,000
American Express Prepaid Card Management Corp.American Expressconsumer protection violation2010AR-SEC$20,000
American Express National BankAmerican Expresseconomic sanction violation2022OFAC$430,500
American Express Financial Advisors, Inc.Ameriprise Financialinvestor protection violation2002MN-FIN$5,000
American Express Financial Advisors, Inc.Ameriprise Financialinvestor protection violation2005MN-FIN$2,000,000
American Express Financial Advisors, Inc.Ameriprise Financialinvestor protection violation2004FINRA$300,000
American Express Financial Advisors Inc.Ameriprise Financialinvestor protection violation2004SEC$3,706,693
American Express Financial Advisors Inc.Ameriprise Financialinvestor protection violation2005NJ-AG$5,000,000
American Express Financial Advisors Inc.Ameriprise Financialinvestor protection violation2005NH-BSR$7,375,000
American Express Financial Advisors Inc.Ameriprise Financialinvestor protection violation2000TX-SEC$9,000
American Express Financial Advisors Inc.Ameriprise Financialinvestor protection violation2004FINRA$700,000
American Express Financial Advisors Inc.Ameriprise Financialinvestor protection violation2002FINRA$350,000
American Express Financial AdvisorsAmeriprise Financialemployment discrimination2002private lawsuit-federal$31,000,000
American Express Financial AdvisorsAmeriprise Financialinvestor protection violation2000AZ-CC$125,000
American Express Financial AdvisorsAmeriprise Financialinvestor protection violation2005FINRA$13,000,000
AMERICAN EXPRESS COMPANYAmerican Expressbanking violation2012FED$9,000,000
American Express CompanyAmerican Expresseconomic sanction violation2004OFAC$5,500
American Express CompanyAmerican Expressemployment discrimination2022DOJ_RIGHTS$29,008
American Express Co.American Expressconsumer protection violation2003NY-AG$3,285,000
American Express Centurion BankAmerican Expressbanking violation2013FDIC$3,600,000
American Express Centurion BankAmerican Expressbanking violation2012FDIC$3,900,000
American Express Centurion BankAmerican Expressbanking violation2009FDIC$250,000
American Express Centurion BankAmerican Expresstax violations2012CT-AG$14,970
American Express Bank, FSBAmerican Expressbanking violation2013OCC$7,500,000
American Express Bank, FSBAmerican Expressbanking violation2012OCC$6,500,000
American Express Bank Ltd.American Expresseconomic sanction violation2004OFAC$5,041
American Express Bank InternationalAmerican Expressanti-money-laundering deficiencies2007DOJ_CRIMINAL$55,000,000
American ExpressAmerican Expressconsumer protection violation2013CFPB$69,100,000
American ExpressAmerican Expressconsumer protection violation2012CFPB$99,100,000
American ExpressAmerican Expresseconomic sanction violation2004OFAC$18,391
American ExpressAmerican Expressconsumer protection violation2017CFPB$96,000,000
American ExpressAmerican Expresseconomic sanction violation2017OFAC$204,277
AMERICAN ECONOMY INSURANCE COMPANY ET AL.Liberty Mutual Insuranceinsurance violation2020WA-INS$10,000
American Economy Insurance CompanyLiberty Mutual Insuranceinsurance violation2009VA-INS$8,000
AMERICAN ECONOMY INSURANCE COMPANYLiberty Mutual Insuranceinsurance violation2020WA-INS$6,000
American Economy Insurance Co. et al.Liberty Mutual Insuranceinsurance violation2011VA-INS$12,000
American Economy Insurance Co.Liberty Mutual Insuranceinsurance violation2012VA-INS$5,000
American Contractors Indemnity Co.Tokio Marineinsurance violation2007CA-INS$170,000
AMERICAN BANKERS LIFE ASSURANCE OF FLORIDAAssurantinsurance violation2001VA-INS$15,000
American Bankers Life Assurance Company of Florida et al.Assurantinsurance violation2008CA-INS$750,000
American Bankers Life Assurance Company of FloridaAssurantinsurance violation2011IL-INS$15,000
American Bankers Life Assurance Company of FloridaAssurantinsurance violation2003MN-FIN$100,000
American Bankers Life Assurance Company of FloridaAssurantinsurance violation2018MO-INS$37,500
AMERICAN BANKERS LIFEAssurantinsurance violation2007VA-INS$97,000
American Bankers Insurance Group Inc.Assurantinsurance violation2001MULTI-FIN$3,000,000
American Bankers Insurance Company of Florida et al.Assurantinsurance violation2004CA-INS$150,000
American Bankers Insurance Company of Florida et al.Assurantinsurance violation2005CA-INS$250,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2011AZ-DIFI$36,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2020CT-INS$198,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2007IN-INS$87,500
American Bankers Insurance Company of FloridaAssurantinsurance violation2001MA-INS$65,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.