Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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$87,286,650,890328
JPMorgan Chase$39,340,688,209275
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,780,502,443203
BNP Paribas$10,363,464,66623

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
Assurant, Inc.Assurantinsurance violation2013NY-DFS$14,000,000
Virginia Surety Company, Inc.Assurantinsurance violation2015NY-DFS$10,000
Fortis Insurance CompanyAssurantinsurance violation2002OR-FIN$42,500
American Bankers Insurance Company of FloridaAssurantinsurance violation2002OR-FIN$30,000
Fortis Insurance CompanyAssurantinsurance violation2003OR-FIN$20,000
John Alden Life Insurance CompanyAssurantinsurance violation2007OR-FIN$10,000
Virginia Surety Company, Inc.Assurantinsurance violation2007OR-FIN$6,100
Virginia Surety Company, Inc.Assurantinsurance violation2008OR-FIN$25,000
Virginia Surety Company, Inc.Assurantinsurance violation2009OR-FIN$10,000
Union Security Insurance CompanyAssurantinsurance violation2015SD-INS$7,500
American Memorial Life Insurance CompanyAssurantinsurance violation2016SD-INS$5,000
Union Security Insurance CompanyAssurantinsurance violation2016SD-INS$35,000
Virginia Surety Company, Inc.Assurantinsurance violation2008TX-INS$7,000
Virginia Surety Company Inc.Assurantinsurance violation2011TX-INS$200,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2017TX-INS$35,000
AMERICAN BANKERS LIFE ASSURANCE OF FLORIDAAssurantinsurance violation2001VA-INS$15,000
FORTIS INSURANCE COMPANYAssurantinsurance violation2001VA-INS$57,000
FORTIS INSURANCE CO., ET AL.Assurantinsurance violation2002VA-INS$27,000
RESOURCE LIFE INSURANCE CO.Assurantinsurance violation2006VA-INS$18,000
AMERICAN BANKERS INSURANCEAssurantinsurance violation2006VA-INS$45,000
AMERICAN SECURITY INSURANCE COAssurantinsurance violation2006VA-INS$45,000
STANDARD GUARANTY INSURANCE COAssurantinsurance violation2006VA-INS$45,000
AMERICAN BANKERS LIFEAssurantinsurance violation2007VA-INS$97,000
UNION SECURITY LIFE INSURANCEAssurantinsurance violation2007VA-INS$27,000
Virginia Surety Company IncAssurantinsurance violation2010WA-INS$12,000
American Bankers Insurance Company Of FloridaAssurantinsurance violation2011WA-INS$170,000
American Bankers Insurance Group Inc.Assurantinsurance violation2001MULTI-FIN$3,000,000
Assurant Inc.Assurantinsurance violation2016MULTI-FIN$80,217,000
Virginia Surety Company Inc.Assurantinsurance violation2013MULTI-FIN$200,000
The Signal, LP, an Assurant CompanyAssurantinsurance violation2020NY-DFS$2,800,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2021OR-FIN$20,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2021TX-INS$45,000
American Memorial Life Insurance CompanyAssurantinsurance violation2021WA-INS$20,000
Union Security Life Insurance Company of New YorkAssurantinsurance violation2021NY-DFS$20,000
Assurant Inc.Assurantconsumer protection violation2017private lawsuit-federal$3,350,000
Assurant Inc.Assurantconsumer protection violation2016private lawsuit-federal$14,050,000
Assurant Inc.Assurantconsumer protection violation2015private lawsuit-federal$900,000
Assurant Inc.Assurantconsumer protection violation2015private lawsuit-federal$70,000,000
Assurant Inc.Assurantconsumer protection violation2014private lawsuit-federal$140,500,000
Assurant Inc.Assurantconsumer protection violation2014private lawsuit-federal$16,000,000
American Memorial Life Insurance CompanyAssurantinsurance violation2023SD-INS$5,000
Associated Bank, National AssociationAssociated Banc-Corpbanking violation2014OCC$500,000
Associated Bank, National AssociationAssociated Banc-Corpbanking violation2007OCC$125,000
Associated Bank, N.A.Associated Banc-Corpdiscriminatory practices (non-employment)2015HUD$200,000,000
Associated Banc-CorpAssociated Banc-Corpwage and hour violation2012private lawsuit-federal$1,275,000
Associated Bank N.A.Associated Banc-Corpconsumer protection violation2013private lawsuit-federal$13,000,000
Generali U.S. BranchAssicurazioni Generaliinsurance violation2017MULTI-FIN$492,000
Generali - U.S. Branch dba The General Insurance Company of Trieste & VeniceAssicurazioni Generaliinsurance violation2021OR-FIN$10,000
Arthur J. GallagherArthur J. Gallagher & Co.wage and hour violation2011private lawsuit-federal$3,900,000
Arthur J. Gallagher & Co.Arthur J. Gallagher & Co.consumer protection violation2005IL-AG$27,000,000
Buck Consultants, Inc.Arthur J. Gallagher & Co.insurance violation2002MT-FIN$9,000
Gallagher Benefit Services, Inc.Arthur J. Gallagher & Co.insurance violation2014NJ-DBI$5,000
Arthur J. Gallagher Risk Management Services, Inc.Arthur J. Gallagher & Co.insurance violation2018TX-INS$6,300
Arthur J. Gallagher Risk Management Services, Inc.Arthur J. Gallagher & Co.insurance violation2020TX-INS$7,025
Arthur J. Gallagher Risk Management Services, Inc.Arthur J. Gallagher & Co.insurance violation2020TX-INS$9,675
Arthur J. Gallagher Risk Management Services, Inc.Arthur J. Gallagher & Co.insurance violation2020NY-DFS$300,800
Arthur J. Gallagher Risk Management Services, Inc.Arthur J. Gallagher & Co.insurance violation2020NY-DFS$39,750
Arthur J. Gallagher & Co.Arthur J. Gallagher & Co.employment discrimination2021EEOC$40,000
Arthur J. Gallagher Risk Management Services, Inc.Arthur J. Gallagher & Co.insurance violation2022TX-INS$10,950
Arthur J. Gallagher & Co.Arthur J. Gallagher & Co.price-fixing or anti-competitive practices2007private lawsuit-federal$28,000,000
Arthur J. Gallagher & Co. Insurance Brokers of California, Inc.Arthur J. Gallagher & Co.insurance violation2023NY-DFS$49,850
Arthur J Gallagher & Co. Insurance Brokers of California Inc.Arthur J. Gallagher & Co.insurance violation2023NY-DFS$45,300
Arthur J. Gallagher Risk Management Services, LLCArthur J. Gallagher & Co.insurance violation2023TX-INS$11,875
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-FIN$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
Arch Insurance CompanyArch Capitalinsurance violation2022TX-INS$11,000
Arch Insurance CompanyArch Capitalinsurance violation2022TX-INS$22,000
Arch Insurance CompanyArch Capitalinsurance violation2022CT-INS$6,500
Arch Insurance CompanyArch Capitalinsurance violation2023TX-INS$10,000
Arch Indemnity Insurance CompanyArch Capitalinsurance violation2023TX-INS$8,500
Arch Indemnity Insurance CompanyArch Capitalinsurance violation2023TX-INS$11,000
Arch Insurance CompanyArch Capitalinsurance violation2023TX-INS$25,000
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
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.