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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$347,398,347,522
Number of Records: 7,169
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$36,129,286,132223
Wells Fargo$25,781,458,643230
Citigroup$25,740,655,365159
Deutsche Bank$18,541,562,80279
UBS$17,082,743,334106
Goldman Sachs$16,603,475,84890
NatWest Group PLC$13,515,546,85731
Credit Suisse$11,427,400,12652
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 icon . Primary Offense TypeYearAgencyPenalty Amount
American ExpressAmerican Expressconsumer protection violation2012CFPB$99,100,000
American Express Centurion BankAmerican Expressbanking violation2013FDIC$3,600,000
American Express Centurion BankAmerican Expressbanking violation2012FDIC$3,900,000
American Express Bank, FSBAmerican Expressbanking violation2013OCC$7,500,000
American Express Bank, FSBAmerican Expressbanking violation2012OCC$6,500,000
AMERICAN EXPRESS COMPANYAmerican Expressbanking violation2012FED$9,000,000
American Express Centurion BankAmerican Expressbanking violation2009FDIC$250,000
American Express Bank InternationalAmerican Expressanti-money-laundering deficiencies2007DOJ_CRIMINAL$55,000,000
American Express Travel Related Services Co., Inc.American Expresseconomic sanction violation2007OFAC$16,625
American ExpressAmerican Expresseconomic sanction violation2004OFAC$18,391
American Express Bank Ltd.American Expresseconomic sanction violation2004OFAC$5,041
American Express CompanyAmerican Expresseconomic sanction violation2004OFAC$5,500
American Express Travel Related Services CompAmerican ExpressFamily and Medical Leave Act2004WHD$26,722
American ExpressAmerican Expressconsumer protection violation2017CFPB$96,000,000
American ExpressAmerican Expresseconomic sanction violation2017OFAC$204,277
American Express Centurion BankAmerican Expresstax violations2012CT-AG$14,970
American Express Co.American Expressconsumer protection violation2003NY-AG$3,285,000
American Express Travel Related Services Company, Inc.American Expresseconomic sanction violation2013OFAC$5,226,120
American Express Prepaid Card Management Corp.American Expressconsumer protection violation2010AR-SEC$20,000
Amex Assurance Co.American Expressinsurance violation2006CA-INS$170,000
Amex Assurance Co.American Expressinsurance violation2005FL-OFR$12,500
Amex Assurance Co.American Expressinsurance violation2008FL-OFR$8,000
American Express Travel Related Services Co, Inc.American Expressconsumer protection violation2015FL-OFR$9,000
AMEX Assurance Co.American Expressinsurance violation2011MD-INS$10,000
American Express Travel Related Services Company, Inc.American Expressconsumer protection violation2011NE-DBF$35,000
AMEX Assurance CompanyAmerican Expressinsurance violation2009OR-FIN$25,000
AMEX ASSURANCE CO.American Expressinsurance violation2007VA-INS$26,400
American Express Travel Related Services Co.American Expresswage and hour violation2021WHD$5,663
American Express CompanyAmerican Expressemployment discrimination2022DOJ_RIGHTS$29,008
American Express National BankAmerican Expresseconomic sanction violation2022OFAC$430,500
Ambac Financial Group et al.Ambac Financialtoxic securities abuses2013USAO$101,900,000
Ambac Financial Group, Inc.Ambac Financialbenefit plan administrator violation2012private lawsuit-federal$2,550,000
Nationwide Credit, Inc.Altisource Portfolio Solutionswage and hour violation2005WHD$68,433
Ally Financial Inc. and Ally BankAlly Financialconsumer protection violation2013CFPB$98,000,000
Ally Financial Inc.Ally Financialbanking violation2012FED$207,000,000
Ally Financial Inc. (formerly GMAC)Ally Financialmortgage abuses2012DOJ$309,600,000
Ally Financial Inc.Ally Financialtoxic securities abuses2016USAO$52,000,000
GMAC MortgageAlly Financialwage and hour violation2014private lawsuit-federal$2,000,000
Ally Financial ServicesAlly Financialwage and hour violation2019WHD$198,311
Ally FinancialAlly Financialmortgage abuses2012MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $109,628,425
GMAC BankAlly Financialconsumer protection violation2008NY-AG$200,000
Ally Financial IncAlly Financialwage and hour violation2017WHD$34,169
Ally Financial, LLCAlly Financialwage and hour violation2017WHD$164,143
GMAC Mortgage, LLC dba DitechAlly Financialconsumer protection violation2011AZ-DIFI$7,500
GMAC Mortgage, LLCAlly Financialconsumer protection violation2011AZ-DIFI$7,500
GMAC Mortgage, LLCAlly Financialconsumer protection violation2010IL-BKG$50,000
GMAC Mortgage, LLC dba DitechAlly Financialconsumer protection violation2013IL-BKG$15,000
GMAC Mortgage LLC dba DitechAlly Financialconsumer protection violation2010PA-BKG$43,000
General Motors Acceptance Corp.Ally Financialdiscriminatory practices (non-employment)2004private lawsuit-federal$9,600,000
GMAC Mortgage, LLCAlly Financialenvironmental violation2010AL-ENV$5,505
GM ACCEPTANCE CORP TRUCK & BUS GRPAlly Financialenvironmental violation2006IN-ENV$57,750
GMAC Mortgage Group, Inc.Ally FinancialWARN Act violation2006private lawsuit-federal$135,000
Allstate Insurance CompanyAllstateemployment discrimination2009EEOC$4,500,000
Allstate InsuranceAllstatewage and hour violation2017private lawsuit-state$2,000,000
Allstate InsuranceAllstatewage and hour violation2005private lawsuit-state$120,000,000
Allstate Insurance CompanyAllstatewage and hour violation2018private lawsuit-state$5,500,000
AllstateAllstateconsumer protection violation2003TX-AG$3,440,000
Allstate Company, Inc.Allstatewage and hour violation2007MA-AG$125,000
Allstate Insurance Co.Allstateprivacy violation2003PA-AG$10,000
American Heritage Life Insurance Co.Allstateconsumer protection violation2007TX-AG$1,700,000
Encompass Insurance Co.Allstateconsumer protection violation2015MA-AG$25,000
Encompass Insurance Company of MassachusettsAllstateconsumer protection violation2012MA-AG$1,972,635
Allstate Insurance Co.Allstateinsurance violation2016CA-MULTI$600,000
Encompass Indemnity Co. and Encompass Insurance Company of AmericaAllstateinsurance violation2019AR-INS$40,000
Allstate Insurance Co.Allstateinsurance violation2005CA-INS$34,000,000
Allstate Insurance Co.Allstateinsurance violation2005CO-INS$10,500
Esurance Insurance Co.Allstateinsurance violation2010CO-INS$154,500
National General Insurance Co.Allstateinsurance violation2019CT-INS$167,500
Allstate Indemnity Co.Allstateinsurance violation2020CT-INS$7,500
Allstate Insurance Co.Allstateinsurance violation2011DE-INS$25,000
Allstate Insurance Co. et al.Allstateinsurance violation2019DE-INS$12,500
American Heritage Life Insurance Co.Allstateinsurance violation2000FL-OFR$12,750
Allstate Financial Services, LLCAllstateinvestor protection violation2002FL-OFR$21,300
American Heritage Life Insurance Co.Allstateinsurance violation2011FL-OFR$28,000
Allstate Insurance CompanyAllstateinsurance violation2003IN-INS$12,220
Allstate Fire and Casualty Co.Allstateinsurance violation2014KS-INS$10,000
Allstate Life Insurance CompanyAllstateinsurance violation2004MA-INS$25,000
Allstate Indemnity Co. et al.Allstateinsurance violation2010MD-INS$10,000
National General Assurance Co.Allstateinsurance violation2011MD-INS$50,000
Allstate Insurance Co. and Allstate Indemnity Co.Allstateinsurance violation2011MD-INS$40,000
Allstate Insurance Co. and Allstate Indemnity Co.Allstateinsurance violation2011MD-INS$40,000
Allstate Insurance Co.Allstateinsurance violation2013MD-INS$17,954
Allstate Indemnity Co. et al.Allstateinsurance violation2013MD-INS$18,000
Allstate Indemnity Co.Allstateinsurance violation2014MD-INS$5,000
Encompass Home and Auto Insurance Co.Allstateinsurance violation2014MD-INS$7,500
Allstate Insurance Co.Allstateinsurance violation2015MD-INS$5,000
Allstate Insurance Co.Allstateinsurance violation2017MD-INS$18,000
Allstate Indemnity Co.Allstateinsurance violation2017MD-INS$25,000
Allstate Insurance Co.Allstateinsurance violation2018MD-INS$32,500
Allstate Insurance Co.Allstateinsurance violation2001MN-FIN$10,000
Allstate Indemnity Insurance Co.Allstateinsurance violation2010MN-FIN$9,000
Allstate Insurance Co.Allstateinsurance violation2012MN-FIN$5,000
Allstate Insurance Co.Allstateinsurance violation2014MN-FIN$10,000
Esurance Property and Casualty Insurance Co.Allstateinsurance violation2015MN-FIN$60,000
Allstate Insurance Co.Allstateinsurance violation2016MN-FIN$5,000
Esurance Property and Casualty Co. and Esurance Insurance Co.Allstateinsurance violation2019MN-FIN$35,000
Allstate Insurance Co. and Encompass Indemnity Co. et al.Allstateinsurance violation2019MN-FIN$75,000
Allstate Insurance Co.Allstateinsurance violation2006MO-INS$60,000
Allstate Insurance Co. et al.Allstateinsurance violation2008MO-INS$9,483
National General Insurance Co.Allstateinsurance violation2012MO-INS$5,000
Allstate Fire and Casualty Insurance Co. et al.Allstateinsurance violation2017MT-INS$10,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.