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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 ParentPrimary Offense TypeYear sort icon . AgencyPenalty Amount
USAA Casualty Insurance and United Services Auto AssociationUSAAinsurance violation2003NJ-DBI$6,200,000
Horizon Healthcare of New Jersey Inc.Horizon Healthcare Servicesinsurance violation2003NJ-DBI$200,000
American Family Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2003OR-FIN$10,000
Conseco Life Insurance CompanyCNO Financialinsurance violation2003OR-FIN$8,300
Fortis Insurance CompanyAssurantinsurance violation2003OR-FIN$20,000
Dairyland Insurance CompanySentry Insuranceinsurance violation2003SC-INS$5,000
Ameritas Investment CorporationAmeritas Mutual Holding Companyinvestor protection violation2003TX-SEC$25,000
AMERICAN FAMILY LIFE ASSURANCEAflacinsurance violation2003VA-INS$7,500
UNUM LIFE INSURANCE COMPANYUnuminsurance violation2003VA-INS$14,000
NATIONWIDE MUTUAL INSURANCE CO ET ALNationwideinsurance violation2003VA-INS$64,080
PEERLESS INSURANCE COMPANYLiberty Mutual Insuranceinsurance violation2003VA-INS$28,100
ERIE INSURANCE EXCHANGEErie Indemnityinsurance violation2003VA-INS$6,200
FIDELITY & GUARANTY LIFE INSURANCEFidelity National Financialinsurance violation2003VA-INS$20,000
VICTORIA FIRE & CASUALTY ET ALNationwideinsurance violation2003VA-INS$29,000
THE CINCINNATI INSURANCE CO. ET AL.Cincinnati Financialinsurance violation2003VA-INS$30,000
JEFFERSON PILOT SECURITIESLincoln Nationalinvestor protection violation2003VA-SEC$26,500
PRINCIPAL LIFE INSURANCE COPrincipal Financialinsurance violation2003VA-INS$10,000
ALLSTATE INSURANCE & ALLSTATE INDEMNITY COAllstateinsurance violation2003VA-INS$31,300
FARMERS INSURANCE EXCHANGEFarmers Insurance Exchangeinsurance violation2003VA-INS$42,000
ALLSTATE INSURANCE CO., ET AL.Allstateinsurance violation2003VA-INS$50,000
Group Hospitalization and Medical Services, Inc.CareFirst of Marylandinsurance violation2003VA-INS$15,000
MASSACHUSETTS MUTUAL LIFE INSURANCEMassachusetts Mutual Life Insuranceinsurance violation2003VA-INS$15,000
UNITED AMERICAN INSURANCE CO.Globe Life Inc.insurance violation2003VA-INS$15,000
Insurance Company of North AmericaChubb Limitedinsurance violation2003WA-INS$500,000
Allstate Financial Services, Inc.Allstateconsumer protection violation2003WA-FIN$58,988
AIG Warranty Guard, Inc.American International Groupinsurance violation2003WI-INS$50,000
General Casualty Company of WisconsinQBE Insuranceinsurance violation2003WI-INS$6,500
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
Regent Insurance Co.QBE Insuranceinsurance violation2003WI-INS$8,500
Hartford Insurance Company of the MidwestHartford Financial Servicesinsurance violation2003WI-INS$6,500
Foremost Insurance Co.Zurich Insuranceinsurance violation2003WI-INS$8,500
Bear, Stearns & Co. Inc.JPMorgan Chaseinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $150,000,000
Credit Suisse First Boston LLCCredit Suisseinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $75,000,000
Goldman Sachs & Co.Goldman Sachsinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
J.P. Morgan Securities Inc.JPMorgan Chaseinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
Monumental Life Insurance CompanyAegoninsurance violation2003MULTI-FIN$37,000,000
Morgan Stanley & Co.Morgan Stanleyinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $12,500,000
UBS Warburg and UBS PaineWebberUBSinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
SYNAGRO CTL LLCGoldman Sachsenvironmental violation2003PA-ENV$15,000
Wheelabrator Putnam IncorporatedMacquarieenvironmental violation2003CT-ENV$33,500
WHEELABRATOR BALTIMOREMacquarieenvironmental violation2003MD-ENV$17,500
Imperial Sugar CompanyLouis Dreyfusenvironmental violation2003TX-ENV$6,800
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2003FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2003FINRA$2,000,000
J.P. Morgan Securities, Inc.JPMorgan Chaseinvestor protection violation2003FINRA$6,000,000
Transamerica OccidentalAegonenvironmental violation2003CA-SCAQMD$5,438
AMERICAN INTERNATIONAL GROUPAmerican International Groupworkplace safety or health violation2003OSHA$5,900
BANK OF AMERICABank of Americaworkplace safety or health violation2003OSHA$5,000
Prudential Securities, Inc.Wells Fargodata submission deficiencies2002CFTC$65,000
THE COLUMBIA BANKFulton Financialbanking violation2002FDIC$7,000
Citigroup Inc.Citigroupconsumer protection violation2002FTC$215,000,000
General American Life Insurance Company, Inc.MetLifeFalse Claims Act and related2002DOJ_CIVIL$76,000,000
Bank of ChinaBank of Chinabanking violation2002OCC$10,000,000
Deutsche Bank Securities Inc.Deutsche Bankdata submission deficiencies2002SEC$1,650,000
Goldman, Sachs & Co.Goldman Sachsdata submission deficiencies2002SEC$1,650,000
Morgan Stanley & Co. IncorporatedMorgan Stanleydata submission deficiencies2002SEC$1,650,000
Salomon Smith Barney Inc.Morgan Stanleydata submission deficiencies2002SEC$1,650,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerdata submission deficiencies2002SEC$1,650,000
Credit Suisse First Boston CorporationCredit Suisseinvestor protection violation2002SEC$100,000,000
R.R. Donnelley & SonsChatham Asset Managementemployment discrimination2002EEOC$150,000
Conseco Finance Servicing Corp.CNO Financialwage and hour violation2002WHD$145,512
MetLife Financial ServicesMetLifelabor relations violation2002NLRB$18,500
DitechDitech Holding Corporationwage and hour violation2002private lawsuit-federal$6,150,000
Coast National InsuranceZurich Insurancewage and hour violation2002private lawsuit-state$18,000,000
American Express Financial AdvisorsAmeriprise Financialemployment discrimination2002private lawsuit-federal$31,000,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2002SEC$100,000
Dean Witter Reynolds Inc.Morgan Stanleyinvestor protection violation2002SEC$500,000
RBC Dain Rauscher IncorporatedRoyal Bank of Canadainvestor protection violation2002SEC$500,000
Knight Securities, L.P.Virtu Financialinvestor protection violation2002SEC$75,000
Josephthal & Co., Inc.Oppenheimer Holdingsinvestor protection violation2002SEC$75,000
Norwest Investment Services, Inc.Wells Fargoinvestor protection violation2002SEC$153,245
ACE Cash Express, Inc.ACE Cash Expressconsumer protection violation2002CO-AG$1,300,000
Bankers Life and Casualty CompanyCNO Financialprivacy violation2002KY-AG$5,000
Bear Stearns & Co. LLCJPMorgan Chaseinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $80,000,000
CitibankCitigroupconsumer protection violation2002MULTI-AG$1,600,000
CitibankCitigroupconsumer protection violation2002CA-AG$1,600,000
CitibankCitigroupgambling violation2002NY-AG$100,000
Credit Suisse First Boston Corp.Credit Suisseinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $200,000,000
Deutsche BankDeutsche Bankinvestor protection violation2002MULTI-AG$80,000,000
Discover Financial Services, Inc./Millenium Teleservices, Inc.Discover Financial Servicesprivacy violation2002KY-AG$5,000
Fidelity National Title Insurance CompanyFidelity National Financialconsumer protection violation2002CA-AG$31,148,320
First American Title Insurance CompanyFirst American Financialconsumer protection violation2002CA-AG$7,000,000
First USAJPMorgan Chaseconsumer protection violation2002MULTI-AG$1,300,000
Goldman SachsGoldman Sachsinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $110,000,000
Household Finance Corp.HSBCmortgage abuses2002MULTI-AG$484,000,000
J.P. Morgan Chase & Co.JPMorgan Chaseinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $80,000,000
Merrill LynchBank of Americainvestor protection violation2002DE-AG$500,000
Merrill LynchBank of Americainvestor protection violation2002NY-AG$100,000,000
Merrill Lynch & Co. Inc.Bank of Americainvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $100,000,000
Morgan StanleyMorgan Stanleyinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $125,000,000
Mutual of OmahaMutual of Omahaconsumer protection violation2002NY-AG$10,000
PayPalPayPal Holdingsconsumer protection violation2002NY-AG$200,000
PNC BankPNC Financial Servicesprivacy violation2002KY-AG$5,000
Salomon Smith Barney Inc.Morgan Stanleyinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $400,000,000
Stewart Title Company of CaliforniaStewart Information Servicesconsumer protection violation2002CA-AG$2,500,000
UBS Warburg LLCUBSinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $80,000,000
Old Republic Title Co.Old Republic Internationalconsumer protection violation2002CA-MULTI$5,096,963
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.