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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
Wells Fargo$27,616,269,231266
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.

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CompanyCurrent ParentPrimary Offense TypeYear sort iconAgencyPenalty Amount
Israel Discount Bank of New YorkIsrael Discount Bankanti-money-laundering deficiencies2005NY-MANDA$8,500,000
Watson Wyatt & CompanyWillis Towers WatsonFalse Claims Act and related2005USAO$689,828
Prudential Equity Group, Inc.Prudential Financialinvestor protection violation2005AL-SEC$45,000
Morgan Keegan & Co.Raymond James Financialinvestor protection violation2005AL-SEC$100,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2005AZ-CC$1,000,000
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2005CA-INS$425,000
Coast National Insurance Co.Zurich Insuranceinsurance violation2005CA-INS$120,000
Philadelphia Indemnity Insurance Co.Tokio Marineinsurance violation2005CA-INS$175,000
American Bankers Insurance Company of Florida et al.Assurantinsurance violation2005CA-INS$250,000
Stewart Title of California, Inc.Stewart Information Servicesinsurance violation2005CA-INS$750,000
Kemper Investors Life Insurance Co. et al.Kemperinsurance violation2005CA-INS$21,000
Allstate Insurance Co.Allstateinsurance violation2005CA-INS$34,000,000
Wells Fargo Financial California, Inc.Wells Fargoconsumer protection violation2005CA-DFPI$1,621,010
Infinity Insurance Co. et al.Kemperinsurance violation2005CA-INS$600,000
American Title Co. dba Ticor Title Company of AmericaFidelity National Financialinsurance violation2005CA-INS$1,200,000
Amco Insurance Co. and Allied Property and Casualty Insurance Co.Nationwideinsurance violation2005CA-INS$20,000
Unum Life Insurance Company of America et al.Unuminsurance violation2005CA-INS$8,598,503
Fidelity National Title Insurance Co. et al.Fidelity National Financialinsurance violation2005CA-INS$13,300,000
Harleysville Mutual Insurance Co.Nationwideinsurance violation2005CA-INS$100,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2005CO-SEC$259,227
Federal Insurance Co.Chubb Limitedinsurance violation2005CO-INS$16,000
Commerce and Industry Insurance Co.American International Groupinsurance violation2005CO-INS$6,000
Allstate Insurance Co.Allstateinsurance violation2005CO-INS$10,500
Wilmington Trust Co.M&T Bankinvestor protection violation2005DE-SEC$50,000
Amex Assurance Co.American Expressinsurance violation2005FL-OFR$12,500
Axa Re Property and Casualty Insurance Co.AXAinsurance violation2005FL-OFR$15,000
Scottsdale Insurance Co.Nationwideinsurance violation2005FL-OFR$5,000
Sentry Insurance A Mutual CompanySentry Insuranceinsurance violation2005FL-OFR$7,500
State Farm Florida Insurance Co.State Farm Insuranceinsurance violation2005FL-OFR$5,000
United Casualty Insurance Company of AmericaKemperinsurance violation2005FL-OFR$17,500
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2005FL-OFR$50,000
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2005FL-OFR$50,000
Safeco Insurance Company of America et al.Liberty Mutual Insuranceinsurance violation2005FL-OFR$35,350
Ticor Title Insurance Co.Fidelity National Financialinsurance violation2005FL-OFR$50,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2005IL-SEC$7,500
Bear, Stearns & Co., Inc.JPMorgan Chaseinvestor protection violation2005IL-SEC$10,000
Safeco Insurance Co. of AmericaLiberty Mutual Insuranceinsurance violation2005IN-INS$5,000
American Automobile Insurance CompanyAllianzinsurance violation2005MA-INS$9,000
Aon Risk Services Inc. of PennsylvaniaAoninsurance violation2005MA-INS$19,000
New England Life Insurance CompanyBrighthouse Financialinsurance violation2005MA-INS$13,000
Bankers Life & Casualty Co.CNO Financialinsurance violation2005ME-INS$500,000
Metropolitan Property and Casualty Insurance Co.Zurich Insuranceinsurance violation2005MN-FIN$5,000
Fortis Insurance Co.Assurantinsurance violation2005MN-FIN$7,500
Fortis Insurance Co.Assurantinsurance violation2005MN-FIN$10,000
American Express Financial Advisors, Inc.Ameriprise Financialinvestor protection violation2005MN-FIN$2,000,000
Oppenheimer & Co., Inc.Oppenheimer Holdingsinvestor protection violation2005MO-SEC$122,050
Edward D. Jones & Co. L.P.Jones Financialinvestor protection violation2005MO-SEC$1,500,000
Waddell & Reed, Inc.Macquarieinvestor protection violation2005MT-FIN$25,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2005ND-SEC$30,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2005NH-BSR$435,000
American Express Financial Advisors Inc.Ameriprise Financialinvestor protection violation2005NH-BSR$7,375,000
American International Specialty Lines Insurance Co.American International Groupinsurance violation2005NJ-DBI$13,000
American Security Insurance Co. et al.Assurantinsurance violation2005NJ-DBI$1,775,000
Seneca Insurance Co.Fairfax Financial Holdingsinsurance violation2005NJ-DBI$72,256
ABN AMROABN AMROeconomic sanction violation2005NY-DFS$20,000,000
United of Omaha Life Insurance CompanyMutual of Omahainsurance violation2005OR-FIN$25,000
Farmers Insurance Company of OregonZurich Insuranceinsurance violation2005OR-FIN$11,000
Great American Insurance Company of New YorkAmerican Financial Groupinsurance violation2005OR-FIN$5,000
MetLife SecuritiesMetLifeinvestor protection violation2005OR-FIN$12,000
Progressive Classic Insurance CompanyProgressiveinsurance violation2005OR-FIN$8,000
Marsh USA, Inc.Marsh & McLennaninsurance violation2005OR-FIN$75,000
Combined Insurance Company of AmericaChubb Limitedinsurance violation2005PA-INS$50,000
Great American Insurance CompanyAmerican Financial Groupinsurance violation2005PA-INS$150,000
Foremost Insurance Company of Grand Rapids, MichiganZurich Insuranceinsurance violation2005PA-INS$5,000
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2005PA-INS$5,000
Selective Insurance Company of South CarolinaSelective Insurance Groupinsurance violation2005PA-INS$5,000
Selective Way Insurance CompanySelective Insurance Groupinsurance violation2005PA-INS$5,000
ALLSTATE LIFE INSURANCE CO.Allstateinsurance violation2005VA-INS$5,000
LIBERTY MUTUAL INSURANCE CO. ET AL.Liberty Mutual Insuranceinsurance violation2005VA-INS$30,000
CUNA MUTUAL INSURANCE SOCIETYCUNA Mutualinsurance violation2005VA-INS$40,000
UNITED AMERICAN INSURANCE CO.Globe Life violation2005VA-INS$5,000
CONSECO SENIOR HEALTH INS.CNO Financialinsurance violation2005VA-INS$7,500
AMERICAN HEALTH & LIFE INSURANCE COOneMain Holdingsinsurance violation2005VA-INS$7,000
St. Paul Fire & Marine Insurance Co.Travelersinsurance violation2005WI-INS$20,000
Progressive Northern Ins Co.Progressiveinsurance violation2005WI-INS$5,000
Metropolitan Life Insurance Co.MetLifeinsurance violation2005WI-INS$5,000
Hartford Insurance Company of the MidwestHartford Financial Servicesinsurance violation2005WI-INS$9,500
Merrill Lynch Pierce Fenner & Smith Inc.Bank of Americainvestor protection violation2005WI-FIN$7,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2005MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $28,750,000
Lincoln National Life Insurance CompanyLincoln Nationalinsurance violation2005MULTI-FIN$264,079
Thomas Weisel Partners LLCStifel Financialinvestor protection violation2005MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $5,000,000
Waddell & Reed, Inc.Macquarieinvestor protection violation2005MULTI-FIN$18,000,000
Western and Southern Life Insurance CompanyWestern & Southern Financial Groupinsurance violation2005MULTI-FIN$2,400,000
Bank of America, NABank of Americadiscriminatory practices (non-employment)2005private lawsuit-federal$3,670,000
Bank One, KY, N.A.JPMorgan Chasediscriminatory practices (non-employment)2005private lawsuit-federal$6,715,000
U.S. BancorpU.S. Bancorpdiscriminatory practices (non-employment)2005private lawsuit-federal$2,495,000
VitolVitolenvironmental violation2005CA-ARB$20,000
WHEELABRATOR SOUTH BROWARD, INC.Macquarieenvironmental violation2005FL-DEP$14,450
LOUIS DREYFUS CITRUS, INC.Louis Dreyfusenvironmental violation2005FL-DEP$8,500
SUN LIFE ASSURANCE CO OF CANADASun Life Financialenvironmental violation2005MA-ENV$31,635
BUCKEYE PORT READING TERMINAL LLCIFM Investorsenvironmental violation2005NJ-ENV$103,600
BUCKEYE PIPELINE CO LLPIFM Investorsenvironmental violation2005NJ-ENV$31,500
Synagro - WWT, Inc.Goldman Sachsenvironmental violation2005OH-ENV$10,000
Wheelabrator Falls Inc.Macquarieenvironmental violation2005PA-ENV$106,849
Bank Of America NABank of Americaenvironmental violation2005TX-ENV$12,480
Merrill Lynch, Pierce, Fenner & SmithBank of Americainvestor protection violation2005FINRA$14,000,000
Wells Fargo InvestmentsWells Fargoinvestor protection violation2005FINRA$3,000,000
Chase Investment ServicesJPMorgan Chaseinvestor protection violation2005FINRA$290,262
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2005FINRA$12,300,000
State Street Global Markets LLCState Street Corp.investor protection violation2005FINRA$1,400,000
SG Americas Securities, LLCSociete Generaleinvestor protection violation2005FINRA$4,478,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.