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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $347,416,567,662
Number of Records: 7,172
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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Company sort icon . Current ParentPrimary Offense TypeYearAgencyPenalty Amount
Allstate Indemnity Insurance Co.Allstateinsurance violation2010MN-FIN$9,000
Allstate Indemnity Company et al.Allstateinsurance violation2015WA-INS$10,000
Allstate Indemnity CompanyAllstateinsurance violation2018UT-INS$5,000
Allstate Indemnity CompanyAllstateinsurance violation2021MD-INS$50,000
Allstate Indemnity Co. et al.Allstateinsurance violation2010MD-INS$10,000
Allstate Indemnity Co. et al.Allstateinsurance violation2013MD-INS$18,000
Allstate Indemnity Co.Allstateinsurance violation2020CT-INS$7,500
Allstate Indemnity Co.Allstateinsurance violation2014MD-INS$5,000
Allstate Indemnity Co.Allstateinsurance violation2017MD-INS$25,000
Allstate Fire and Casualty Insurance CompanyAllstateinsurance violation2016NY-DFS$50,000
Allstate Fire and Casualty Insurance Co. et al.Allstateinsurance violation2017MT-INS$10,000
Allstate Fire and Casualty Co.Allstateinsurance violation2014KS-INS$10,000
Allstate Fire & Casualty Insurance Company et al.Allstateinsurance violation2021WA-INS$7,500
Allstate Fire & Casualty Insurance Company et al.Allstateinsurance violation2021VT-FIN$225,000
Allstate Fire & Casualty Insurance CompanyAllstateinsurance violation2018RI-FIN$60,000
Allstate Fire & Casualty Insurance CompanyAllstateinsurance violation2013WA-INS$15,000
Allstate Fire & Casualty Insurance CompanyAllstateinsurance violation2021WA-INS$10,000
ALLSTATE FIRE & CASUALTY ET ALAllstateinsurance violation2009VA-INS$36,000
Allstate Financial Services, LLCAllstateinvestor protection violation2002FL-OFR$21,300
Allstate Financial Services, Inc.Allstateconsumer protection violation2003WA-FIN$58,988
Allstate Financial Services LLCAllstateinvestor protection violation2004FINRA$150,000
Allstate CorporationAllstatediscriminatory practices (non-employment)2007private lawsuit-federal$11,720,000
Allstate Company, Inc.Allstatewage and hour violation2007MA-AG$125,000
AllstateAllstateconsumer protection violation2003TX-AG$3,440,000
AllstateAllstateinsurance violation2010MULTI-FIN$10,000,000
ALLSTATEAllstateworkplace safety or health violation2002OSHA$69,500
ALLIED PROPERTY AND CASUALTY INSURANCE COMPANY ET AL.Nationwideinsurance violation2021WA-INS$20,000
Allied Property And Casualty Insurance Co. et al.Nationwideinsurance violation2016MD-INS$20,000
Allied Property And Casualty Insurance Co. et al.Nationwideinsurance violation2017MD-INS$5,000
Allied Property and Casualty Insurance Co.Nationwideinsurance violation2008MN-FIN$7,000
Allied Property & Casualty Insurance Company et al.Nationwideinsurance violation2020VA-INS$17,500
Allied Property & Casualty Insurance Company et al.Nationwideinsurance violation2020VA-INS$20,000
Allied Property & Casualty Insurance CompanyNationwideinsurance violation2011VA-INS$27,911
Allied Property & Casualty Insurance Co. et al.Nationwideinsurance violation2006MO-INS$65,000
ALLIED PROPERTY & CASUALTY INSURANCE CO.Nationwideinsurance violation2016VA-INS$68,669
ALLIED PROPERTY & CASUALTY INSURANCE CO.Nationwideinsurance violation2017VA-INS$678,398
ALLIED PROPERTY & CASUALTY INSURANCENationwideinsurance violation2014VA-INS$16,201
ALLIED PROPERTY & CASUALTY INSURANCENationwideinsurance violation2014VA-INS$5,530
ALLIED INSURANCE COMPANY OF AMERICANationwideinsurance violation2016VA-INS$8,000
Allied Home Mortgage Corporation et al.Americus Mortgageconsumer protection violation2012PA-BKG$10,000
Allied Home Mortgage Corp.Americus Mortgageconsumer protection violation2012IL-BKG$7,500
Allied Home Mortgage Capital CorporationAmericus Mortgageconsumer protection violation2003HUD$370,000
Allied Home Mortgage Capital CorporationAmericus Mortgagewage and hour violation2006WHD$14,479
Allied Home Mortgage Capital CorporationAmericus Mortgagewage and hour violation2006WHD$1,800,282
Allied Home Mortgage Capital CorporationAmericus Mortgagewage and hour violation2006WHD$30,928
Allied Home Mortgage Capital CorporationAmericus Mortgagewage and hour violation2005WHD$9,830
Allied Home Mortgage Capital CorporationAmericus Mortgageconsumer protection violation2009NY-DFS$10,000
Allied Home Mortgage Capital CorporationAmericus Mortgageconsumer protection violation2009PA-BKG$8,000
Allied Home Mortgage Capital Corp.Americus Mortgageinvestor protection violation2009AR-SEC$10,000
Allied Home Mortgage Capital Corp.Americus Mortgageconsumer protection violation2009KY-FIN$5,740
ALLIED HOME MORTGAGE CAPITALAmericus Mortgageconsumer protection violation2008VA-FIN$5,000
ALLIED HOME MORTGAGE CAPITALAmericus Mortgageconsumer protection violation2010VA-FIN$25,000
Allied Home MortgageAmericus Mortgagewage and hour violation2004WHD$14,037
Allied Home MortgageAmericus Mortgagefraud2017USAO$296,298,325
ALLIED CASH ADVANCE VIRGINIACNG Financialconsumer protection violation2008VA-FIN$38,000
Allied Cash Advance California, LLCCNG Financialpayday lending violation2011CA-DFPI$103,709
Allianz SEAllianzForeign Corrupt Practices Act2012SEC$12,396,423
Allianz Life Insurance Company of North America et al.Allianzinsurance violation2016MN-FIN$550,000
Allianz Life Insurance Company of North AmericaAllianzinvestor protection violation2007MN-AG$500,000
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2015MULTI-AG$4,700,000
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2012MULTI-AG$10,000,000
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2005CA-INS$425,000
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2008CA-INS$10,050,000
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2006CO-INS$34,800
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2019DE-INS$13,500
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2000FL-OFR$14,000
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2019KS-INS$60,000
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2017MD-INS$9,850
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2011UT-INS$50,000
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2011UT-INS$29,500
Allianz Life Insurance Company Of North AmericaAllianzinsurance violation2013WA-INS$150,000
Allianz Life Insurance Company of New YorkAllianzinsurance violation2013NY-DFS$135,000
Allianz Global Risks U.S. Insurance CompanAllianzeconomic sanction violation2019OFAC$170,535
Allianz Global Investors U.S. LLCAllianzinvestor protection violation2022SEC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,024,200,000
Allianz Global Investors U.S. LLCAllianzinvestor protection violation2022USAO$5,763,000,000
Allianz Dresdner Asset Management of America LPAllianzinvestor protection violation2004NJ-AG$18,000,000
Allianz Asset Management of America, L.P.Allianzbenefit plan administrator violation2018private lawsuit-federal$12,000,000
AllianceBernstein, L.P.Equitable Holdingsinvestor protection violation2007SEC$450,000
AllianceBernstein L.P.Equitable Holdingsinvestor protection violation2013CO-SEC$20,232
AllianceBernstein L.P.Equitable Holdingsinvestor protection violation2012DE-SEC$20,000
AllianceBernstein Investments, Inc.Equitable Holdingsinvestor protection violation2007FINRA$100,000
AllianceBernstein Investment Research and Management, Inc.Equitable Holdingsinvestor protection violation2005FINRA$3,984,087
AllianceBernsteinEquitable Holdingswage and hour violation2013private lawsuit-federal$2,980,000
Alliance Data Systems, Inc.Bread Financial Holdingswage and hour violation2003WHD$40,320
Alliance Capital Management L.P.Equitable Holdingsinvestor protection violation2003SEC$250,000,000
Alliance Capital ManagementEquitable Holdingsinvestor protection violation2003NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $600,000,000
AIU Insurance Company et al.American International Groupinsurance violation2007OR-FIN$1,000,000
AIU INSURANCE COMPANY ET AL.American International Groupinsurance violation2008VA-INS$100,000
AIU Insurance CompanyAmerican International Groupinsurance violation2002MA-INS$365,615
AIU Insurance CompanyAmerican International Groupinsurance violation2002OR-FIN$10,000
AIU Insurance CompanyAmerican International Groupinsurance violation2016TX-INS$27,180
AIU INSURANCE COMPANYAmerican International Groupinsurance violation2012VA-INS$31,900
AIU Insurance Co.American International Groupinsurance violation2010ME-INS$11,111
AIM Advisors, Inc. and AIM Distributors, Inc.Invescoinvestor protection violation2004SEC$50,000,000
AIM AdvisorsInvescoinvestor protection violation2004MULTI-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
AIG Warranty Guard, Inc.American International Groupinsurance violation2000WI-INS$100,000
AIG Warranty Guard, Inc.American International Groupinsurance violation2003WI-INS$50,000
AIG Property Casualty CompanyAmerican International Groupinsurance violation2014NJ-DBI$25,000
AIG Property Casualty CompanyAmerican International Groupinsurance violation2015TX-INS$8,500
AIG Property Casualty CompanyAmerican International Groupinsurance violation2016TX-INS$55,800
AIG Property Casualty CompanyAmerican International Groupinsurance violation2020NY-DFS$583,900
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.