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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
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.

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CompanyCurrent ParentPrimary Offense TypeYearAgency sort iconPenalty Amount
PRUDENTIAL INSURANCE COMPANYPrudential Financialinsurance violation2014VA-INS$5,000
Nationwide Property and Casualty Insurance CompanyNationwideinsurance violation2014VA-INS$225,800
CMFG LIFE INSURANCE COMPANYCUNA Mutualinsurance violation2014VA-INS$21,000
TIME INSURANCE COMPANYHaven Holdingsinsurance violation2014VA-INS$19,000
NATIONAL UNION FIRE INSURANCEAmerican International Groupinsurance violation2014VA-INS$8,000
LIBERTY INSURANCE CORPORATIONLiberty Mutual Insuranceinsurance violation2015VA-INS$32,675
OLD REPUBLIC NATIONAL TITLE INSURANCE COOld Republic Internationalinsurance violation2015VA-INS$5,000
ALLSTATE INSURANCE COMPANYAllstateinsurance violation2015VA-INS$197,201
ESURANCE INSURANCE COMPANYAllstateinsurance violation2015VA-INS$50,508
AUTO OWNERS INSURANCE COMPANYAuto-Owners Insuranceinsurance violation2015VA-INS$114,217
FEDERAL INSURANCE CO.,Chubb Limitedinsurance violation2015VA-INS$132,761
TNUS INSURANCE COMPANY ET AL.Tokio Marineinsurance violation2015VA-INS$120,233
PROGRESSIVE ADVANCED INSURANCE CO.Progressiveinsurance violation2015VA-INS$263,479
NATIONWIDE LIFE INSURANCE CO.Nationwideinsurance violation2015VA-INS$16,340
HCC LIFE INSURANCE COMPANYTokio Marineinsurance violation2015VA-INS$9,000
COMPANION LIFE INSURANCE CO.BlueCross BlueShield of South Carolinainsurance violation2016VA-INS$44,220
ALLIED PROPERTY & CASUALTY INSURANCE CO.Nationwideinsurance violation2016VA-INS$68,669
HOMESITE INSURANCE COMPANYAmerican Family Insuranceinsurance violation2016VA-INS$94,986
Hartford Accident and Indemnity CompanyHartford Financial Servicesinsurance violation2016VA-INS$8,131
CINCINNATI INSURANCE COMPANYCincinnati Financialinsurance violation2016VA-INS$54,475
Victoria Fire & Casualty Insurance CompanyNationwideinsurance violation2016VA-INS$2,236,476
ALLIED INSURANCE COMPANY OF AMERICANationwideinsurance violation2016VA-INS$8,000
PROGRESSIVE NORTHERN INSURANCEProgressiveinsurance violation2016VA-INS$52,619
AMERICAN STRATEGIC INSURANCEProgressiveinsurance violation2016VA-INS$15,147
ALLIED PROPERTY & CASUALTY INSURANCE CO.Nationwideinsurance violation2017VA-INS$678,398
SELECTIVE INSURANCE COMPANY OF AMERICASelective Insurance Groupinsurance violation2017VA-INS$339,333
STATE FARM MUTUAL INSURANCE COState Farm Insuranceinsurance violation2017VA-INS$50,600
AMERICAN STRATEGIC INSURANCEProgressiveinsurance violation2017VA-INS$41,962
LIBERTY INSURANCE CORP et al.Liberty Mutual Insuranceinsurance violation2017VA-INS$8,652
FEDERAL INSURANCE COMPANYChubb Limitedinsurance violation2017VA-INS$6,261
PROGRESSIVE DIRECT INSURANCEProgressiveinsurance violation2017VA-INS$9,839,379
UNITED SERVICES AUTOMOBILE ASSOCIATION ET AL.USAAinsurance violation2017VA-INS$182,209
HARTFORD ACCIDENT & INDEMNITYHartford Financial Servicesinsurance violation2017VA-INS$39,488
UNITED STATES FIRE INSURANCE COFairfax Financial Holdingsinsurance violation2017VA-INS$25,000
GRANITE STATE INSURANCE CO.American International Groupinsurance violation2018VA-INS$152,318
TOKIO MARINE KILN SYNDICATES, LTD.Tokio Marineinsurance violation2018VA-INS$7,500
SELECTIVE INSURANCE CO. ET AL.Selective Insurance Groupinsurance violation2018VA-INS$10,000
MERCURY CASUALTY COMPANYMercury General Corporationinsurance violation2018VA-INS$173,650
ACADIA INSURANCE COMPANY ET ALW.R. Berkleyinsurance violation2018VA-INS$91,793
THE GENERAL AUTOMOBILE INSURANCE CO.American Family Insuranceinsurance violation2018VA-INS$66,996
LIBERTY MUTUAL FIRE INSURANCELiberty Mutual Insuranceinsurance violation2018VA-INS$108,053
PROGRESSIVE NORTHERN INSURANCE CO.Progressiveinsurance violation2018VA-INS$1,818,318
USAA CASUALTY INSURANCE CO ET AL.USAAinsurance violation2018VA-INS$4,396,720
ELEPHANT INSURANCE COMPANYAdmiral Groupinsurance violation2018VA-INS$79,017
Globe Life and Accident Insurance CompanyGlobe Life Inc.insurance violation2019VA-INS$15,000
Praetorian Insurance CompanyQBE Insuranceinsurance violation2019VA-INS$183,819
Elephant Insurance CompanyAdmiral Groupinsurance violation2019VA-INS$47,619
General Automobile Insurance Company, IncAmerican Family Insuranceinsurance violation2019VA-INS$27,624
National Union Fire Insurance Company of Pittsburgh, PennsylvaniaAmerican International Groupinsurance violation2019VA-INS$28,806
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2019VA-INS$27,828
Erie Insurance ExchangeErie Indemnityinsurance violation2019VA-INS$1,921,784
Selective Insurance Company of AmericaSelective Insurance Groupinsurance violation2019VA-INS$10,137
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2019VA-INS$5,000
Acadia Insurance Company et al.W.R. Berkleyinsurance violation2019VA-INS$9,341
Nationwide Mutual Fire Insurance CompanyNationwideinsurance violation2019VA-INS$397,667
Progressive Advanced Insurance Company et al.Progressiveinsurance violation2019VA-INS$4,876,344
American Fire and Casualty Company and Ohio Security Insurance CompanyLiberty Mutual Insuranceinsurance violation2019VA-INS$148,910
Arch Insurance CompanyArch Capitalinsurance violation2019VA-INS$26,447
Erie Insurance Company and Erie Insurance ExchangeErie Indemnityinsurance violation2019VA-INS$90,219
Bristol West Casualty Insurance Company and Bristol West Insurance CompanyZurich Insuranceinsurance violation2020VA-INS$27,560
Bristol West Casualty Insurance Company and Bristol West Insurance CompanyZurich Insuranceinsurance violation2020VA-INS$91,872
John Hancock Life Insurance CompanyManulife Financialinsurance violation2020VA-INS$60,600
Jefferson National Life Insurance CompanyNationwideinsurance violation2020VA-INS$27,600
The Travelers Indemnity Company ofAmericaTravelersinsurance violation2020VA-INS$49,500
Dairyland Insurance Co. and Peak Property and Casualty Insurance Corp.Sentry Insuranceinsurance violation2020VA-INS$140,492
American Income Life Insurance CompanyGlobe Life Inc.insurance violation2020VA-INS$18,000
Life Insurance Company of the SouthwestNational Life Groupinsurance violation2020VA-INS$6,600
Allied Property & Casualty Insurance Company et al.Nationwideinsurance violation2020VA-INS$17,500
Allied Property & Casualty Insurance Company et al.Nationwideinsurance violation2020VA-INS$20,000
Farmers Insurance Exchange and Truck Insurance ExchangeFarmers Insurance Exchangeinsurance violation2021VA-INS$15,950
CMFG Life Insurance CompanyCUNA Mutualinsurance violation2021VA-INS$7,500
Erie Insurance Company and Erie Insurance ExchangeErie Indemnityinsurance violation2020VA-INS$19,371
Lincoln National Life Insurance CompanyLincoln Nationalinsurance violation2020VA-INS$7,800
United Services Automobile Association et al.USAAinsurance violation2021VA-INS$10,000
Privilege Underwriters Reciprocal ExchangeTokio Marineinsurance violation2021VA-INS$19,295
Servicelink, LLCFidelity National Financialconsumer protection violation2022VA-INS$5,000
United Services Automobile Association et al.USAAconsumer protection violation2022VA-INS$71,358
Gerber Life Insurance CompanyWestern & Southern Financial Groupinsurance violation2022VA-INS$27,600
Farmers Insurance Exchange et al.Farmers Insurance Exchangeinsurance violation2022VA-INS$86,400
Travelers Personal Insurance CompanyTravelersinsurance violation2022VA-INS$167,427
Hartford Casualty Insurance Company et al.Hartford Financial Servicesinsurance violation2022VA-INS$30,030
Selective Insurance Company of South CarolinaSelective Insurance Groupinsurance violation2022VA-INS$5,000
Selective Insurance Company of the SoutheastSelective Insurance Groupinsurance violation2022VA-INS$5,000
Selective Insurance Company of AmericaSelective Insurance Groupinsurance violation2022VA-INS$5,000
Selective Way Insurance CompanySelective Insurance Groupinsurance violation2022VA-INS$5,000
Mid-Century Insurance Company and Truck Insurance ExchangeZurich Insuranceinsurance violation2023VA-INS$36,497
John Hancock Life Insurance Company (U.S.A.)Manulife Financialinsurance violation2023VA-INS$8,800
JEFFERSON PILOT SECURITIESLincoln Nationalinvestor protection violation2003VA-SEC$26,500
MERRILL LYNCH PIERCE FENNER &Bank of Americainvestor protection violation2004VA-SEC$268,723
CITIGROUP GLOBAL MARKETS INCCitigroupinvestor protection violation2004VA-SEC$72,486
SUNAMERICA SECURITIES, INC.American International Groupinvestor protection violation2006VA-SEC$10,000
Merrill Lynch, Pierce, Fenner & Smith, IncorporatedBank of Americainvestor protection violation2006VA-SEC$75,000
Merrill Lynch, Pierce, Fenner & Smith, IncorporatedBank of Americainvestor protection violation2006VA-SEC$33,000
UBS FINANCIAL SERVICES, INC.UBSinvestor protection violation2007VA-SEC$100,000
AMERIPRISE FINANCIAL SERVICESAmeriprise Financialinvestor protection violation2008VA-SEC$780,000
CITIGROUP GLOBAL MARKETSCitigroupinvestor protection violation2008VA-SEC$22,000
UBS FINANCIAL SERVICES, INC.UBSinvestor protection violation2010VA-SEC$625,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2014VA-SEC$9,500
WELLS FARGO ADVISORSWells Fargoinvestor protection violation2015VA-SEC$205,000
NEXT FINANCIAL GROUP, INC.Atria Wealth Solutionsinvestor protection violation2015VA-SEC$18,000
AMERIPRISE FINANCIAL SERVICES, INC.Ameriprise Financialinvestor protection violation2016VA-SEC$14,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.