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Violation Tracker Industry Summary Page
Industry: financial services
Penalty Total since 2000: $388,129,347,579
Number of Records: 7,728
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 Companies | Total Penalty $ | Number of Records |
Bank of America | $87,286,650,890 | 328 |
JPMorgan Chase | $39,688,888,209 | 277 |
UBS | $31,069,299,125 | 179 |
Wells Fargo | $27,616,269,231 | 266 |
Citigroup | $26,945,611,792 | 181 |
Deutsche Bank | $20,011,467,563 | 99 |
Goldman Sachs | $17,729,358,987 | 111 |
NatWest Group PLC | $14,370,701,618 | 43 |
Morgan Stanley | $10,780,502,443 | 203 |
BNP Paribas | $10,363,464,666 | 23 |
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.
Company | Current Parent | Primary Offense Type | Year | Agency | Penalty Amount |
State Farm Mutual Automobile Insurance Company | State Farm Insurance | insurance violation | 2024 | OR-FIN | $100,000 |
STATE FARM FIRE & CASUALTY COMPANY et al. | State Farm Insurance | insurance violation | 2024 | WA-INS | $100,000 |
NEW YORK LIFE INSURANCE COMPANY | New York Life Insurance | insurance violation | 2024 | WA-INS | $46,328 |
LM Insurance Corporation | Liberty Mutual Insurance | insurance violation | 2024 | TX-INS | $24,000 |
American Zurich Insurance Company | Zurich Insurance | insurance violation | 2024 | TX-INS | $17,000 |
Ace American Insurance Company | Chubb Limited | insurance violation | 2024 | TX-INS | $17,000 |
MUFG BANK, LTD. | U.S. Bancorp | banking violation | 2024 | CT-BKG | $10,000 |
James B. Nutter & Company | James B. Nutter & Company | consumer protection violation | 2024 | NC-BKG | $10,000 |
T.H.E. Insurance Company | AXA | insurance violation | 2024 | TX-INS | $10,000 |
Liberty Mutual Personal Insurance Company | Liberty Mutual Insurance | insurance violation | 2024 | MD-INS | $8,500 |
AIU Insurance Company | American International Group | insurance violation | 2024 | TX-INS | $8,000 |
Ace American Insurance Company | Chubb Limited | insurance violation | 2024 | TX-INS | $6,200 |
Northwestern Mutual Investment Services LLC | Northwestern Mutual | investor protection violation | 2024 | ME-SEC | $5,000 |
Farmers Insurance Exchange | Farmers Insurance Exchange | insurance violation | 2024 | MD-INS | $5,000 |
Allstate Indemnity Company | Allstate | insurance violation | 2024 | MD-INS | $5,000 |
Acadia Insurance Company | W.R. Berkley | insurance violation | 2024 | TX-INS | $5,000 |
AMERITAS LIFE INSURANCE CORP | Ameritas Mutual Holding Company | insurance violation | 2024 | WA-INS | $5,000 |
STANDARD INSURANCE COMPANY | Meiji Yasuda Life Insurance | insurance violation | 2024 | WA-INS | $5,000 |
SUN LIFE ASSURANCE COMPANY OF CANADA | Sun Life Financial | insurance violation | 2024 | WA-INS | $5,000 |
Allianz Asset Management of America | Allianz | benefit plan administrator violation | 2024 | private lawsuit-federal | $7,500,000 |
State Farm Life Insurance Co. | State Farm Insurance | consumer protection violation | 2024 | private lawsuit-federal | $65,000,000 |
Banner Bank | Banner Corp. | wage and hour violation | 2024 | private lawsuit-federal | $15,000,000 |
Australia and New Zealand Banking Group Ltd. | Australia and New Zealand Banking Group | investor protection violation | 2024 | CFTC | $500,000 |
U.S. Bank, N.A. | U.S. Bancorp | investor protection violation | 2024 | CFTC | $6,000,000 |
Oppenheimer & Co., Inc. | Oppenheimer Holdings | investor protection violation | 2024 | CFTC | $1,000,000 |
JPMorgan Chase & Co. | JPMorgan Chase | banking violation | 2024 | FED | $98,200,000 |
Trafigura Beheer B.V. | Trafigura | Foreign Corrupt Practices Act | 2024 | DOJ_CRIMINAL | $126,998,297 |
JPMorgan Chase Bank, N.A. | JPMorgan Chase | banking violation | 2024 | OCC | $250,000,000 |