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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$388,802,802,308
Number of Records: 7,734
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$87,294,650,890329
JPMorgan Chase$39,688,888,209277
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$14,264,317,61841
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 Parent sort iconPrimary Offense TypeYearAgencyPenalty Amount
Columbia Management Advisors Inc. and Columbia Funds Distributor Inc.Ameriprise Financialinvestor protection violation2005SEC$140,000,000
American Express Financial Advisors Inc.Ameriprise Financialinvestor protection violation2004SEC$3,706,693
Ameriprise Financial, Inc.Ameriprise Financialemployment discrimination2016OFCCP$128,200
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2017SEC$8,750,000
Columbia Management Investment Services Corp.Ameriprise Financialinvestor protection violation2017SEC$250,000
Ameriprise Financial ServicesAmeriprise Financialinvestor protection violation2018SEC$230,000
Ameriprise FinancialAmeriprise Financialwage and hour violation2011private lawsuit-federal$185,000
Ameriprise Financial Services Inc.Ameriprise Financialinvestor protection violation2018SEC$4,500,000
American Express Financial AdvisorsAmeriprise Financialemployment discrimination2002private lawsuit-federal$31,000,000
Ameriprise Financial, Inc.Ameriprise Financialbenefit plan administrator violation2015private lawsuit-federal$27,500,000
American Express Financial Advisors Inc.Ameriprise Financialinvestor protection violation2005NJ-AG$5,000,000
Ameriprise Financial Services, Inc.Ameriprise Financialconsumer protection violation2009MA-AG$200,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2018NJ-AG$375,000
Ameriprise GroupAmeriprise Financialinsurance violation2017MULTI-AG$1,500,000
American Express Financial AdvisorsAmeriprise Financialinvestor protection violation2000AZ-CC$125,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2005AZ-CC$1,000,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2006AZ-CC$1,250,000
RiverSource Life Insurance Co.Ameriprise Financialinsurance violation2015CA-INS$800,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2018CA-DFPI$115,000
RiverSource Life Insurance Co.Ameriprise Financialinsurance violation2018DE-INS$75,000
RiverSource Life Insurance Co.Ameriprise Financialinsurance violation2011FL-OFR$10,500
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2008IL-SEC$1,449,384
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2009KY-FIN$983,984
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2013MA-SEC$400,000
Investment Professionals, Inc.Ameriprise Financialinvestor protection violation2017MA-SEC$100,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2013MD-SEC$50,000
American Express Financial Advisors, Inc.Ameriprise Financialinvestor protection violation2002MN-FIN$5,000
American Express Financial Advisors, Inc.Ameriprise Financialinvestor protection violation2005MN-FIN$2,000,000
Riversource Life Insurance Co. and Riversource Life Insurance Co. of New YorkAmeriprise Financialinsurance violation2017MN-FIN$1,500,000
Investment Professionals, Inc.Ameriprise Financialinvestor protection violation2009MO-SEC$52,500
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2008MS-SEC$150,000
Ameriprise Financial Services Inc.Ameriprise Financialconsumer protection violation2013NE-DBF$10,000
American Express Financial Advisors Inc.Ameriprise Financialinvestor protection violation2005NH-BSR$7,375,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2008NH-BSR$3,400,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2014NH-BSR$90,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2016NH-BSR$30,800
Investment Professionals Inc.Ameriprise Financialinsurance violation2014NY-DFS$10,000
Ameriprise Advisor Services Inc.Ameriprise Financialinvestor protection violation2009RI-FIN$48,411
Ameriprise Financial Services Inc.Ameriprise Financialinvestor protection violation2018SC-SEC$650,000
American Express Financial Advisors Inc.Ameriprise Financialinvestor protection violation2000TX-SEC$9,000
AMERIPRISE FINANCIAL SERVICESAmeriprise Financialinvestor protection violation2008VA-SEC$780,000
AMERIPRISE FINANCIAL SERVICES, INC.Ameriprise Financialinvestor protection violation2016VA-SEC$14,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2016WA-FIN$55,000
Ameriprise Financial Services Inc.Ameriprise Financialinvestor protection violation2009MULTI-FIN$720,000
RiverSource Life Insurance CompanyAmeriprise Financialinsurance violation2016MULTI-FIN$1,500,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2016FINRA$850,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2013FINRA$750,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2005FINRA$12,300,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2005FINRA$1,250,000
American Express Financial AdvisorsAmeriprise Financialinvestor protection violation2005FINRA$13,000,000
American Express Financial Advisors Inc.Ameriprise Financialinvestor protection violation2004FINRA$700,000
American Express Financial Advisors, Inc.Ameriprise Financialinvestor protection violation2004FINRA$300,000
American Express Financial Advisors Inc.Ameriprise Financialinvestor protection violation2002FINRA$350,000
Riversource Life Insurance CompanyAmeriprise Financialinsurance violation2023WA-INS$59,613
Amerisave Mortgage Corporation and Novo Appraisal Management CompanyAmeriSave Mortgageconsumer protection violation2014CFPB$19,300,000
Amerisave Mortgage Corp.AmeriSave Mortgageconsumer protection violation2017CA-DFPI$50,000
AmeriSave Mortgage Corp.AmeriSave Mortgageconsumer protection violation2009KY-FIN$18,000
AmeriSave Mortgage Corp.AmeriSave Mortgageconsumer protection violation2019KY-FIN$5,000
AmeriSave Mortgage Corp.AmeriSave Mortgageconsumer protection violation2010MA-BKG$25,000
Amerisave Mortgage CorporationAmeriSave Mortgageconsumer protection violation2009PA-BKG$50,000
Amerisave Mortgage CorporationAmeriSave Mortgageinvestor protection violation2013MULTI-FIN$2,300,000
AmeriSave Mortgage CorporationAmeriSave Mortgageprivacy violation2020private lawsuit-federal$6,250,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2015SEC$200,000
Ameritas Life Insurance CorpAmeritas Mutual Holding Companywage and hour violation2017WHD$9,019
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2019SEC$3,389,174
Ameritas Investment Corp.Ameritas Mutual Holding Companyinsurance violation2019CA-INS$15,000
Ameritas Life Insurance Corp.Ameritas Mutual Holding Companyinsurance violation2019CT-INS$5,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2014IA-INS$10,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2008NE-DBF$11,000
Ameritas Life Insurance Corp.Ameritas Mutual Holding Companyinsurance violation2015NJ-DBI$2,524,290
Ameritas Life Insurance Corp. of New YorkAmeritas Mutual Holding Companyinsurance violation2015NY-DFS$72,975
Ameritas Life Insurance Corp.Ameritas Mutual Holding Companyinsurance violation2006OR-FIN$5,000
Ameritas Investment CorporationAmeritas Mutual Holding Companyinvestor protection violation2003TX-SEC$25,000
AMERITAS LIFE INSURANCE CORPAmeritas Mutual Holding Companyinsurance violation2001VA-INS$9,000
Ameritas Life Insurance CorpAmeritas Mutual Holding Companyinsurance violation2017WA-INS$10,000
Ameritas Life Insurance CorpAmeritas Mutual Holding Companyinsurance violation2019WA-INS$50,000
Ameritas Investment Company LLCAmeritas Mutual Holding Companyinvestor protection violation2020PA-BKG$100,000
Ameritas Life Insurance Corp.Ameritas Mutual Holding Companyinsurance violation2020TN-INS$30,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2015FINRA$278,544
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2009FINRA$100,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2021SD-SEC$20,000
Ameritas Life Insurance Corp. of New YorkAmeritas Mutual Holding Companyinsurance violation2020NY-DFS$84,668
Ameritas Advisory Services, LLCAmeritas Mutual Holding Companyinvestor protection violation2022SEC$4,628,194
Ameritas Life Insurance Corp.Ameritas Mutual Holding Companyinsurance violation2022WA-INS$40,000
Ameritas Investment Co.Ameritas Mutual Holding Companyinvestor protection violation2022NV-SEC$15,000
Ameritas Life Insurance CompanyAmeritas Mutual Holding Companyinsurance violation2022CT-INS$31,500
AMERITAS LIFE INSURANCE CORPAmeritas Mutual Holding Companyinsurance violation2024WA-INS$5,000
Amica Mutual Insurance Co.Amica Mutual Insuranceconsumer protection violation2012MA-AG$837,384
Amica Mutual Insurance Co.Amica Mutual Insuranceinsurance violation2007MA-INS$12,000
Amica Mutual Insurance Co.Amica Mutual Insuranceinsurance violation2016MD-INS$7,500
Amica Mutual Insurance CompanyAmica Mutual Insuranceinsurance violation2018NY-DFS$20,000
Amica Mutual Insurance CompanyAmica Mutual Insuranceinsurance violation2018TX-INS$10,000
AMICA MUTUAL INSURANCE COMPANYAmica Mutual Insuranceinsurance violation2002VA-INS$14,000
Amica Mutual Insurance CompanyAmica Mutual Insuranceinsurance violation2018WA-INS$20,000
Amica Mutual Insurance Co.Amica Mutual Insuranceinsurance violation2020TX-INS$120,000
Amica Mutual Insurance CompanyAmica Mutual Insuranceinsurance violation2022MD-INS$128,790
Amica Mutual Insurance CompanyAmica Mutual Insuranceinsurance violation2022NY-DFS$200,000
Aon CorporationAonForeign Corrupt Practices Act2011DOJ_CRIMINAL$1,760,000
Aon CorporationAonForeign Corrupt Practices Act2011SEC$14,545,020
Hewitt Associates LLCAonwage and hour violation2010WHD$48,103
AON Consulting Corporation IncAonwage and hour violation2004WHD$47,131
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.