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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 TypeYearAgencyPenalty Amount sort icon
Marsh USA Inc.Marsh & McLennaninsurance violation2019AK-INS$30,000
Austin Mututal Insurance Co.American Family Insuranceinsurance violation2011AZ-DIFI$30,000
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2012AZ-DIFI$30,000
MLD Mortgage, Inc. dba The Money Store dba Mortgage Lending DirectMLD Mortgage Inc. dba The Money Storeconsumer protection violation2017CA-DFPI$30,000
American Family Assurance Company of ColumbusAflacinsurance violation2014ID-INS$30,000
Fidelity National Title Company, LLCFidelity National Financialinsurance violation2014IN-INS$30,000
Protective Life Insurance CompanyDai-ichi Lifeinsurance violation2003MA-INS$30,000
Zurich American Insurance Co. et al.Zurich Insuranceinsurance violation2011MD-INS$30,000
Commonwealth Land Title Insurance Co.Fidelity National Financialinsurance violation2011MD-INS$30,000
Commonwealth Land Title Insurance Co. et al.Fidelity National Financialinsurance violation2011MD-INS$30,000
Commonwealth Land Title Insurance Co.Fidelity National Financialinsurance violation2011MD-INS$30,000
ReliaStar Life Insurance Co.Voya Financialinsurance violation2014MN-FIN$30,000
Liberty Insurance Corp. et al.Liberty Mutual Insuranceinsurance violation2018MN-FIN$30,000
Hartford Fire Insurance Co. et al.Hartford Financial Servicesinsurance violation2003MT-FIN$30,000
Principal Life Insurance CompanyPrincipal Financialinvestor protection violation2004ND-SEC$30,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2005ND-SEC$30,000
American General Financial Services, Inc.OneMain Holdingsconsumer protection violation2008NE-DBF$30,000
USAAUSAAinsurance violation2002OH-INS$30,000
Metropolitan Group Property and Casualty Insurance CompanyZurich Insuranceinsurance violation2015NY-DFS$30,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2002OR-FIN$30,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2006OR-FIN$30,000
Stewart Title Guaranty CompanyStewart Information Servicesinsurance violation2009OR-FIN$30,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2012OR-FIN$30,000
Hartford Casualty InsuranceHartford Financial Servicesinsurance violation2004PA-INS$30,000
Morgan Stanley & Co. Inc.Morgan Stanleyinvestor protection violation2011SC-SEC$30,000
Transamerica Life Insurance CompanyAegoninsurance violation2019SD-INS$30,000
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2016TN-SEC$30,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2010TX-INS$30,000
American Guarantee & Liability Insurance CompanyZurich Insuranceinsurance violation2010TX-INS$30,000
Praetorian Insurance CompanyQBE Insuranceinsurance violation2012TX-INS$30,000
Protective Insurance CompanyProgressiveinsurance violation2013TX-INS$30,000
Employers Insurance Company of WausauLiberty Mutual Insuranceinsurance violation2017TX-INS$30,000
XL Specialty Insurance CompanyAXAinsurance violation2018TX-INS$30,000
Cincinnati Insurance CompanyCincinnati Financialinsurance violation2018TX-INS$30,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2019TX-INS$30,000
HARTFORD FIRE INSURANCE CO. ET ALHartford Financial Servicesinsurance violation2001VA-INS$30,000
THE CINCINNATI INSURANCE CO. ET AL.Cincinnati Financialinsurance violation2003VA-INS$30,000
LIBERTY MUTUAL INSURANCE CO. ET AL.Liberty Mutual Insuranceinsurance violation2005VA-INS$30,000
CUNA MUTUAL INSURANCE SOCIETYCUNA Mutualinsurance violation2007VA-INS$30,000
Progressive American Insurance CompanyProgressiveinsurance violation2011WA-INS$30,000
Sentinel Insurance Company LtdHartford Financial Servicesinsurance violation2012WA-INS$30,000
Homesite Insurance Company Of The MidwestAmerican Family Insuranceinsurance violation2012WA-INS$30,000
Hartford Insurance Company The MidwestHartford Financial Servicesinsurance violation2012WA-INS$30,000
State Farm Fire & Casualty CompanyState Farm Insuranceinsurance violation2015WA-INS$30,000
Federal Insurance CompanyChubb Limitedinsurance violation2017WA-INS$30,000
Twin City Fire Insurance CompanyHartford Financial Servicesinsurance violation2017WA-INS$30,000
Credit Acceptance CorporationCredit Acceptance Corp.insurance violation2018WA-INS$30,000
Bankers Life & Casualty CompanyCNO Financialinsurance violation2019WA-INS$30,000
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2019WA-INS$30,000
Travelers Casualty & Surety Company of AmericaTravelersinsurance violation2008WI-INS$30,000
RR DonnelleyChatham Asset Managementwage and hour violation2020IL-DOL$30,000
Buckeye Albany Terminal LLCIFM Investorsenvironmental violation2016NY-ENV$30,000
Buckeye Pipe Line Company, L.P.IFM Investorsenvironmental violation2007OH-ENV$30,000
Ameritas Life Insurance Corp.Ameritas Mutual Holding Companyinsurance violation2020TN-INS$30,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2021CA-MHC$30,000
HSBCHSBCemployment discrimination2020NY-NYCCHR$30,000
Transamerica Life Insurance Co.Aegoninsurance violation2021WA-INS$30,000
Travelers Home and Marine Insurance Company et al.Travelersinsurance violation2021MN-FIN$30,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$30,000
NATIONWIDE LIFE INSURANCE COMPANYNationwideinsurance violation2022WA-INS$30,000
Alpha Property & Casualty Insurance CompanyKemperinsurance violation2023OR-FIN$30,000
HARTFORD UNDERWRITERS INSURANCE COMPANY et al.Hartford Financial Servicesinsurance violation2023AZ-DIFI$30,000
Hanover Insurance CompanyHanover Insuranceinsurance violation2023TX-INS$30,000
Hartford Casualty Insurance Company et al.Hartford Financial Servicesinsurance violation2022VA-INS$30,030
Vitol Inc.Vitolenvironmental violation2014EPA$30,394
The Park National BankPark National Corp.banking violation2011OCC$30,415
BANK OF KENTUCKY, INC., THETruist Financialbanking violation2009FDIC$30,415
LPL Financial LLCLPL Financialinvestor protection violation2012MT-FIN$30,500
Philadelphia Indemnity Insurance CompanyTokio MarineFalse Claims Act and related2018USAO$30,508
ACE American Insurance Co. et al.Chubb Limitedinsurance violation2013ME-INS$30,550
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2014TX-INS$30,599
Flagstar Bancorp, Inc. a Michigan CorporationNew York Community Bancorpwage and hour violation2021CA-LCO$30,677
Flagstar Bank, FSB,New York Community Bancorpwage and hour violation2021CA-LCO$30,677
PlainsCapital Bank and PrimeLendingHilltop Holdingsbanking violation2011FED$30,780
SunTrust BankTruist Financialeconomic sanction violation2005OFAC$30,800
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2016NH-BSR$30,800
Allied Home Mortgage Capital CorporationAmericus Mortgagewage and hour violation2006WHD$30,928
Mercury Casualty CompanyMercury General Corporationinsurance violation2019NY-DFS$31,000
Homesite Insurance CompanyAmerican Family Insuranceinsurance violation2020VT-FIN$31,000
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2012MSHA$31,100
ALLSTATE INSURANCE & ALLSTATE INDEMNITY COAllstateinsurance violation2003VA-INS$31,300
Security National Insurance Co.Zurich Insuranceinsurance violation2002FL-OFR$31,500
BUCKEYE PIPELINE CO LLPIFM Investorsenvironmental violation2005NJ-ENV$31,500
Ameritas Life Insurance CompanyAmeritas Mutual Holding Companyinsurance violation2022CT-INS$31,500
Santander Securities, LLCBanco Santanderinvestor protection violation2018NH-BSR$31,562
Banco Bilbao Vizcaya Puerto RicoBanco Bilbao Vizcaya Argentariawage and hour violation2006WHD$31,571
SUN LIFE ASSURANCE CO OF CANADASun Life Financialenvironmental violation2005MA-ENV$31,635
Wells Fargo Bank NAWells Fargowage and hour violation2011WHD$31,770
Permanent General Assurance Corp.American Family Insuranceinsurance violation2009CO-INS$31,900
AIU INSURANCE COMPANYAmerican International Groupinsurance violation2012VA-INS$31,900
New England Life Insurance Co.Brighthouse Financialinsurance violation2006CO-INS$32,000
Progressive Northwestern Insurance Co. and Progressive Direct Insurance Co.Progressiveinsurance violation2010ID-INS$32,000
Nationwide General Insurance CompanyNationwideinsurance violation2014NY-DFS$32,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2010TX-INS$32,000
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2015TX-INS$32,000
Sentinel Insurance Company, LtdHartford Financial Servicesinsurance violation2016TX-INS$32,000
XL Insurance America, Inc.AXAinsurance violation2018TX-INS$32,000
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2019TX-INS$32,000
Pruco Life Insurance CompanyPrudential Financialinsurance violation2022DE-INS$32,000
Ticor Title Company of CaliforniaFidelity National Financialwage and hour violation2022CA-LCO$32,017
National Life Insurance CompanyNational Life Groupwage and hour violation2014WHD$32,087
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.