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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 CompaniesTotal Penalty $Number of Records
Bank of America$87,286,650,890328
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$14,370,701,61843
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
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2014CO-INS$48,400
Ameriprise Advisor Services Inc.Ameriprise Financialinvestor protection violation2009RI-FIN$48,411
Commerce and Industry Insurance CompanyAmerican International Groupinsurance violation2014NY-DFS$48,500
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2020MO-INS$48,500
Great Plains Specialty Finance Inc. dba Check 'N GoCNG Financialconsumer protection violation2019OK-DCC$48,600
BUCKEYE PERTH AMBOY TERMINAL LLCIFM Investorsenvironmental violation2023NJ-ENV$48,640
HORACE MANN INSURANCE CO., ET AL.Horace Mann Educators Corp.insurance violation2011VA-INS$48,800
American Security Insurance CompanyAssurantemployment discrimination2020EEOC$49,000
Harleysville Insurance Co.Nationwideinsurance violation2020CT-INS$49,000
John Hancock Life Insurance Company (U.S.A.)Manulife Financialinsurance violation2018OR-FIN$49,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2015TX-INS$49,000
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2019NY-DFS$49,020
Sorrento Pacific Financial, LLCAtria Wealth Solutionsinvestor protection violation2019SEC$49,162
Mercer HR Services, LLCMarsh & McLennanwage and hour violation2006WHD$49,474
Farmers Insurance Exchange and Truck Insurance Exchange and Mid-Century Insurance Co.Farmers Insurance Exchangeinsurance violation2006CO-INS$49,500
American Alternative Insurance Corp.Munich Reinsurance violation2019CT-INS$49,500
The Travelers Indemnity Company ofAmericaTravelersinsurance violation2020VA-INS$49,500
National City Corporation d/b/a National City BankPNC Financial Serviceslabor relations violation2008NLRB$49,597
Great Plains Specialty Finance, Inc., d/b/a Check 'n goCNG Financialconsumer protection violation2017NE-DBF$49,600
Capital One BankCapital One Financialdiscriminatory practices (non-employment)2022DOJ_RIGHTS$49,728
BUCKEYE TERMINALS LLCIFM Investorsair pollution violation2016IN-ENV$49,750
Arthur J. Gallagher & Co. Insurance Brokers of California, Inc.Arthur J. Gallagher & Co.insurance violation2023NY-DFS$49,850
Buckeye PartnersIFM Investorsrailroad safety violation2014FRA$50,000
UBS Fund Advisor, LLCUBSdata submission deficiencies2009CFTC$50,000
Guy Carpenter & Company, IncMarsh & McLennaneconomic sanction violation2003OFAC$50,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2009SEC$50,000
Western Asset Management Co.Franklin Resourcesinvestor protection violation2001SEC$50,000
Legg Mason Fund Adviser, Inc.Franklin Resourcesinvestor protection violation2001SEC$50,000
Legg Mason Wood Walker, IncorporatedFranklin Resourcesinvestor protection violation2001SEC$50,000
Asurion, LLCAsurionemployment discrimination2019EEOC$50,000
Bank of AmericaBank of Americadiscriminatory practices (non-employment)2006MA-AG$50,000
Liberty MutualLiberty Mutual Insuranceconsumer protection violation2007MA-AG$50,000
Liberty Mutual Insurance Group Inc.Liberty Mutual Insuranceconsumer protection violation2018MA-AG$50,000
Metropolitan Property and Casualty Insurance Co.Zurich Insuranceconsumer protection violation2013MA-AG$50,000
United Services Automobile AssociationUSAAdiscriminatory practices (non-employment)2014MA-AG$50,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2017AR-INS$50,000
IberiaBank Mortgage Co.First Horizon Nationalconsumer protection violation2016AR-SEC$50,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2018AR-SEC$50,000
American Family Connect Property and Casualty Insurance CompanyAmerican Family Insuranceinsurance violation2020AZ-DIFI$50,000
21st Century Insurance Co. and 21st Century Casualty Co.Zurich Insuranceinsurance violation2007CA-INS$50,000
SunTrust Mortgage, Inc.Truist Financialmortgage abuses2016CA-DFPI$50,000
Guaranteed Rate, Inc.Guaranteed Rate Inc.consumer protection violation2017CA-DFPI$50,000
Amerisave Mortgage Corp.AmeriSave Mortgageconsumer protection violation2017CA-DFPI$50,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2007CO-INS$50,000
Wilmington Trust Co.M&T Bankinvestor protection violation2005DE-SEC$50,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2005FL-OFR$50,000
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2005FL-OFR$50,000
Ticor Title Insurance Co.Fidelity National Financialinsurance violation2005FL-OFR$50,000
USAA Life Insurance Co.USAAinsurance violation2009FL-OFR$50,000
GMAC Mortgage, LLCAlly Financialconsumer protection violation2010IL-BKG$50,000
State Farm Mutual Automobile Insurance Co. and State Farm Fire and Casualty Co.State Farm Insuranceinsurance violation2011IL-INS$50,000
Farmers Insurance Company, Inc.Zurich Insuranceinsurance violation2013KS-INS$50,000
Wachovia Securities, LLCWells Fargoinvestor protection violation2008MD-SEC$50,000
National General Assurance Co.Allstateinsurance violation2011MD-INS$50,000
Wells Fargo Advisors LLCWells Fargoinvestor protection violation2012MD-SEC$50,000
Erie Insurance ExchangeErie Indemnityinsurance violation2012MD-INS$50,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2013MD-SEC$50,000
Phoenix Insurance Co. and Travelers Property Casualty Company of AmericaTravelersinsurance violation2013MD-INS$50,000
NYLIFE Securities LLCNew York Life Insuranceinvestor protection violation2019ME-SEC$50,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2020MI-SEC$50,000
Transamerica Life Insurance Co. et al.Aegoninsurance violation2012MN-FIN$50,000
USAA Casualty Insurance Co.USAAinsurance violation2015MN-FIN$50,000
Safeco Insurance Company of IllinoisLiberty Mutual Insuranceinsurance violation2016MN-FIN$50,000
State Farm Mutual Automobile Insurance Co.State Farm Insuranceinsurance violation2017MN-FIN$50,000
American Income Life Insurance Co.Globe Life Inc.insurance violation2002MS-INS$50,000
Conseco Life Insurance Co.CNO Financialinsurance violation2003MS-INS$50,000
MetLife Securities, Inc.MetLifeinvestor protection violation2006MS-SEC$50,000
Stifel, Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2017MS-SEC$50,000
Time Insurance Co.Haven Holdingsinsurance violation2010MT-FIN$50,000
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2013MT-FIN$50,000
Bankers Life and Casualty Co.CNO Financialinsurance violation2013MT-FIN$50,000
Hartford Life Insurance Co. and Hartford Life and Accident Insurance Co.Hartford Financial Servicesinsurance violation2016MT-FIN$50,000
Santander Securities, LLCBanco Santanderinvestor protection violation2019NH-BSR$50,000
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2015NJ-DBI$50,000
Western Sky Financial, LLC et al.CashCall Inc.consumer protection violation2013NV-BKG$50,000
Seneca Insurance Company, Inc.Fairfax Financial Holdingsinsurance violation2013NY-DFS$50,000
Selective Insurance Company of New YorkSelective Insurance Groupinsurance violation2014NY-DFS$50,000
Selective Insurance Company of AmericaSelective Insurance Groupinsurance violation2014NY-DFS$50,000
Selective Way Insurance CompanySelective Insurance Groupinsurance violation2014NY-DFS$50,000
Combined Life Insurance Company of New YorkChubb Limitedinsurance violation2015NY-DFS$50,000
Allstate Fire and Casualty Insurance CompanyAllstateinsurance violation2016NY-DFS$50,000
Hartford Life Insurance CompanyHartford Financial Servicesinsurance violation2016NY-DFS$50,000
Guardian Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2016NY-DFS$50,000
Mid-Century Insurance CompanyZurich Insuranceinsurance violation2019NY-DFS$50,000
Allstate Insurance CompanyAllstateinsurance violation2013OR-FIN$50,000
Hartford Insurance Company of the MidwestHartford Financial Servicesinsurance violation2019OR-FIN$50,000
Combined Insurance Company of AmericaChubb Limitedinsurance violation2005PA-INS$50,000
Marsh USA Inc.Marsh & McLennaninsurance violation2008PA-INS$50,000
Amerisave Mortgage CorporationAmeriSave Mortgageconsumer protection violation2009PA-BKG$50,000
Safeco Insurance Company of IndianaLiberty Mutual Insuranceinsurance violation2010PA-INS$50,000
General Casualty Company of WisconsinQBE Insuranceinsurance violation2015PA-INS$50,000
Ace American Insurance Company et al.Chubb Limitedinsurance violation2008TX-INS$50,000
Securian Financial Services Inc.Securian Financialinvestor protection violation2009TX-SEC$50,000
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2010TX-INS$50,000
Fidelity & Guaranty Insurance CompanyFidelity National Financialinsurance violation2010TX-INS$50,000
Stewart Title CompanyStewart Information Servicesinsurance violation2015TX-INS$50,000
Colonial County Mutual Insurance Company and Titan Insurance Services Inc.Nationwideinsurance violation2018TX-INS$50,000
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2011UT-INS$50,000
ALLSTATE INSURANCE CO., ET AL.Allstateinsurance violation2003VA-INS$50,000
Ace American Insurance CompanyChubb Limitedinsurance violation2011WA-INS$50,000
Allstate Insurance CompanyAllstateinsurance violation2011WA-INS$50,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.