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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
Allstate Insurance CompanyAllstateinsurance violation2011WA-INS$50,000
State Farm Fire & Casualty CompanyState Farm Insuranceinsurance violation2012WA-INS$50,000
American Guarantee & Liability Insurance Company et al.Zurich Insuranceinsurance violation2013WA-INS$50,000
Farmers Insurance Exchange And Mid-Century Insurance CompanyFarmers Insurance Exchangeinsurance violation2017WA-INS$50,000
Crestbrook Insurance CompanyNationwideinsurance violation2018WA-INS$50,000
Ameritas Life Insurance CorpAmeritas Mutual Holding Companyinsurance violation2019WA-INS$50,000
Producers Agriculture Insurance CompanyTokio Marineinsurance violation2019WA-INS$50,000
Farmers Insurance Company Of Washington And Farmers Insurance ExchangeZurich Insuranceinsurance violation2020WA-INS$50,000
AIG Warranty Guard, Inc.American International Groupinsurance violation2003WI-INS$50,000
Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2007WI-FIN$50,000
USAA Casualty Insurance Co.USAAinsurance violation2020OR-FIN$50,000
Northwestern Mutual Life Insurance Co.Northwestern Mutualinsurance violation2020WA-INS$50,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2020OR-FIN$50,000
Allstate Insurance CompanyAllstateinsurance violation2020OR-FIN$50,000
ACE AMERICAN INSURANCE COMPANY ET AL.Chubb Limitedinsurance violation2020WA-INS$50,000
JPMorgan Chase BankJPMorgan Chasediscriminatory practices (non-employment)2021HUD$50,000
First American Title Co.First American Financialinsurance violation2021CA-INS$50,000
PNC Capital Markets LLCPNC Financial Servicesinvestor protection violation2016FINRA$50,000
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.investor protection violation2008FINRA$50,000
Credit Suisse First Boston, L.L.C.UBSinvestor protection violation2004FINRA$50,000
AMERICAN FAMILY INSURANCE COMPANYAmerican Family Insuranceinsurance violation2021WA-INS$50,000
NATIONAL CASUALTY COMPANYNationwideinsurance violation2021WA-INS$50,000
OCWEN FINANCIAL CORPORATIONOcwen Financialbenefit plan administrator violation2021EBSA$50,000
United States Fire Insurance Co.Fairfax Financial Holdingsconsumer protection violation2021CO-AG$50,000
CUNA Brokerage Services, Inc.CUNA Mutualinvestor protection violation2021AR-SEC$50,000
Allstate Indemnity CompanyAllstateinsurance violation2021MD-INS$50,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2010TX-PUC$50,000
Homesite Insurance CompanyAmerican Family Insuranceinsurance violation2022WA-INS$50,000
National Union Fire Insurance Company of Pittsburgh, PA. et al.American International Groupinsurance violation2021NY-DFS$50,000
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceinsurance violation2022WA-INS$50,000
LAWYERS TITLE COMPANYFidelity National Financialinsurance violation2022CA-INS$50,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2022SC-SEC$50,000
UNITED SERVICES AUTOMOBILE ASSOCIATION et a.USAAinsurance violation2022WA-INS$50,000
American Family Connect Insurance CompanyAmerican Family Insuranceinsurance violation2022NY-DFS$50,000
Nationwide Agribusiness Insurance CompanyNationwideinsurance violation2023NY-DFS$50,000
E*Trade Group, Inc.Morgan Stanleybenefit plan administrator violation2008EBSA$50,001
FRED ALGER & COMPANY, INCORPORATEDAlger Associatesbenefit plan administrator violation2007EBSA$50,001
FIRST FINANCIAL BANCORPFirst Financial Bancorp.benefit plan administrator violation2007EBSA$50,001
LAVA TRADING INC.Citigroupbenefit plan administrator violation2006EBSA$50,001
AMERICAN INTERNATIONAL GROUP INC GROUP LIFE & MEDICAL INSURANCE PLANAmerican International Groupbenefit plan administrator violation2005EBSA$50,001
OCWEN FINANCIAL CORPORATIONOcwen Financialbenefit plan administrator violation2020EBSA$50,001
OCWEN FINANCIAL CORPORATIONOcwen Financialbenefit plan administrator violation2020EBSA$50,001
OCWEN FINANCIAL CORPORATIONOcwen Financialbenefit plan administrator violation2020EBSA$50,001
USAA General Indemnity CompanyUSAAinsurance violation2023OR-FIN$50,200
Banco PopularPopular Inc.wage and hour violation2016private lawsuit-federal$50,243
Buckeye Partners LPIFM Investorsenvironmental violation2017PHMSA$50,400
J.P. Morgan Securities, LLCJPMorgan Chaseinvestor protection violation2014NJ-AG$50,460
ESURANCE INSURANCE COMPANYAllstateinsurance violation2015VA-INS$50,508
STATE FARM MUTUAL INSURANCE COState Farm Insuranceinsurance violation2017VA-INS$50,600
Permanent General Assurance Corporation of OhioAmerican Family Insuranceinsurance violation2019CO-INS$50,974
Jackson FinancialJackson Financialwage and hour violation2018MI-LEO$51,118
J.P. Morgan Securities, LLCJPMorgan Chaseinvestor protection violation2014AK-DBS$51,120
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020CT-SEC$51,136
Wells Fargo Bank, National AssociationWells Fargobanking violation2009OCC$51,205
Nationwide Mutual Insurance Co.Nationwideinsurance violation2016MO-INS$51,250
Huntington National BankHuntington Bancshareswage and hour violation2005WHD$51,259
NATIONWIDE MUTUAL FIRE, ET AL.Nationwideinsurance violation2011VA-INS$51,384
J.P. Morgan SecuritiesJPMorgan Chaseinvestor protection violation2014DE-AG$51,400
SunTrust Mortgage Inc.Truist Financialwage and hour violation2012WHD$51,518
RBC Capital Markets Corp.Royal Bank of Canadainvestor protection violation2010NJ-AG$51,724
AIG Assurance CompanyAmerican International Groupinsurance violation2016TX-INS$51,750
Mutual of Omaha BankFirst Citizens BancSharesbanking violation2013OCC$51,765
Ocwen Financial Solutions, Private Ltd.Ocwen Financialconsumer protection violation2017CA-DFPI$52,000
Nationwide Insurance Company of America et al.Nationwideinsurance violation2011IA-INS$52,000
First American Title Insurance Co.First American Financialinsurance violation2020MD-INS$52,000
CIT GroupFirst Citizens BancSharesconsumer protection violation2009NE-DBF$52,000
Hartford Accident and Indemnity CompanyHartford Financial Servicesinsurance violation2022TX-INS$52,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020CA-DFPI$52,047
Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2009MO-SEC$52,300
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020PA-BKG$52,372
Thomas Weisel Partners LLCStifel Financialinvestor protection violation2006CT-SEC$52,480
Investment Professionals, Inc.Ameriprise Financialinvestor protection violation2009MO-SEC$52,500
PROGRESSIVE NORTHERN INSURANCEProgressiveinsurance violation2016VA-INS$52,619
Freedom Mortgage Corp.Freedom Mortgageconsumer protection violation2009WA-FIN$52,791
Wausau Underwriters Insurance Co.Liberty Mutual Insuranceinsurance violation2002FL-OFR$53,000
Life Investors Insurance Company of AmericaAegoninsurance violation2006FL-OFR$53,000
Jackson National Life Insurance Co.Jackson Financialinsurance violation2010FL-OFR$53,000
Sentry InsuranceSentry Insuranceconsumer protection violation2014MA-AG$53,430
American Zurich Insurance CompanyZurich Insuranceinsurance violation2018TX-INS$53,750
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2014CT-SEC$53,800
J.P. Morgan SecuritiesJPMorgan Chaseinvestor protection violation2014SEC$54,000
Countrywide Home Loans, Inc.Bank of Americaconsumer protection violation2010IL-BKG$54,000
Highmark, Inc.Highmark Inc.campaign finance violation2005FEC$54,078
Household InternationalHSBCwage and hour violation2003WHD$54,328
Countrywide Financial CorporationBank of Americawage and hour violation2004WHD$54,453
CINCINNATI INSURANCE COMPANYCincinnati Financialinsurance violation2016VA-INS$54,475
MetLife Investors USA Insurance CompanyMetLifeinsurance violation2009NH-INS$54,524
United Casualty Insurance Company of AmericaKemperinsurance violation2019MD-INS$54,900
Citibank N.A.Citigroupprivacy violation2013CT-AG$55,000
The Travelers Indemnity Company of America et al.Travelersinsurance violation2014MD-INS$55,000
Household Finance CorpoationHSBCconsumer protection violation2008NE-DBF$55,000
MLD Mortgage Inc. dba The Money StoreMLD Mortgage Inc. dba The Money Storeconsumer protection violation2016PA-BKG$55,000
Stewart Title Guaranty CompanyStewart Information Servicesinsurance violation2009TX-INS$55,000
Travelers Indemnity CompanyTravelersinsurance violation2010TX-INS$55,000
Chubb Lloyds Insurance Company of TexasChubb Limitedinsurance violation2018TX-INS$55,000
National Union Fire Insurance Company Of Pittsburgh, PaAmerican International Groupinsurance violation2010WA-INS$55,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2016WA-FIN$55,000
First American Title Co.First American Financialinsurance violation2021CA-INS$55,000
Marsh USA Inc.Marsh & McLennaninsurance violation2023AK-INS$55,000
R.R. DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2002OSHA$55,000
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankwage and hour violation2005WHD$55,208
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.