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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
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankwage and hour violation2005WHD$55,208
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2009MO-INS$55,496
CATHAY BANKCathay General Bancorpbanking violation2008FDIC$55,500
Bankers Life and Casualty Co.CNO Financialinsurance violation2016DE-INS$55,500
AIG Property Casualty CompanyAmerican International Groupinsurance violation2016TX-INS$55,800
Federal Home Loan Mortgage Corp.Freddie Mac (Federal Home Loan Mortgage Corporation)environmental violation2012VA-ENV$55,802
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2014SEC$56,000
Old National BankOld National Bancorpbanking violation2008OCC$56,000
Ace American Insurance Co.Chubb Limitedinsurance violation2007FL-OFR$56,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2014TX-INS$56,000
INDEPENDENT BANKIndependent Bank Corp. (Michigan)banking violation2015FED$56,205
UBS Financial ServicesUBSinvestor protection violation2014SEC$56,400
Permanent General Assurance Corp.American Family Insuranceinsurance violation2019CO-INS$56,494
TCF National BankHuntington Bancsharesbanking violation2016OCC$56,500
Progressive Direct Insurance CompanyProgressiveinsurance violation2020CT-INS$56,500
Nationwide General Insurance Co. et al.Nationwideinsurance violation2019DE-INS$56,600
National City BankPNC Financial Servicesbanking violation2003OCC$56,800
Monumental Life Insurance Co.Aegoninsurance violation2015AZ-DIFI$57,000
FORTIS INSURANCE COMPANYAssurantinsurance violation2001VA-INS$57,000
Hartford Casualty Insurance Co.Hartford Financial Servicesinsurance violation2019CT-INS$57,500
New Day Financial LLCNew Day Financial LLCconsumer protection violation2011PA-BKG$57,500
Wells Fargo Bank N.A.Wells Fargowage and hour violation2019WHD$57,675
GM ACCEPTANCE CORP TRUCK & BUS GRPAlly Financialenvironmental violation2006IN-ENV$57,750
Northwestern Mutual Life Insurance Co.Northwestern Mutualinsurance violation2019NY-DFS$57,937
Rabobank National AssociationRabobankbanking violation2017OCC$58,000
Foremost Insurance Company Grand Rapids, MichiganZurich Insuranceinsurance violation2015AZ-DIFI$58,000
IAC Spartanburg, Inc.Invescoenvironmental violation2015SC-ENV$58,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2022TX-INS$58,500
Allstate Financial Services, Inc.Allstateconsumer protection violation2003WA-FIN$58,988
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP N.A. INCInvescoworkplace safety or health violation2008OSHA$59,000
Stewart Title Co.Stewart Information Servicesinsurance violation2015IN-INS$59,400
Riversource Life Insurance CompanyAmeriprise Financialinsurance violation2023WA-INS$59,613
Morgan Keegan & Co.Raymond James Financialinvestor protection violation2012AR-SEC$59,659
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2016WA-FIN$59,678
The Northern Trust CompanyNorthern Trustinvestor protection violation2015SEC$60,000
Stifel Nicolaus & Co.Stifel Financialinvestor protection violation2014SEC$60,000
Comerica Securities, Inc.Comericainvestor protection violation2015SEC$60,000
U.S. Bank Municipal Securities GroupU.S. Bancorpinvestor protection violation2015SEC$60,000
Citibank NACitigroupexport control violation2018BIS$60,000
Healthnow New YorkHighmark Inc.consumer protection violation2016NY-AG$60,000
Next Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2012AL-SEC$60,000
Time Insurance Co.Haven Holdingsinsurance violation2013AZ-DIFI$60,000
Philadelphia Indemnity Insurance Co.Tokio Marineinsurance violation2008CA-INS$60,000
Liberty National Life Insurance Co.Globe Life Inc.insurance violation2011FL-OFR$60,000
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2019KS-INS$60,000
Hartford Life and Accident Insurance Co.Hartford Financial Servicesinsurance violation2016MD-INS$60,000
Jackson National Life Insurance Co.Jackson Financialinsurance violation2012MN-FIN$60,000
Esurance Property and Casualty Insurance Co.Allstateinsurance violation2015MN-FIN$60,000
Allstate Insurance Co.Allstateinsurance violation2006MO-INS$60,000
Tokio Marine Kiln Syndicates Limited et al.Tokio Marineinsurance violation2018NJ-DBI$60,000
Time Insurance CompanyHaven Holdingsinsurance violation2007OR-FIN$60,000
Allstate Fire & Casualty Insurance CompanyAllstateinsurance violation2018RI-FIN$60,000
Commerce and Industry Insurance CompanyAmerican International Groupinsurance violation2010TX-INS$60,000
Travelers Indemnity CompanyTravelersinsurance violation2010TX-INS$60,000
Travelers Indemnity Company of ConnecticutTravelersinsurance violation2015TX-INS$60,000
STATE FARM MUTUAL, ET AL.State Farm Insuranceinsurance violation2011VA-INS$60,000
NEXT FINANCIAL GROUP, INC.Atria Wealth Solutionsinvestor protection violation2017VA-SEC$60,000
Prosper Marketplace Inc.Prosper Marketplaceconsumer protection violation2016VT-FIN$60,000
Titan Indemnity Company; Victoria Fire & Casualty CompanyNationwideinsurance violation2017WA-INS$60,000
Chase Investment Services Corp.JPMorgan Chaseinvestor protection violation2005FINRA$60,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2005FINRA$60,000
State Farm Fire & Casualty CompanyState Farm Insuranceinsurance violation2020CT-INS$60,000
JP Morgan Chase Bank, NAJPMorgan Chaseemployment discrimination2019CA-CRD$60,000
Ace American Insurance CompanyChubb Limitedinsurance violation2023TX-INS$60,000
Old Republic National Title Insurance Co.Old Republic Internationalinsurance violation2019MO-INS$60,050
Mutual of Omaha Insurance Co.Mutual of Omahainsurance violation2019CT-INS$60,500
John Hancock Life Insurance CompanyManulife Financialinsurance violation2020VA-INS$60,600
J.P. Morgan Chase & Co. and Forum Temporary ServicesJPMorgan Chaselabor relations violation2006NLRB$60,760
Charles Schwab & Co, Inc.Charles Schwab Corp.investor protection violation2004FINRA$60,869
Massachusetts Mutual Life Insurance Company, Inc.Massachusetts Mutual Life Insuranceinsurance violation2019CT-INS$61,000
Stifel, Nicolaus & Company Inc.Stifel Financialinvestor protection violation2014NE-DBF$61,000
First American Title Insurance CompanyFirst American Financialinsurance violation2009OR-FIN$61,000
Oppenheimer & Co.Oppenheimer Holdingsinvestor protection violation2014SEC$61,200
Safety National Casualty Co.Tokio Marineinsurance violation2013MO-INS$61,250
Charles Schwab & Co.Charles Schwab Corp.investor protection violation2014SEC$61,800
Chicago Title Insurance Company,Fidelity National Financialinsurance violation2010CT-INS$62,000
Travelers Property Casualty Company of AmericaTravelersinsurance violation2016TX-INS$62,000
THE GUARDIAN LIFE INSURANCE COGuardian Life Insuranceinsurance violation2010VA-INS$62,000
PHH Mortgage CorporationOcwen Financialconsumer protection violation2020CA-DFPI$62,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2003FL-OFR$62,250
Vitol, Inc.Vitolemployment discrimination2012EEOC$62,500
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2012TX-INS$62,500
Hartford Fire Insurance Co.Hartford Financial Servicesinsurance violation2016MO-INS$62,541
Hartford Accident and Indemnity Co.Hartford Financial Servicesinsurance violation2016MO-INS$62,541
Hartford Casualty Insurance Co.Hartford Financial Servicesinsurance violation2016MO-INS$62,541
Hartford Underwriters Insurance Co.Hartford Financial Servicesinsurance violation2016MO-INS$62,541
Hartford Insurance Company of the MidwestHartford Financial Servicesinsurance violation2016MO-INS$62,541
Twin City Fire Insurance Co.Hartford Financial Servicesinsurance violation2016MO-INS$62,541
North River Insurance Co.Fairfax Financial Holdingsinsurance violation2012CO-INS$62,700
Santander Mortgage CorporationBanco Santanderwage and hour violation2004WHD$62,895
AGCS Marine Insurance Co.Allianzinsurance violation2017KS-INS$63,483
Fidelity Brokerage Services, Inc. dba Fidelity InvestmentsFidelity Investmentseconomic sanction violation2005OFAC$63,853
Mid-Century Insurance Co.Zurich Insuranceinsurance violation2019CT-INS$64,000
American Fire & Casualty CompanyLiberty Mutual Insuranceinsurance violation2021MO-INS$64,000
NATIONWIDE MUTUAL INSURANCE CO ET ALNationwideinsurance violation2003VA-INS$64,080
American Home Assurance CompanyAmerican International Groupinsurance violation2002MA-INS$64,546
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2020MD-INS$64,600
UBS Financial Services, Inc.UBSinvestor protection violation2013AK-DBS$64,661
Prudential Securities, Inc.Wells Fargodata submission deficiencies2002CFTC$65,000
The Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2019CT-INS$65,000
Cincinnati Insurance Co.Cincinnati Financialinsurance violation2007FL-OFR$65,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.