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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
Wachovia Securities, LLC nka Wells Fargo Advisors, LLCWells Fargoinvestor protection violation2010CT-SEC$75,000
RiverSource Life Insurance Co.Ameriprise Financialinsurance violation2018DE-INS$75,000
Quicken Loans, Inc.Rocket Companies Inc.consumer protection violation2011IL-BKG$75,000
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2011MD-INS$75,000
The United States Life Insurance Company In the City of New YorkAmerican International Groupinsurance violation2012MD-INS$75,000
Elephant Insurance Co.Admiral Groupinsurance violation2018MD-INS$75,000
State Farm Mutual Automobile Insurance Co. and State Farm Fire and Casualty Co.State Farm Insuranceinsurance violation2001MN-FIN$75,000
Fortis Insurance Co. and John Alden Life Insurance Co.Assurantinsurance violation2002MN-FIN$75,000
Foremost Insurance Co. at al.Zurich Insuranceinsurance violation2004MN-FIN$75,000
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2017MN-FIN$75,000
Allstate Insurance Co. and Encompass Indemnity Co. et al.Allstateinsurance violation2019MN-FIN$75,000
Wachovia Securities LLCWells Fargoinvestor protection violation2007ND-SEC$75,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2015NH-BKG$75,000
Transamerica Premier Life Insurance CompanyAegoninsurance violation2016NJ-DBI$75,000
Permanent General Assurance CorporationAmerican Family Insuranceinsurance violation2014NY-DFS$75,000
Marsh USA, Inc.Marsh & McLennaninsurance violation2005OR-FIN$75,000
American General Financial Services Inc.OneMain Holdingsprivacy violation2010OR-FIN$75,000
State Farm VP Management Corp.State Farm Insuranceinvestor protection violation2013PA-BKG$75,000
Accident Fund General Insurance CompanyAF Groupinsurance violation2018TX-INS$75,000
Oscar Insurance CompanyOscar Health Inc.insurance violation2018TX-INS$75,000
Merrill Lynch, Pierce, Fenner & Smith, IncorporatedBank of Americainvestor protection violation2006VA-SEC$75,000
Unum Life Insurance Company Of AmericaUnuminsurance violation2011WA-INS$75,000
American Income Life Insurance CompanyGlobe Life Inc.insurance violation2013WA-INS$75,000
National General Insurance CompanyAllstateinsurance violation2020AZ-DIFI$75,000
Franklin Templeton Investments Corp.Franklin Resourcesinvestor protection violation2020SEC$75,000
Freedom Mortgage CorporationFreedom Mortgageconsumer protection violation2020CA-DFPI$75,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2021CA-MHC$75,000
Nationwide Mutual Insurance Company et al.Nationwideinsurance violation2021TX-INS$75,000
Spear, Leeds & Kellogg, L.P.Goldman Sachsinvestor protection violation2004FINRA$75,000
BB&T Equipment Finance LLCTruist Financialconsumer protection violation2021CA-DFPI$75,000
Foremost Insurance Company Grand Rapids MichiganZurich Insuranceinsurance violation2021WA-INS$75,000
Bankers Conseco Life Insurance CompanyCNO Financialinsurance violation2020NY-DFS$75,000
Travelers Casualty and Surety Company of AmericaTravelersinsurance violation2021NY-DFS$75,000
AIG Property Casualty CompanyAmerican International Groupinsurance violation2023TX-INS$75,000
State Farm Fire and Casualty Company et al.State Farm Insuranceinsurance violation2023TX-INS$75,000
AllstateAllstatewage and hour violation2021IL-DOL$75,000
Conseco Medical Insurance Co.CNO Financialinsurance violation2009MO-INS$75,018
Stewart Title Guarantee Co.Stewart Information Servicesinsurance violation2006MO-INS$75,087
BRISTOL WEST INSURANCE CO.Zurich Insuranceinsurance violation2011VA-INS$75,400
North Pointe Insurance Co.QBE Insuranceinsurance violation2012IN-INS$75,575
National City Mortgage Co.PNC Financial Serviceswage and hour violation2007CA-LCO$76,000
Liberty Mutual Fire Insurance Co. et al.Liberty Mutual Insuranceinsurance violation2018DE-INS$76,000
ACE Cash Express, Inc.ACE Cash Expressconsumer protection violation2016WA-FIN$76,421
Harleysville Worcester Insurance CompanyNationwideinsurance violation2015NY-DFS$76,500
Old Republic National Title Insurance Co.Old Republic Internationalinsurance violation2009MO-INS$77,375
WHEELABRATOR BALTIMOREMacquarieenvironmental violation2011MD-ENV$77,500
LOUIS DREYFUS AGRICULTURAL INDUSTRIES, LLC.Louis Dreyfusenvironmental violation2010EPA$77,628
Hartford Underwriters Insurance CompanyHartford Financial Servicesinsurance violation2010TX-INS$78,000
Wheelabrator South Broward, Inc.Macquarieenvironmental violation2021FL-DEP$78,000
Buckeye Terminals, LLCIFM Investorsenvironmental violation2021VA-ENV$78,045
Buckeye Pipe Line Co.IFM Investorsenvironmental violation2010EPA$78,780
BUCKEYE PIPELINE COMPANY LPIFM Investorsenvironmental violation2015EPA$78,780
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2013PHMSA$78,900
Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2017DE-INS$79,000
Ace American Insurance CompanyChubb Limitedinsurance violation2023UT-INS$79,000
ELEPHANT INSURANCE COMPANYAdmiral Groupinsurance violation2018VA-INS$79,017
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020FL-OFR$79,045
Securian Financial Services, Inc.Securian Financialinvestor protection violation2009MO-SEC$79,445
Lasalle Bank National AssociationBank of Americabanking violation2007OCC$79,524
El Paso Electric CompanyJPMorgan Chaselabor relations violation2012NLRB$79,692
LPL Financial LLCLPL Financialinvestor protection violation2018AL-SEC$80,000
Homebridge Financial Services, Inc.Homebridge Financial Servicesconsumer protection violation2017CA-DFPI$80,000
Liberty Mutual InsuranceLiberty Mutual Insuranceinsurance violation2018KS-INS$80,000
Harleysville Insurance Co.Nationwideinsurance violation2002MN-FIN$80,000
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherinvestor protection violation2013MO-SEC$80,000
Provident Life and Accident Insurance Co.Unuminsurance violation2000NC-INS$80,000
AXA Advisors LLCEquitable Holdingsinvestor protection violation2011OR-FIN$80,000
ACE Cash Express Inc.ACE Cash Expressconsumer protection violation2017PA-BKG$80,000
Elephant Insurance CompanyAdmiral Groupinsurance violation2020TX-INS$80,000
UBS AGUBSenvironmental violation2011CT-ENV$80,000
Imperial-Savannah, L.P.Louis Dreyfusenvironmental violation2011GA-ENV$80,000
Unitrin County Mutual Insurance CompanyKemperinsurance violation2020TX-INS$80,000
Aon Risk ServicesAonemployment discrimination2022NY-NYCCHR$80,000
Capital One BankCapital One Financialbanking violation2005WI-AG$80,032
Stifel, Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2011IL-SEC$80,224
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2023TX-INS$80,300
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2015KS-INS$81,000
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2011PHMSA$81,400
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2011CO-INS$81,400
Nationwide Insurance Company of AmericaNationwideinsurance violation2007CO-INS$81,500
CMFG Life Insurance Co.CUNA Mutualinsurance violation2016MO-INS$81,500
CitiFinancial, Inc.Citigroupconsumer protection violation2007NE-DBF$81,500
Progressive Casualty Insurance Co.Progressiveinsurance violation2018MD-INS$81,520
TD Ameritrade, Inc.Charles Schwab Corp.consumer protection violation2022TX-FIN$81,750
IFCO Systems of North America Inc.Triton Investments Adviserswage and hour violation2006WHD$82,085
CIT Bank, National AssociationFirst Citizens BancSharesbanking violation2020OCC$82,500
BUCKEYE PIPELINEIFM Investorsenvironmental violation2009IL-ENV$82,845
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2013PHMSA$83,500
Ocwen Financial CorporationOcwen Financialconsumer protection violation2019ME-AG$84,000
Sentinel Insurance Co.Hartford Financial Servicesinsurance violation2019CT-INS$84,000
Transamerica Premier Life Insurance CompanyAegoninsurance violation2021VT-FIN$84,000
IFCO Systems of North America, Inc.Triton Investments Adviserswage and hour violation2006WHD$84,459
Federal Insurance Co.Chubb Limitedinsurance violation2016MO-INS$84,500
Ameritas Life Insurance Corp. of New YorkAmeritas Mutual Holding Companyinsurance violation2020NY-DFS$84,668
Credit Lyonnais Rouse LimitedCredit Agricoleinvestor protection violation2005CFTC$85,000
American General Life Insurance Co.American International Groupinsurance violation2019DE-INS$85,000
American Alternative Insurance Corp.Munich Reinsurance violation2019MO-INS$85,000
Hartford Fire Insurance CompanyHartford Financial Servicesinsurance violation2011TX-INS$85,000
United Services Automobile Association (USAA)USAAinsurance violation2017VT-FIN$85,000
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2020SD-INS$85,000
AllstateAllstatewage and hour violation2021IL-DOL$85,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.