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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
Morgan Stanley D.W., Inc.Morgan Stanleyinvestor protection violation2004KY-FIN$100,000
Lincoln Financial Advisors Corp.Lincoln Nationalinvestor protection violation2013MA-SEC$100,000
Investment Professionals, Inc.Ameriprise Financialinvestor protection violation2017MA-SEC$100,000
Morgan Stanley & Co. Inc.Morgan Stanleyinvestor protection violation2009MD-SEC$100,000
JPMorgan Chase Bank, N.A.JPMorgan Chaseinvestor protection violation2017MD-SEC$100,000
CUNA Mutual Insurance SocietyCUNA Mutualinsurance violation2011ME-INS$100,000
Progressive Northwestern Insurance Co.Progressiveinsurance violation2011ME-INS$100,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2003MN-FIN$100,000
American Bankers Life Assurance Company of FloridaAssurantinsurance violation2003MN-FIN$100,000
National Union Fire Insurance Company of Pittsburgh, Pa.American International Groupinsurance violation2010MN-FIN$100,000
Transamerica Life Insurance Co. and Transamerica Premier Life Insurance Co.Aegoninsurance violation2019MN-FIN$100,000
Edward JonesJones Financialinvestor protection violation2010MT-FIN$100,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2010NH-INS$100,000
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesinsurance violation2012NJ-DBI$100,000
Pruco Securities, LLCPrudential Financialinvestor protection violation2013NJ-BOS$100,000
Travelers Home & Marine Insurance CompanyTravelersinsurance violation2014NY-DFS$100,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2015NY-DFS$100,000
BCS Insurance CompanyBCS Financial Corporationinsurance violation2016NY-DFS$100,000
LPL Financial LLCLPL Financialinvestor protection violation2011OR-FIN$100,000
MML Investors Services LLCMassachusetts Mutual Life Insuranceinvestor protection violation2015PA-BKG$100,000
Travelers Indemnity Co.Travelersinsurance violation2017PA-INS$100,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2015SD-INS$100,000
American Family Life Assurance CompanyAflacinsurance violation2019SD-INS$100,000
Scottrade Inc.Charles Schwab Corp.investor protection violation2016TX-SEC$100,000
Lincoln National Life Insurance CompanyLincoln Nationalinsurance violation2016TX-INS$100,000
Travelers Casualty and Surety Company of AmericaTravelersinsurance violation2016TX-INS$100,000
The General Automobile Insurance Company Inc.American Family Insuranceinsurance violation2018TX-INS$100,000
Catlin Insurance Company Inc.AXAinsurance violation2018UT-INS$100,000
UBS FINANCIAL SERVICES, INC.UBSinvestor protection violation2007VA-SEC$100,000
AIU INSURANCE COMPANY ET AL.American International Groupinsurance violation2008VA-INS$100,000
National Union Fire Insurance Company Of Pittsburgh, PaAmerican International Groupinsurance violation2010WA-INS$100,000
Fidelity National Title Insurance CompanyFidelity National Financialinsurance violation2012WA-INS$100,000
Hartford Accident & Indemnity Company et al.Hartford Financial Servicesinsurance violation2013WA-INS$100,000
Farmers Insurance Company Of WashingtonZurich Insuranceinsurance violation2015WA-INS$100,000
Metropolitan Life Insurance CompanyMetLifeinsurance violation2016WA-INS$100,000
Lincoln National Life Insurance CompanyLincoln Nationalinsurance violation2019WA-INS$100,000
Principal Life Insurance Co.Principal Financialinsurance violation2000WA-INS$100,000
AIG Warranty Guard, Inc.American International Groupinsurance violation2000WI-INS$100,000
Conseco Senior Health Insurance Co.CNO Financialinsurance violation2008WI-INS$100,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2020MO-INS$100,000
Ameritas Investment Company LLCAmeritas Mutual Holding Companyinvestor protection violation2020PA-BKG$100,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2009FINRA$100,000
UBS Financial Services, Inc.UBSinvestor protection violation2009FINRA$100,000
Pruco SecuritiesPrudential Financialinvestor protection violation2008FINRA$100,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2008FINRA$100,000
Northwestern Mutual Investment Services, LLCNorthwestern Mutualinvestor protection violation2007FINRA$100,000
AllianceBernstein Investments, Inc.Equitable Holdingsinvestor protection violation2007FINRA$100,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2006FINRA$100,000
SunTrust Capital Markets, Inc.Truist Financialinvestor protection violation2005FINRA$100,000
SunAmerica Securities, Inc.American International Groupinvestor protection violation2004FINRA$100,000
CUNA Brokerage Services, Inc.CUNA Mutualinvestor protection violation2001FINRA$100,000
Kemper Distributors, Inc.Kemperinvestor protection violation2000FINRA$100,000
Prudential Securities, Inc.Wells Fargoinvestor protection violation2000FINRA$100,000
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2021WA-INS$100,000
Chubb Seguros Mexico, S.A.Chubb Limitedinsurance violation2022TX-INS$100,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2009TX-PUC$100,000
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceinsurance violation2021WA-INS$100,000
Acadia Insurance CompanyW.R. Berkleyinsurance violation2022VT-FIN$100,000
State Farm Mutual Automobile Insurance Company et al.State Farm Insuranceinsurance violation2022AZ-DIFI$100,000
Citizens BankCitizens Financial Groupemployment discrimination2023EEOC$100,000
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceinsurance violation2024OR-FIN$100,000
STATE FARM FIRE & CASUALTY COMPANY et al.State Farm Insuranceinsurance violation2024WA-INS$100,000
Wells Fargo & CompanyWells Fargowage and hour violation2014WHD$100,001
CashCall, Inc. and Western Sky Financial, LLC et al.CashCall Inc.payday lending violation2014MD-FIN$100,018
TD AmeritradeCharles Schwab Corp.investor protection violation2014SEC$100,800
Prospect Mortgage, LLCHomebridge Financial Servicesconsumer protection violation2012NH-BKG$101,185
HealthNowHighmark Inc.insurance violation2012NY-DFS$101,640
Illinois Union Ins CoChubb Limitedinsurance violation2019WA-INS$102,000
Transamerica Life Insurance CompanyAegoninsurance violation2023MD-INS$102,000
Bankers Life and Casualty Co.CNO Financialinvestor protection violation2015MO-SEC$102,178
BUCKEYE PARTNERS LPIFM Investorspipeline safety violation2013PHMSA$102,800
Bankers Life & Casualty Co.CNO Financialinsurance violation2011ME-INS$102,801
Metropolitan Life Insurance Co.MetLifeinsurance violation2012FL-OFR$103,000
Allstate Insurance CompanyAllstateinsurance violation2017RI-FIN$103,414
Time Insurance Co.Haven Holdingsinsurance violation2009CO-INS$103,500
BUCKEYE PORT READING TERMINAL LLCIFM Investorsair pollution violation2005NJ-ENV$103,600
Allied Cash Advance California, LLCCNG Financialpayday lending violation2011CA-DFPI$103,709
LOUIS DREYFUS AGRICULTURAL INDUSTRIES LLCLouis Dreyfusair pollution violation2011IN-ENV$103,750
Freedom Mortgage CorporationFreedom Mortgagediscriminatory practices (non-employment)2014HUD$104,000
Synagro NortheastGoldman Sachsenvironmental violation2017EPA$104,000
RR Donnelly & Sons CompanyChatham Asset Managementwage and hour violation2016WHD$104,981
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2015DE-SEC$105,000
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2008KY-FIN$105,000
LendingClub Corp.LendingClub Corp.investor protection violation2012MO-SEC$105,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2020VT-AG$105,000
Bryn Mawr Trust CompanyWSFS Financial Corp.banking violation2021FED$105,000
Deutsche Bank Trust Company AmericasDeutsche Bankbanking violation2022FED$105,500
Towers PerrinWillis Towers Watsonwage and hour violation2005WHD$105,865
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2020CT-INS$106,000
American General Life Insurance CompanyAmerican International Groupinsurance violation2021DE-INS$106,000
Wheelabrator Falls Inc.Macquarieair pollution violation2005PA-ENV$106,849
LIBERTY MUTUAL FIRE INSURANCELiberty Mutual Insuranceinsurance violation2018VA-INS$108,053
IFCO Systems of North America, Inc.Triton Investments Adviserswage and hour violation2006WHD$108,261
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2004FINRA$109,527
MUFG Union Bank, National AssociationU.S. Bancorpbanking violation2019OCC$109,667
Bank of AmericaBank of Americaemployment discrimination2014EEOC$110,000
Comerica BankComericatoxic securities abuses2008MI-AG$110,000
Wells Fargo Financial Texas, Inc.Wells Fargoemployment discrimination2003EEOC$110,000
National Union Fire Insurance Company Of Pittsburgh, PaAmerican International Groupinsurance violation2015WA-INS$110,000
William Penn Life Insurance Company of New YorkLegal & General Group PLCinsurance violation2020NY-DFS$110,000
American States Preferred Insurance CompanyLiberty Mutual Insuranceinsurance violation2021MD-INS$111,176
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.