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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 TypeYear sort iconAgencyPenalty Amount
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2006MO-INS$7,373
World Group Securities, Inc.Aegoninvestor protection violation2006MO-SEC$228,600
Metropolitan Life Insurance Co.MetLifeinsurance violation2006MO-INS$12,162
MetLife Securities, Inc.MetLifeinvestor protection violation2006MS-SEC$50,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2006MT-FIN$345,000
UBS Financial Services, Inc.UBSinvestor protection violation2006MT-FIN$4,503,166
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2006ND-SEC$17,204
Investment Centers of America Inc.LPL Financialinvestor protection violation2006ND-SEC$6,000
Berthel Fisher and Company Financial Services Inc.Berthel Fisherinvestor protection violation2006ND-SEC$8,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2006ND-SEC$229,000
Pruco Securities, LLCPrudential Financialinvestor protection violation2006NE-DBF$12,500
Eaton Vance Income Fund of BostonMorgan Stanleyinvestor protection violation2006NE-DBF$17,000
ING Life Insurance and Annuity CompanyVoya Financialinvestor protection violation2006NH-BSR$3,000,000
Progressive Northern Insurance CompanyProgressiveinsurance violation2006NH-INS$5,000
Israel Discount Bank of New YorkIsrael Discount Bankanti-money-laundering deficiencies2006NY-DFS$6,000,000
Ameritas Life Insurance Corp.Ameritas Mutual Holding Companyinsurance violation2006OR-FIN$5,000
Hartford Life and Accident Insurance CompanyHartford Financial Servicesinsurance violation2006OR-FIN$17,500
Combined Insurance Company of AmericaChubb Limitedinsurance violation2006OR-FIN$9,000
Fidelity National Title Company of OregonFidelity National Financialinsurance violation2006OR-FIN$6,000
ACE American Reinsurance CompanyChubb Limitedinsurance violation2006OR-FIN$8,300
AIG Life Insurance CompanyAmerican International Groupinsurance violation2006OR-FIN$10,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2006OR-FIN$30,000
United States Life Insurance Company in the City of New YorkAmerican International Groupinsurance violation2006OR-FIN$20,000
Progressive Northern Insurance CompanyProgressiveinsurance violation2006OR-FIN$10,000
Affinity Insurance Services Inc.Aoninsurance violation2006PA-INS$40,000
Empire Fire & Marine Insurance CompanyZurich Insuranceinsurance violation2006PA-INS$20,000
Northwestern Mutual Investment ServicesNorthwestern Mutualinsurance violation2006PA-INS$10,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2006RI-FIN$10,250
LIFE INVESTORS INSURANCE COMPANY OF AMERICAAegoninsurance violation2006VA-INS$29,000
United Services Automobile AssociationUSAAinsurance violation2006VA-INS$5,000
COMMONWEALTH LAND TITLE INSURANCE CO. ET AL.Fidelity National Financialinsurance violation2006VA-INS$300,000
MINNESOTA LIFE INSURANCE CO.Securian Financialinsurance violation2006VA-INS$18,000
RESOURCE LIFE INSURANCE CO.Assurantinsurance violation2006VA-INS$18,000
NATIONWIDE MUTUAL INSURANCE ET AL.Nationwideinsurance violation2006VA-INS$45,000
GREAT AMERICAN INSURANCE COMPANY ET ALAmerican Financial Groupinsurance violation2006VA-INS$7,200
GREAT AMERICAN INSURANCE COMPANY ET ALAmerican Financial Groupinsurance violation2006VA-INS$7,200
HARTFORD INSURANCE COMPANY OF THE MIDWESTHartford Financial Servicesinsurance violation2006VA-INS$42,800
BRISTOL WEST INSURANCE COMPANYZurich Insuranceinsurance violation2006VA-INS$20,000
Universal Underwriters Life Insurance CompanyZurich Insuranceinsurance violation2006VA-INS$24,000
SUNAMERICA SECURITIES, INC.American International Groupinvestor protection violation2006VA-SEC$10,000
MARSH USA, INC.Marsh & McLennaninsurance violation2006VA-INS$150,000
AMERICAN BANKERS INSURANCEAssurantinsurance violation2006VA-INS$45,000
AMERICAN SECURITY INSURANCE COAssurantinsurance violation2006VA-INS$45,000
STANDARD GUARANTY INSURANCE COAssurantinsurance violation2006VA-INS$45,000
Brown & Brown Insurance Agency of Virginia, Inc.Brown & Browninsurance violation2006VA-INS$5,000
AMERICAN HERITAGE LIFE INSURANCE COAllstateinsurance violation2006VA-INS$18,000
GENWORTH LIFE AND ANNUITY INSURANCE COGenworth Financialinsurance violation2006VA-INS$12,000
Life Insurance Company of the SouthwestNational Life Groupinsurance violation2006VA-INS$5,000
GENERAL AMERICAN LIFE INSURANCEMetLifeinsurance violation2006VA-INS$10,000
Merrill Lynch, Pierce, Fenner & Smith, IncorporatedBank of Americainvestor protection violation2006VA-SEC$75,000
NATIONWIDE LIFE INSURANCE CO.Nationwideinsurance violation2006VA-INS$40,000
Property & Casualty Insurance Company of HartfordHartford Financial Servicesinsurance violation2006VA-INS$5,000
Merrill Lynch, Pierce, Fenner & Smith, IncorporatedBank of Americainvestor protection violation2006VA-SEC$33,000
XL LIFE INSURANCE AND ANNUITYAXAinsurance violation2006VA-INS$10,000
American-Amicable Life Insurance CompanyAmerican-Amicable Groupinsurance violation2006MULTI-FIN$60,000,000
Liberty National Life Insurance CompanyGlobe Life Inc.discriminatory practices (non-employment)2006private lawsuit-federal$9,350,000
WHEELABRATOR FALLS INCMacquarieenvironmental violation2006PA-ENV$21,079
GlencoreGlencoreair pollution violation2006CA-ARB$10,000
LOUIS DREYFUS CITRUS, INC.Louis Dreyfusair pollution violation2006FL-DEP$7,200
THE FIFTH THIRD BANKFifth Third Bancorpenvironmental violation2006FL-DEP$16,000
GM ACCEPTANCE CORP TRUCK & BUS GRPAlly Financialhazardous waste violation2006IN-ENV$57,750
RR DONNELLEY & SONS COChatham Asset Managementhazardous waste violation2006IN-ENV$9,563
BUCKEYE PENNSAUKEN TERMINAL LLCIFM Investorsair pollution violation2006NJ-ENV$28,200
BUCKEYE PORT READING TERMINAL LLCIFM Investorsair pollution violation2006NJ-ENV$20,005
Buckeye Pipline Co.IFM Investorsoil spill2006PA-ENV$150,000
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.investor protection violation2006FINRA$4,000,000
USAllianz SecuritiesAllianzinvestor protection violation2006FINRA$5,000,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2006FINRA$250,000
RBC Dain Rauscher Inc.Royal Bank of Canadainvestor protection violation2006FINRA$250,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2006FINRA$100,000
Chase Investment Services CorporationJPMorgan Chaseinvestor protection violation2006FINRA$500,000
MetLife Securities, IncMetLifeinvestor protection violation2006FINRA$500,000
CCO Investment Services Corp.Citizens Financial Groupinvestor protection violation2006FINRA$850,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2006FINRA$800,000
MetLife, Inc.MetLifeinvestor protection violation2006FINRA$5,000,000
Morgan StanleyMorgan Stanleyinvestor protection violation2006FINRA$2,900,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2006FINRA$1,115,000
ING America Insurance Holdings Inc.Voya Financialinvestor protection violation2006FINRA$7,000,000
BRUT LLCNasdaq Inc.investor protection violation2006FINRA$2,200,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2006FINRA$350,000
Credit Suisse Securities (USA), LLCUBSinvestor protection violation2006FINRA$225,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyinvestor protection violation2006FINRA$200,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2006FINRA$5,000,000
Sanford C. Bernstein & Co.Equitable Holdingsinvestor protection violation2006FINRA$350,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2006FINRA$250,000
First American TitleFirst American Financialair pollution violation2006CA-SCAQMD$38,211
Mercury Air CentersMacquarieair pollution violation2006CA-SCAQMD$11,750
Wheelabrator Norwalk Energy Co. Inc.Macquarieair pollution violation2006CA-SCAQMD$9,000
Wedbush Morgan SecuritiesWedbush Securitiesair pollution violation2006CA-SCAQMD$5,000
Mercury Air CentersMacquarieair pollution violation2006CA-SCAQMD$10,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2006TX-PUC$27,000
GMAC Mortgage Group, Inc.Ally FinancialWARN Act violation2006private lawsuit-federal$135,000
Chicago Board Options ExchangeCBOE Holdingsprice-fixing or anti-competitive practices2006private lawsuit-federal$2,468,410
Goldman Sachs Execution & Clearing L.P.Goldman Sachsprice-fixing or anti-competitive practices2006private lawsuit-federal$2,468,410
IFCO SYSTEMS N.A., INC.Triton Investments Advisersworkplace safety or health violation2006OSHA$20,000
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2006OSHA$11,000
IFCO SYSTEMS DBA VALLEY WOOD PRODUCTS, INC.Triton Investments Advisersworkplace safety or health violation2006OSHA$5,226
BOWNE & COMPANY, INC.Chatham Asset Managementworkplace safety or health violation2006OSHA$5,250
IFCO SYSTEMSTriton Investments Advisersworkplace safety or health violation2006OSHA$9,450
LOUIS DREYFUS CITRUS INC.Louis Dreyfusworkplace safety or health violation2006OSHA$9,800
Credit Lyonnais Rouse LimitedCredit Agricoleinvestor protection violation2005CFTC$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.