Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$325,206,110,617
Number of Records: 
5,976
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 Parent CompaniesTotal Penalty $Number of Records
Bank of America$82,700,046,034213
JPMorgan Chase$34,530,243,993154
Citigroup$25,045,655,764120
Wells Fargo$21,199,943,231179
Deutsche Bank$18,156,533,87859
UBS$16,792,800,91083
Royal Bank of Scotland$13,455,904,00027
Goldman Sachs$13,140,380,98740
BNP Paribas$12,132,582,95017
Credit Suisse$10,409,957,62631


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.
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
Company Parent Primary Offense Type Year Agencysort icon Penalty Amount
Societe Generale International Limited Societe Generale investor protection violation 2019 CFTC $2,500,000
HSBC Bank USA, N.A. HSBC investor protection violation 2019 CFTC $650,000
RBC Capital Markets, LLC Royal Bank of Canada investor protection violation 2019 CFTC $5,000,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America investor protection violation 2019 CFTC $300,000
Goldman Sachs & Co. LLC Goldman Sachs investor protection violation 2019 CFTC $1,000,000
The Bank of Nova Scotia Scotiabank investor protection violation 2020 CFTC $50,000,000
The Bank of Nova Scotia Scotiabank investor protection violation 2020 CFTC $77,400,000
Interactive Brokers LLC Interactive Brokers Group anti-money-laundering deficiencies 2020 CFTC $12,206,214
Deutsche Bank AG Deutsche Bank investor protection violation 2020 CFTC $9,000,000
Deutsche Bank Securities Inc. Deutsche Bank investor protection violation 2020 CFTC $1,250,000
Torchmark Corporation Globe Life Inc. Medicare Parts C and D Enforcement Action 2014 CMS $40,000
Torchmark Corporation Globe Life Inc. Medicare Parts C and D Enforcement Action 2013 CMS $150,000
Blue Shield of California Promise Health Plan California Physicians' Service Medicare Parts C and D Enforcement Action 2020 CMS $148,506
ACE Cash Express, Inc. ACE Cash Express consumer protection violation 2002 CO-AG $1,300,000
CashCall, Inc., WS Funding, LLC, and Delbert Services Corporation CashCall Inc. consumer protection violation 2016 CO-AG $7,384,005
Countrywide Financial Corp. Bank of America mortgage abuses 2009 CO-AG $6,000,000
Lender Processing Services, Inc. Fidelity National Financial mortgage abuses 2012 CO-AG $1,800,000
Western Sky Financial, LLC et al. CashCall Inc. consumer protection violation 2014 CO-AG $565,000
Stewart Title Guaranty Co. Stewart Information Services insurance violation 2000 CO-INS $25,000
Commonwealth Land Title Insurance Co. Fidelity National Financial insurance violation 2000 CO-INS $20,750
Federal Insurance Co. Chubb Limited insurance violation 2005 CO-INS $16,000
Commerce and Industry Insurance Co. American International Group insurance violation 2005 CO-INS $6,000
Allstate Insurance Co. Allstate insurance violation 2005 CO-INS $10,500
Old Republic Insurance Co. Old Republic International insurance violation 2006 CO-INS $6,000
Unitrin Auto and Home Insurance Co. Kemper insurance violation 2006 CO-INS $7,500
American Family Mutual Insurance Co. American Family Insurance insurance violation 2006 CO-INS $6,000
Farmers Insurance Exchange and Truck Insurance Exchange and Mid-Century Insurance Co. Farmers Insurance Exchange insurance violation 2006 CO-INS $49,500
New England Life Insurance Co. Brighthouse Financial insurance violation 2006 CO-INS $32,000
Allianz Life Insurance Company of North America Allianz insurance violation 2006 CO-INS $34,800
Jackson National Life Insurance Co. Prudential (UK) insurance violation 2007 CO-INS $10,000
Auto-Owners Insurance Co. Auto-Owners Insurance insurance violation 2007 CO-INS $5,000
American Family Mutual Insurance Co. American Family Insurance insurance violation 2007 CO-INS $5,500
Nationwide Insurance Company of America Nationwide insurance violation 2007 CO-INS $81,500
ING USA Annuity and Life Insurance Co. Voya Financial insurance violation 2007 CO-INS $5,000
Stewart Title Guaranty Co. Stewart Information Services insurance violation 2007 CO-INS $50,000
Nationwide Mutual Fire Insurance Co. Nationwide insurance violation 2007 CO-INS $6,000
Nationwide Mutual Insurance Co. Nationwide insurance violation 2007 CO-INS $8,500
Nationwide Property and Casualty Insurance Co. Nationwide insurance violation 2007 CO-INS $6,000
National Western Life Insurance Co. National Western Life insurance violation 2009 CO-INS $11,500
Time Insurance Co. Haven Holdings insurance violation 2009 CO-INS $103,500
Permanent General Assurance Corp. American Family Insurance insurance violation 2009 CO-INS $31,900
Esurance Insurance Co. Allstate insurance violation 2010 CO-INS $154,500
Wedbush Securities Inc. Wedbush Securities insurance violation 2011 CO-INS $14,300
Mid-Century Insurance Co. Zurich Insurance insurance violation 2011 CO-INS $255,500
Farmers Insurance Exchange Farmers Insurance Exchange insurance violation 2011 CO-INS $81,400
Mid-Century Insurance Co. Zurich Insurance insurance violation 2011 CO-INS $66,000
Aviva Life and Annuity Co. Athene Holding insurance violation 2011 CO-INS $25,300
Bristol West Insurance Co. Zurich Insurance insurance violation 2011 CO-INS $161,500
Farmers Insurance Exchange Farmers Insurance Exchange insurance violation 2012 CO-INS $218,000
United American Insurance Co. Globe Life Inc. insurance violation 2012 CO-INS $86,500
Transamerica Life Insurance Co. Aegon insurance violation 2012 CO-INS $6,270
John Alden Life Insurance Co. Assurant insurance violation 2012 CO-INS $86,500
Stewart Title Guaranty Co. Stewart Information Services insurance violation 2012 CO-INS $70,400
North River Insurance Co. Fairfax Financial Holdings insurance violation 2012 CO-INS $62,700
United States Fire Insurance Co. Fairfax Financial Holdings insurance violation 2012 CO-INS $111,500
First American Title Insurance Co. First American Financial insurance violation 2013 CO-INS $177,500
Globe Life and Accident Insurance Co. Globe Life Inc. insurance violation 2014 CO-INS $12,100
National Western Life Insurance Co. National Western Life insurance violation 2014 CO-INS $11,500
Safeco Insurance Company of America Liberty Mutual Insurance insurance violation 2015 CO-INS $140,500
Chicago Title Insurance Co. Fidelity National Financial insurance violation 2015 CO-INS $66,000
Auto Owners Insurance Co. Auto-Owners Insurance insurance violation 2017 CO-INS $25,875
National Western Life Insurance Co. National Western Life insurance violation 2019 CO-INS $34,500
Companion Life Insurance Co. BlueCross BlueShield of South Carolina insurance violation 2019 CO-INS $147,775
Permanent General Assurance Corp. American Family Insurance insurance violation 2019 CO-INS $56,494
Permanent General Assurance Corporation of Ohio American Family Insurance insurance violation 2019 CO-INS $50,974
Janney Montgomery Scott LLC Penn Mutual investor protection violation 2005 CO-SEC $259,227
OppenheimerFunds Distributor, Inc. Invesco investor protection violation 2007 CO-SEC $494,500
AllianceBernstein L.P. AXA investor protection violation 2013 CO-SEC $20,232
American Express Centurion Bank American Express tax violations 2012 CT-AG $14,970
Bank of America Bank of America privacy violation 2009 CT-AG $350,000
Brown & Brown Insurance of Arizona, Inc. Brown & Brown tax violations 2014 CT-AG $37,650
Citibank N.A. Citigroup privacy violation 2013 CT-AG $55,000
Hartford Financial Services Group, Inc. Hartford Financial Services price-fixing or anti-competitive practices 2009 CT-AG $1,300,000
Jackson National Life Insurance Co Prudential (UK) investor protection violation 2008 CT-AG $484,000
John Hancock Assignment Co. Manulife Financial tax violations 2014 CT-AG $38,910
Liberty Mutual Insurance Co. Liberty Mutual Insurance kickbacks and bribery 2010 CT-AG $2,000,000
Marsh & McLennan Companies, Inc. Marsh & McLennan kickbacks and bribery 2009 CT-AG $2,400,000
Metropolitan Life Insurance Co. MetLife privacy violation 2012 CT-AG $10,000
MONY Life Insurance Co. AXA consumer protection violation 2000 CT-AG $250,000
Mutual of Omaha Insurance Co. Mutual of Omaha kickbacks and bribery 2008 CT-AG $1,700,000
Pacific Resources Benefits Advisors, LLC Brown & Brown tax violations 2014 CT-AG $5,400
Principal Financial Group Principal Financial kickbacks and bribery 2007 CT-AG $5,000,000
Providian Financial Corp. JPMorgan Chase consumer protection violation 2000 CT-AG $1,600,000
RBS Securities, Inc. Royal Bank of Scotland toxic securities abuses 2016 CT-AG $120,000,000
Travelers Companies, Inc. Travelers consumer protection violation 2018 CT-AG $5,000,000
United American Insurance Co. Globe Life Inc. consumer protection violation 2003 CT-AG $45,000
United States Fidelity & Guaranty Travelers False Claims Act and related 2007 CT-AG $17,500,000
Wells Fargo Bank Wells Fargo consumer protection violation 2011 CT-AG $741,465
Freedom Mortgage Corp. Freedom Mortgage consumer protection violation 2009 CT-BKG $43,000
PHH Mortgage Corp. dba Century Mortgage Ocwen Financial consumer protection violation 2009 CT-BKG $6,000
Citigroup Global Markets Inc. Citigroup consumer protection violation 2009 CT-BKG $75,000
Prospect Mortgage Company, LLC Homebridge Financial Services consumer protection violation 2010 CT-BKG $33,000
PHH Mortgage Corp. dba Century Mortgage Ocwen Financial consumer protection violation 2013 CT-BKG $29,000
CashCall, Inc. and Western Sky Financial L.L.C. CashCall Inc. payday lending violation 2014 CT-BKG $400,000
Santander Consumer USA Inc. Banco Santander consumer protection violation 2018 CT-BKG $100,000
Heartland Payment Systems, LLC dba HPS Heartland Payroll Solutions, Inc. Global Payments Inc. consumer protection violation 2019 CT-BKG $12,450
Assurant Health Assurant insurance violation 2008 CT-INS $2,100,000
Jackson National Life Insurance Co. Prudential (UK) insurance violation 2008 CT-INS $483,000
Safeco Liberty Mutual Insurance insurance violation 2009 CT-INS $434,000
Bankers Life & Casualty Co. CNO Financial insurance violation 2009 CT-INS $100,000
Zurich Insurance Group Zurich Insurance insurance violation 2010 CT-INS $235,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)