Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$330,904,834,105
Number of Records: 
6,093
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$82,737,699,939214
JPMorgan Chase$35,744,240,670158
Citigroup$25,450,155,764122
Wells Fargo$21,340,036,745181
Deutsche Bank$18,156,533,87859
UBS$16,792,800,91083
Goldman Sachs$16,365,468,98744
Royal Bank of Scotland$13,455,904,00027
BNP Paribas$12,132,582,95017
Credit Suisse$10,410,557,62632


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
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. Equitable Holdings investor protection violation 2013 CO-SEC $20,232
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 CO-SEC $69,338
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. Equitable Holdings 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
Janney Montgomery Scott, LLC Penn Mutual investor protection violation 2020 CT-BKG $150,000
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
Chicago Title Insurance Company, Fidelity National Financial insurance violation 2010 CT-INS $62,000
Mid-Century Insurance Co. Zurich Insurance insurance violation 2019 CT-INS $64,000
Massachusetts Mutual Life Insurance Company, Inc. Massachusetts Mutual Life Insurance insurance violation 2019 CT-INS $61,000
Continental Western Insurance Co. W.R. Berkley insurance violation 2019 CT-INS $23,000
Berkshire Life Insurance Company of America Guardian Life Insurance insurance violation 2019 CT-INS $7,500
Ameritas Life Insurance Corp. Ameritas Mutual Holding Company insurance violation 2019 CT-INS $5,000
AIG Property Casualty Co. American International Group insurance violation 2019 CT-INS $120,000
Continental American Insurance Co. Aflac insurance violation 2019 CT-INS $10,000
Nationwide Life and Annuity Insurance Co. Nationwide insurance violation 2019 CT-INS $16,500
Hartford Casualty Insurance Co. Hartford Financial Services insurance violation 2019 CT-INS $57,500
Hartford Accident and Indemnity Co. Hartford Financial Services insurance violation 2019 CT-INS $43,000
Property Casualty Insurance Company of Hartford Hartford Financial Services insurance violation 2019 CT-INS $14,000
Trumbull Insurance Co. Hartford Financial Services insurance violation 2019 CT-INS $141,500
Sentinel Insurance Co. Hartford Financial Services insurance violation 2019 CT-INS $84,000
Mutual of Omaha Insurance Co. Mutual of Omaha insurance violation 2019 CT-INS $60,500
American Alternative Insurance Corp. Munich Re insurance violation 2019 CT-INS $49,500
Lincoln Life & Annuity Company of New York Lincoln National insurance violation 2019 CT-INS $7,500
The Lincoln National Life Insurance Co. Lincoln National insurance violation 2019 CT-INS $65,000
Harleysville Insurance Co. Nationwide insurance violation 2020 CT-INS $49,000
Allstate Indemnity Co. Allstate insurance violation 2020 CT-INS $7,500
American Bankers Insurance Company of Florida Assurant insurance violation 2020 CT-INS $198,000
Chicago Title Insurance Co. Fidelity National Financial insurance violation 2020 CT-INS $28,000
American Family Life Assurance Company of Columbus Aflac insurance violation 2020 CT-INS $8,500
National Union Fire Insurance Company of Pittsburgh, PA American International Group insurance violation 2020 CT-INS $106,000
Nationwide Life Insurance Co. Nationwide insurance violation 2020 CT-INS $10,000
Old Republic National Title Insurance Co. Old Republic International insurance violation 2020 CT-INS $20,000
First American Title insurance Co. First American Financial insurance violation 2020 CT-INS $40,000
Stewart Title Guaranty Co. Stewart Information Services insurance violation 2020 CT-INS $47,000
Pacific Indemnity Co. Chubb Limited insurance violation 2020 CT-INS $16,000
The Standard Insurance Co. Meiji Yasuda Life Insurance insurance violation 2020 CT-INS $7,500
Minnesota Life Insurance Co. Securian Financial insurance violation 2020 CT-INS $9,000
Thomas Weisel Partners LLC Stifel Financial investor protection violation 2006 CT-SEC $52,480
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2006 CT-SEC $3,500,000
Wachovia Capital Markets, LLC Wells Fargo investor protection violation 2007 CT-SEC $258,728
UBS Financial Services Inc. UBS investor protection violation 2007 CT-SEC $5,500,000
Prosper Marketplace, Inc. Prosper Marketplace investor protection violation 2009 CT-SEC $12,602
Raymond James Financial Services, Inc. Raymond James Financial investor protection violation 2010 CT-SEC $15,000
Prosper Marketplace, Inc. Prosper Marketplace investor protection violation 2010 CT-SEC $5,000
Wachovia Securities, LLC nka Wells Fargo Advisors, LLC Wells Fargo investor protection violation 2010 CT-SEC $75,000
Charles Schwab & Co., Inc. Charles Schwab Corp. investor protection violation 2011 CT-SEC $2,800,000
Prosper Marketplace, Inc. Prosper Marketplace investor protection violation 2012 CT-SEC $40,000
Morgan Stanley Smith Barney LLC Morgan Stanley investor protection violation 2014 CT-SEC $5,000,000
J.P. Morgan Securities LLC JPMorgan Chase investor protection violation 2014 CT-SEC $53,800
Citigroup Global Markets Inc. Citigroup investor protection violation 2015 CT-SEC $35,000
ProEquities, Inc. Dai-ichi Life investor protection violation 2018 CT-SEC $7,590
Voya Financial Advisors, Inc. fka ING Financial Partners, Inc. Voya Financial investor protection violation 2019 CT-SEC $1,015,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 CT-SEC $51,136
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2020 CT-SEC $400,000
Bank of America Bank of America fraud 2016 DC-AG $13,000,000
Bank of America Bank of America fraud 2010 DC-AG $13,502,852
CareFirst BlueChoice CareFirst of Maryland consumer protection violation 2018 DC-AG $50,000
CashCall Inc., WS Funding CashCall Inc. consumer protection violation 2017 DC-AG $2,962,573
TitleMax of Virginia Inc. TMX Finance consumer protection violation 2014 DC-AG $167,257
Group Hospitalization and Medical Services, Inc. CareFirst of Maryland insurance violation 2000 DC-DISB $10,000
MetLife Securities, Inc. MetLife investor protection violation 2012 DC-DISB $25,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2013 DC-DISB $15,000
J.P. Morgan Securities LLC JPMorgan Chase investor protection violation 2018 DC-DISB $5,000
Citigroup Global Markets Inc. Citigroup investor protection violation 2009 DE-AG $309,000
J.P. Morgan Securities JPMorgan Chase investor protection violation 2014 DE-AG $51,400
Lender Processing Services, Inc. Fidelity National Financial mortgage abuses 2012 DE-AG $250,000
Merrill Lynch Bank of America investor protection violation 2009 DE-AG $459,000
Merrill Lynch Bank of America investor protection violation 2002 DE-AG $500,000
Morgan Stanley DW Morgan Stanley investor protection violation 2005 DE-AG $700,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)