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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 TypeYearAgency sort iconPenalty Amount
Continental Western Insurance Co.W.R. Berkleyinsurance violation2012KS-INS$6,000
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2012KS-INS$5,000
Farmers Insurance Company, Inc.Zurich Insuranceinsurance violation2013KS-INS$50,000
Allstate Fire and Casualty Co.Allstateinsurance violation2014KS-INS$10,000
Seneca Insurance Co.Fairfax Financial Holdingsinsurance violation2014KS-INS$5,000
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2015KS-INS$81,000
State Farm Fire and Casualty Co.State Farm Insuranceinsurance violation2015KS-INS$10,000
Farmers Insurance Company, Inc.Zurich Insuranceinsurance violation2016KS-INS$20,000
American General Life Insurance Co.American International Groupinsurance violation2016KS-INS$15,000
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2016KS-INS$20,000
AGCS Marine Insurance Co.Allianzinsurance violation2017KS-INS$63,483
Great American Insurance Co.American Financial Groupinsurance violation2017KS-INS$13,000
Companion Life Insurance Co.BlueCross BlueShield of South Carolinainsurance violation2017KS-INS$100,000
Standard Fire Insurance Co.Travelersinsurance violation2018KS-INS$7,500
Liberty Mutual InsuranceLiberty Mutual Insuranceinsurance violation2018KS-INS$80,000
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2019KS-INS$60,000
Auto-Owners (Mutual) Insurance Co. and Owners Insurance Co.Auto-Owners Insuranceinsurance violation2019KS-INS$10,000
National Union Fire Insurance Company of Pittsburgh, PaAmerican International Groupinsurance violation2021KS-INS$5,000
USAA Casualty Insurance Company et al.USAAinsurance violation2021KS-INS$5,000
Austin Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2022KS-INS$7,000
Progressive Direct Insurance Company et al.Progressiveinsurance violation2022KS-INS$5,000
Travelers Home and Marine Insurance CompanyTravelersinsurance violation2022KS-INS$26,240
Travelers Personal Insurance CompanyTravelersinsurance violation2022KS-INS$5,980
Bankers Life and Casualty CompanyCNO Financialprivacy violation2002KY-AG$5,000
Discover Financial Services, Inc./Millenium Teleservices, Inc.Discover Financial Servicesprivacy violation2002KY-AG$5,000
PNC BankPNC Financial Servicesprivacy violation2002KY-AG$5,000
Student Loan Xpress, Inc.First Citizens BancSharesconsumer protection violation2010KY-AG$3,600,000
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceconsumer protection violation2023KY-AG$1,350,000
THE HENNEGAN COChatham Asset Managementenvironmental violation2016KY-ENV$5,000
THE HENNEGAN COMPANYChatham Asset Managementenvironmental violation2004KY-ENV$70,000
Morgan Stanley D.W., Inc.Morgan Stanleyinvestor protection violation2004KY-FIN$100,000
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2008KY-FIN$105,000
Home Loan Center, Inc. dba Lending Tree LoansLendingTreeconsumer protection violation2008KY-FIN$16,000
AmeriSave Mortgage Corp.AmeriSave Mortgageconsumer protection violation2009KY-FIN$18,000
Allied Home Mortgage Capital Corp.Americus Mortgageconsumer protection violation2009KY-FIN$5,740
Mortgage Access Corp. dba Weichert Financial ServicesWeichert Financial Servicesconsumer protection violation2009KY-FIN$5,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2009KY-FIN$983,984
James B. Nutter & CompanyJames B. Nutter & Companyconsumer protection violation2010KY-FIN$24,000
PHH Mortgage Corp.Ocwen Financialconsumer protection violation2010KY-FIN$8,000
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2010KY-FIN$19,500
Provident Funding Associates, LPProvident Funding Associatesconsumer protection violation2011KY-FIN$66,000
PHH Mortgage Corp.Ocwen Financialconsumer protection violation2011KY-FIN$5,000
Stonegate Mortgage Corp.Home Point Capitalconsumer protection violation2013KY-FIN$5,000
Bannockburn Global Forex, LLCFirst Financial Bancorp.consumer protection violation2015KY-FIN$25,000
PennyMac Loan Services, LLCPennyMac Financial Servicesconsumer protection violation2015KY-FIN$20,000
Cash America International, Inc.FirstCashconsumer protection violation2015KY-FIN$116,998
Homeward Residential, Inc.Ocwen Financialconsumer protection violation2015KY-FIN$10,000
LendingTree, LLCLendingTreeconsumer protection violation2016KY-FIN$25,000
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2016KY-FIN$6,000
AmeriSave Mortgage Corp.AmeriSave Mortgageconsumer protection violation2019KY-FIN$5,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2020KY-FIN$325,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020KY-FIN$5,465
Bank of LouisvilleTruist Financialinvestor protection violation2002KY-INS$27,000,000
Louisiana Generating, LLCMacquarieenvironmental violation2019LA-ENV$16,500
Iberiabank CorpFirst Horizon Nationalenvironmental violation2017LA-ENV$14,213
Louisiana Generating, LLCMacquarieenvironmental violation2014LA-ENV$46,962
Louisiana Generating, LLCMacquarieenvironmental violation2013LA-ENV$1,750,000
Imperial Sugar CompanyLouis Dreyfusenvironmental violation2012LA-ENV$10,770
Bankers Life and Casualty Co.CNO Financialinsurance violation2017LA-INS$10,000
AIG Claims, Inc.American International Groupinsurance violation2018LA-INS$11,000
American Health and Life Insurance Co.OneMain Holdingsinsurance violation2019LA-INS$11,000
Progressive Paloverde Insurance Co.Progressiveinsurance violation2019LA-INS$5,000
Axa Insurance Co.AXAinsurance violation2019LA-INS$6,000
The Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2019LA-INS$10,000
First American Title Insurance Company of LouisianaFirst American Financialinsurance violation2021LA-INS$5,000
National Union Fire Insurance Company of Pittsburgh, PaAmerican International Groupinsurance violation2021LA-INS$9,000
Cleco PowerMacquarieutility administrative violation2004LA-PSC$18,000,000
Allstate Company, Inc.Allstatewage and hour violation2007MA-AG$125,000
American Automobile Insurance Co.Allianzconsumer protection violation2011MA-AG$571,394
American Bankers Insurance Co.Assurantconsumer protection violation2006MA-AG$20,000
American International GroupAmerican International Groupwage and hour violation2009MA-AG$900,000
American International GroupAmerican International GroupFalse Claims Act and related2008MA-AG$218,920
American International GroupAmerican International GroupFalse Claims Act and related2007MA-AG$58,500,000
American Security Insurance Co.Assurantconsumer protection violation2017MA-AG$6,300,000
American Security Insurance Co.Assurantconsumer protection violation2015MA-AG$565,000
Ameriprise Financial Services, Inc.Ameriprise Financialconsumer protection violation2009MA-AG$200,000
Amica Mutual Insurance Co.Amica Mutual Insuranceconsumer protection violation2012MA-AG$837,384
Bank of AmericaBank of Americamortgage abuses2015MA-AG$675,000
Bank of AmericaBank of Americadiscriminatory practices (non-employment)2006MA-AG$50,000
Barclays Bank PLCBarclaystoxic securities abuses2013MA-AG$36,100,000
BNY Mellon Shareowner ServicesBank of New York Melloninvestor protection violation2010MA-AG$30,000
CitigroupCitigroupmortgage abuses2015MA-AG$675,000
CitigroupCitigrouptoxic securities abuses2008MA-AG$20,000,000
Continental American Insurance Co.Aflacconsumer protection violation2010MA-AG$25,000
Countrywide Securities Corp.Bank of Americamortgage abuses2013MA-AG$17,300,000
Ditech Financial, LLCDitech Holding Corporationconsumer protection violation2016MA-AG$1,400,000
Encompass Insurance Co.Allstateconsumer protection violation2015MA-AG$25,000
Encompass Insurance Company of MassachusettsAllstateconsumer protection violation2012MA-AG$1,972,635
Goldman Sachs & Co.Goldman Sachsmortgage abuses2009MA-AG$60,000,000
Great American Insurance Co.American Financial Groupinsurance violation2009MA-AG$176,000
H&R Block, Inc.H&R Blockdiscriminatory practices (non-employment)2011MA-AG$125,000,000
Hanover Insurance Co.Hanover Insuranceconsumer protection violation2009MA-AG$415,000
Hanover Insurance GroupHanover Insuranceconsumer protection violation2010MA-AG$2,500,000
HSBCHSBCconsumer protection violation2016MA-AG$4,000,000
HSBC SecuritiesHSBCmortgage abuses2018MA-AG$26,800,000
Jackson Hewitt Tax Service Inc.Jackson Hewittconsumer protection violation2019MA-AG$187,000
John Hancock Life Insurance Co.Manulife Financialinvestor protection violation2014MA-AG$550,000
John Hancock Life Insurance Co.Manulife Financialconsumer protection violation2013MA-AG$40,000
JP Morgan ChaseJPMorgan Chasemortgage abuses2015MA-AG$675,000
Liberty MutualLiberty Mutual Insuranceconsumer protection violation2007MA-AG$50,000
Liberty Mutual Insurance Co.Liberty Mutual Insuranceconsumer protection violation2010MA-AG$20,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.