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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
Aon Risk Services Inc. of PennsylvaniaAoninsurance violation2005MA-INS$19,000
New England Life Insurance CompanyBrighthouse Financialinsurance violation2005MA-INS$13,000
Amica Mutual Insurance Co.Amica Mutual Insuranceinsurance violation2007MA-INS$12,000
Progressive Direct Insurance Co.Progressiveinsurance violation2011MA-INS$125,000
Aon Risk Services NortheastAoninsurance violation2014MA-INS$15,000
State Street Global AdvisorsState Street Corp.investor protection violation2012MA-SEC$5,000,000
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2012MA-SEC$250,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2012MA-SEC$2,000,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2012MA-SEC$5,000,000
LPL Financial LLCLPL Financialinvestor protection violation2013MA-SEC$500,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2013MA-SEC$17,500,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2013MA-SEC$400,000
Lincoln Financial Advisors Corp.Lincoln Nationalinvestor protection violation2013MA-SEC$100,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2013MA-SEC$30,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2015MA-SEC$2,500,000
LPL Financial LLCLPL Financialinvestor protection violation2015MA-SEC$250,000
LPL Financial LLCLPL Financialinvestor protection violation2017MA-SEC$975,000
Investment Professionals, Inc.Ameriprise Financialinvestor protection violation2017MA-SEC$100,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2017MA-SEC$1,000,000
LPL Financial LLCLPL Financialinvestor protection violation2017MA-SEC$1,000,000
MetLife, Inc.MetLifeinvestor protection violation2018MA-SEC$1,000,000
LPL Financial LLCLPL Financialinvestor protection violation2019MA-SEC$1,100,000
Wells Fargo Clearing Services, LLCWells Fargoinvestor protection violation2019MA-SEC$450,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2019MA-SEC$382,500
Next Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2019MA-SEC$150,000
MML Investors Services, LLCMassachusetts Mutual Life Insuranceinvestor protection violation2021MA-SEC$4,000,000
MML Investors Services, LLCMassachusetts Mutual Life Insuranceinvestor protection violation2022MA-SEC$262,092
STIFEL, NICOLAUS & COMPANY, INC.Stifel Financialinvestor protection violation2023MA-SEC$2,500,000
Fidelity Brokerage Services LLCFidelity Investmentsinvestor protection violation2023MA-SEC$750,000
LPL Financial, LLCLPL Financialinvestor protection violation2023MA-SEC$250,000
Robinhood Financial LLCRobinhood Marketsinvestor protection violation2024MA-SEC$7,500,000
Arch Insurance CompanyArch Capitalconsumer protection violation2010MD-AG$460,000
Deutsche BankDeutsche Banktoxic securities abuses2017MD-AG$95,000,000
Encore Capital Group Inc., Midland Credit Management, Inc. and Midland Funding LLCEncore Capital Groupconsumer protection violation2009MD-AG$998,000
JPMorgan Chase BankJPMorgan Chasemortgage abuses2015MD-AG$400,000
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2018MD-AG$760,000
Wachovia Capital Markets, LLCWells Fargoinvestor protection violation2007MD-AG$402,386
Wells FargoWells Fargomortgage abuses2012MD-AG$940,056
Wells Fargo BankWells Fargomortgage abuses2015MD-AG$13,800,000
Wells Fargo & Co.Wells Fargoinvestor protection violation2020MD-AG$20,000,000
RBS Financial Products, Inc.NatWest Group PLCtoxic securities abuses2020MD-AG$18,000,000
WHEELABRATOR BALTIMOREMacquarieenvironmental violation2011MD-ENV$77,500
SYNAGRO-PATAPSCO PELLETIZERGoldman Sachsenvironmental violation2008MD-ENV$27,000
WHEELABRATOR BALTIMOREMacquarieenvironmental violation2003MD-ENV$17,500
Ace Cash Express Inc.ACE Cash Expressconsumer protection violation2002MD-FIN$164,000
Litton Loan ServicingOcwen Financialconsumer protection violation2010MD-FIN$71,000
Saxon Mortgage ServicesOcwen Financialconsumer protection violation2010MD-FIN$71,000
CashCall, Inc. and Western Sky Financial, LLC et al.CashCall Inc.payday lending violation2014MD-FIN$100,018
ACE Cash Express, Inc.ACE Cash Expressconsumer protection violation2015MD-FIN$353,286
Allstate Indemnity Co. et al.Allstateinsurance violation2010MD-INS$10,000
American Modern Home Insurance Co.Munich Reinsurance violation2010MD-INS$5,000
American General Life and Accident Insurance Co.American International Groupinsurance violation2011MD-INS$7,000
Travelers Casualty and Surety Company of AmericaTravelersinsurance violation2011MD-INS$5,000
United of Omaha Life Insurance Co.Mutual of Omahainsurance violation2011MD-INS$5,500
Gerber Life Insurance Co.Western & Southern Financial Groupinsurance violation2011MD-INS$5,000
Monumental Life Insurance Co.Aegoninsurance violation2011MD-INS$9,000
Transamerica Life Insurance Co.Aegoninsurance violation2011MD-INS$5,000
Zurich American Insurance Co. et al.Zurich Insuranceinsurance violation2011MD-INS$30,000
Bankers Life and Casualty Co.CNO Financialinsurance violation2011MD-INS$10,000
Commonwealth Land Title Insurance Co.Fidelity National Financialinsurance violation2011MD-INS$30,000
Commonwealth Land Title Insurance Co. et al.Fidelity National Financialinsurance violation2011MD-INS$30,000
Old Republic National Title Insurance Co.Old Republic Internationalinsurance violation2011MD-INS$7,500
AMEX Assurance Co.American Expressinsurance violation2011MD-INS$10,000
Federal Insurance Co. et al.Chubb Limitedinsurance violation2011MD-INS$25,000
United States Life Insurance Company In the City of New YorkAmerican International Groupinsurance violation2011MD-INS$5,000
National General Assurance Co.Allstateinsurance violation2011MD-INS$50,000
Zurich American Insurance Co.Zurich Insuranceinsurance violation2011MD-INS$125,000
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2011MD-INS$75,000
Hartford Accident and Indemnity Co. et al.Hartford Financial Servicesinsurance violation2011MD-INS$125,000
Commonwealth Land Title Insurance Co.Fidelity National Financialinsurance violation2011MD-INS$30,000
First American Title Insurance Co.First American Financialinsurance violation2011MD-INS$15,000
Federal Insurance Co. et al.Chubb Limitedinsurance violation2011MD-INS$15,000
State Farm Mutual Automobile Insurance Co. et al.State Farm Insuranceinsurance violation2011MD-INS$10,000
Praetorian Insurance Co. and Redland Insurance Co.QBE Insuranceinsurance violation2011MD-INS$10,000
Titan Indemnity Co. and Victoria Fire and Casualty Co.Nationwideinsurance violation2011MD-INS$20,000
Liberty Mutual Fire Insurance Co. et al.Liberty Mutual Insuranceinsurance violation2011MD-INS$15,000
Liberty Mutual Fire Insurance Co. et al.Liberty Mutual Insuranceinsurance violation2011MD-INS$15,000
Hartford Life and Accident Insurance Co.Hartford Financial Servicesinsurance violation2011MD-INS$95,000
Hartford Life and Accident Insurance Co.Hartford Financial Servicesinsurance violation2011MD-INS$12,500
Allstate Insurance Co. and Allstate Indemnity Co.Allstateinsurance violation2011MD-INS$40,000
Allstate Insurance Co. and Allstate Indemnity Co.Allstateinsurance violation2011MD-INS$40,000
Metropolitan Life Insurance Co.MetLifeinsurance violation2011MD-INS$125,000
Banner Life Insurance Co.Legal & General Group PLCinsurance violation2011MD-INS$8,300
American Family Life Assurance Company of ColumbusAflacinsurance violation2012MD-INS$200,000
Metropolitan Life Insurance Co.MetLifeinsurance violation2012MD-INS$11,400
Unum Life Insurance Company of AmericaUnuminsurance violation2012MD-INS$19,000
Metropolitan Life Insurance Co.MetLifeinsurance violation2012MD-INS$175,000
Thrivent Financial For LutheransThrivent Financialinsurance violation2012MD-INS$8,000
The United States Life Insurance Company In the City of New YorkAmerican International Groupinsurance violation2012MD-INS$75,000
Erie Insurance ExchangeErie Indemnityinsurance violation2012MD-INS$50,000
Metropolitan Life Insurance Co.MetLifeinsurance violation2012MD-INS$5,000
Bankers Life and Casualty Co.CNO Financialinsurance violation2012MD-INS$15,000
Allstate Insurance Co.Allstateinsurance violation2013MD-INS$17,954
Phoenix Insurance Co. and Travelers Property Casualty Company of AmericaTravelersinsurance violation2013MD-INS$50,000
Allstate Indemnity Co. et al.Allstateinsurance violation2013MD-INS$18,000
SAFECO Insurance Company of America, Inc. et al.Liberty Mutual Insuranceinsurance violation2013MD-INS$195,000
Praetorian Insurance Co. and Stonington Insurance Co.QBE Insuranceinsurance violation2013MD-INS$10,000
State Farm Mutual Automobile Insurance Co.State Farm Insuranceinsurance violation2013MD-INS$15,000
Peerless Indemnity Insurance Co. et al.Liberty Mutual Insuranceinsurance violation2013MD-INS$5,000
Gerber Life Insurance Co.Western & Southern Financial Groupinsurance violation2013MD-INS$14,000
Homesite Insurance Company of the MidwestAmerican Family Insuranceinsurance violation2013MD-INS$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.