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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
HealthNowHighmark Inc.insurance violation2012NY-DFS$101,640
Standard Chartered BankStandard Charteredanti-money-laundering deficiencies2012NY-DFS$340,000,000
HealthNow New York Inc.Highmark Inc.insurance violation2013NY-DFS$700,000
Assurant, Inc.Assurantinsurance violation2013NY-DFS$14,000,000
QBE Insurance Corp.QBE Insuranceinsurance violation2013NY-DFS$10,000,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2013NY-DFS$4,560,000
Seneca Insurance Company, Inc.Fairfax Financial Holdingsinsurance violation2013NY-DFS$50,000
Companion Life Insurance CompanyBlueCross BlueShield of South Carolinainsurance violation2013NY-DFS$150,000
Bank of Tokyo Mitsubishi-UFJ, LtdMitsubishi UFJ Financial Groupeconomic sanction violation2013NY-DFS$250,000,000
Transamerica Financial Life Insurance CompanyAegoninsurance violation2013NY-DFS$852,418
Prospect Mortgage, LLCHomebridge Financial Servicesmortgage abuses2013NY-DFS$3,427,155
Royal Bank of ScotlandNatWest Group PLCeconomic sanction violation2013NY-DFS$50,000,000
Allianz Life Insurance Company of New YorkAllianzinsurance violation2013NY-DFS$135,000
Travelers Home & Marine Insurance CompanyTravelersinsurance violation2014NY-DFS$100,000
AXA EquitableEquitable Holdingsinsurance violation2014NY-DFS$20,000,000
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2014NY-DFS$46,800
MetLifeMetLifeinsurance violation2014NY-DFS$50,000,000
Encompass Indemnity CompanyAllstateinsurance violation2014NY-DFS$40,100
Credit Suisse AGUBStax violations2014NY-DFS$715,000,000
Permanent General Assurance CorporationAmerican Family Insuranceinsurance violation2014NY-DFS$75,000
Investment Professionals Inc.Ameriprise Financialinsurance violation2014NY-DFS$10,000
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2014NY-DFS$7,100
Hartford Insurance Company of IllinoisHartford Financial Servicesinsurance violation2014NY-DFS$7,100
Hartford Insurance Company of the MidwestHartford Financial Servicesinsurance violation2014NY-DFS$14,450
Hartford Underwriters Insurance CompanyHartford Financial Servicesinsurance violation2014NY-DFS$8,600
Sentinel Insurance Company, Ltd.Hartford Financial Servicesinsurance violation2014NY-DFS$16,700
BNP ParibasBNP Paribaseconomic sanction violation2014NY-DFS(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,240,000,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2014NY-DFS$190,000
21st Century Centennial Insurance CompanyZurich Insuranceinsurance violation2014NY-DFS$9,000
Standard Chartered BankStandard Charteredanti-money-laundering deficiencies2014NY-DFS$300,000,000
Erie Insurance Company of New YorkErie Indemnityinsurance violation2014NY-DFS$9,000
Nationwide General Insurance CompanyNationwideinsurance violation2014NY-DFS$32,000
Selective Insurance Company of New YorkSelective Insurance Groupinsurance violation2014NY-DFS$50,000
Selective Insurance Company of AmericaSelective Insurance Groupinsurance violation2014NY-DFS$50,000
Selective Way Insurance CompanySelective Insurance Groupinsurance violation2014NY-DFS$50,000
AIGAmerican International Groupinsurance violation2014NY-DFS$35,000,000
Bank of Tokyo Mitsubishi UFJMitsubishi UFJ Financial Groupeconomic sanction violation2014NY-DFS$315,000,000
Commerce and Industry Insurance CompanyAmerican International Groupinsurance violation2014NY-DFS$48,500
Bank LeumiBank Leumitax violations2014NY-DFS$130,000,000
American Family Home Insurance CompanyMunich Reinsurance violation2015NY-DFS$25,000
American Modern Home Insurance CompanyMunich Reinsurance violation2015NY-DFS$150,000
Granite State Insurance CompanyAmerican International Groupinsurance violation2015NY-DFS$150,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2015NY-DFS$250,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2015NY-DFS$100,000
Harleysville Worcester Insurance CompanyNationwideinsurance violation2015NY-DFS$76,500
Wells Fargo BankWells Fargoconsumer protection violation2015NY-DFS$4,000,000
Virginia Surety Company, Inc.Assurantinsurance violation2015NY-DFS$10,000
CommerzbankCommerzbankeconomic sanction violation2015NY-DFS$610,000,000
Ameritas Life Insurance Corp. of New YorkAmeritas Mutual Holding Companyinsurance violation2015NY-DFS$72,975
Combined Life Insurance Company of New YorkChubb Limitedinsurance violation2015NY-DFS$50,000
21st Century Centennial Insurance CompanyZurich Insuranceinsurance violation2015NY-DFS$36,500
21st Century National Insurance CompanyZurich Insuranceinsurance violation2015NY-DFS$25,000
Deutsche BankDeutsche Bankprice-fixing or anti-competitive practices2015NY-DFS$600,000,000
AXA Art Insurance CorporationAXAinsurance violation2015NY-DFS$70,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2015NY-DFS$485,000,000
Bankers Conseco Life Insurance CompanyCNO Financialinsurance violation2015NY-DFS$10,270
Metropolitan Group Property and Casualty Insurance CompanyZurich Insuranceinsurance violation2015NY-DFS$30,000
Erie Insurance Company of New YorkErie Indemnityinsurance violation2015NY-DFS$21,000
Credit AgricoleCredit Agricoleeconomic sanction violation2015NY-DFS$385,000,000
Goldman SachsGoldman Sachsinvestor protection violation2015NY-DFS$50,000,000
Deutsche BankDeutsche Bankeconomic sanction violation2015NY-DFS$200,000,000
Nationwide Property & Casualty Insurance CompanyNationwideinsurance violation2015NY-DFS$7,000
National Interstate Insurance CompanyAmerican Financial Groupinsurance violation2015NY-DFS$90,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2015NY-DFS$150,000,000
New Day Financial LLC dba New Day USANew Day Financial LLCconsumer protection violation2015NY-DFS$1,000,000
Allstate Fire and Casualty Insurance CompanyAllstateinsurance violation2016NY-DFS$50,000
HealthNow New York Inc.Highmark Inc.insurance violation2016NY-DFS$750,000
Hartford Life Insurance CompanyHartford Financial Servicesinsurance violation2016NY-DFS$50,000
TIAA-CREF Life Insurance CompanyTIAAinsurance violation2016NY-DFS$29,325
USAA Life Insurance Company of New YorkUSAAinsurance violation2016NY-DFS$10,000
TIAA-CREF Life Insurance CompanyTIAAinsurance violation2016NY-DFS$139,940
Companion Life Insurance CompanyBlueCross BlueShield of South Carolinainsurance violation2016NY-DFS$146,485
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2016NY-DFS$15,000
Guardian Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2016NY-DFS$50,000
Agricultural Bank of ChinaAgricultural Bank of Chinaanti-money-laundering deficiencies2016NY-DFS$215,000,000
PHH Mortgage CorporationOcwen Financialmortgage abuses2016NY-DFS$28,000,000
BCS Insurance CompanyBCS Financial Corporationinsurance violation2016NY-DFS$100,000
Intesa Sanpaolo S.p.A.Intesa Sanpaoloanti-money-laundering deficiencies2016NY-DFS$235,000,000
Deutsche Bank AGDeutsche Bankanti-money-laundering deficiencies2017NY-DFS$425,000,000
Combined Life Insurance Company of New YorkChubb Limitedinsurance violation2017NY-DFS$23,740
Globe Life Insurance Company of New YorkGlobe Life Inc.insurance violation2017NY-DFS$538,375
United States Life Insurance Company in the City of New YorkAmerican International Groupinsurance violation2017NY-DFS$873,918
Variable Annuity Life Insurance CompanyAmerican International Groupinsurance violation2017NY-DFS$25,000
Lincoln Financial GroupLincoln Nationalinsurance violation2017NY-DFS$52,200,000
BNP Paribas S.A.BNP Paribasprice-fixing or anti-competitive practices2017NY-DFS$350,000,000
Credit Suisse AGUBSprice-fixing or anti-competitive practices2017NY-DFS$135,000,000
John Hancock Life Insurance Company of New YorkManulife Financialinsurance violation2017NY-DFS$73,000
Tokio Marine Kiln Syndicates Limited and Beazley Furlonge LimitedTokio Marineinsurance violation2017NY-DFS$920,000
PHH Mortgage Corp.Ocwen Financialzoning violation2017NY-DFS$119,000
Western UnionWestern Unionanti-money-laundering deficiencies2018NY-DFS$60,000,000
Amica Mutual Insurance CompanyAmica Mutual Insuranceinsurance violation2018NY-DFS$20,000
QBE Insurance Corp.QBE Insuranceinsurance violation2018NY-DFS$750,000
AIG Claims Inc.American International Groupinsurance violation2018NY-DFS$177,500
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2018NY-DFS$17,000,000
J P Morgan Securities LLCJPMorgan Chaseinsurance violation2018NY-DFS$11,750
Marsh USA IncMarsh & McLennaninsurance violation2018NY-DFS$12,950
Goldman Sachs Group Inc.Goldman Sachsprice-fixing or anti-competitive practices2018NY-DFS$54,750,000
William Penn Life Insurance CompanyLegal & General Group PLCinsurance violation2018NY-DFS$6,300,000
Chubb Ltd.Chubb Limitedinsurance violation2018NY-DFS$1,300,000
Deutsche Bank AGDeutsche Bankprice-fixing or anti-competitive practices2018NY-DFS$205,000,000
American Family Life Assurance Company of New York (AFLAC)Aflacinsurance violation2018NY-DFS$1,138,368
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.