Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$333,568,388,571
Number of Records: 
6,826
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$82,896,776,051261
JPMorgan Chase$35,851,437,155191
Citigroup$25,535,002,360154
Wells Fargo$21,678,596,719218
Deutsche Bank$18,341,457,30276
UBS$16,853,736,33498
Goldman Sachs$16,381,931,83964
NatWest Group PLC$13,477,129,00031
BNP Paribas$12,147,863,95019
Credit Suisse$10,448,892,62645


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
Allstate Insurance Company Allstate insurance violation 2017 RI-FIN $103,414
Nationwide Mutual Insurance Company Nationwide insurance violation 2017 RI-FIN $154,228
Nationstar Mortgage LLC Mr. Cooper Group consumer protection violation 2017 RI-FIN $9,200
Liberty Mutual Insurance Group Liberty Mutual Insurance insurance violation 2017 RI-FIN $139,547
Esurance Property and Casualty Insurance Company Allstate insurance violation 2018 RI-FIN $233,963
Morgan Stanley Smith Barney LLC Morgan Stanley investor protection violation 2018 RI-FIN $175,000
Allstate Fire & Casualty Insurance Company Allstate insurance violation 2018 RI-FIN $60,000
Progressive Casualty Insurance Company Progressive insurance violation 2019 RI-FIN $10,000
USAA Casualty Insurance Company USAA insurance violation 2019 RI-FIN $8,000
Metropolitan Property and Casualty Company Zurich Insurance insurance violation 2019 RI-FIN $5,000
Metropolitan Life Insurance Company MetLife insurance violation 2019 RI-FIN $15,000
USAA Casualty Insurance Company USAA insurance violation 2020 RI-FIN $12,000
American General Life Insurance Company American International Group insurance violation 2020 RI-FIN $25,000
John Hancock Life and Health Insurance Company Manulife Financial insurance violation 2020 RI-FIN $44,877
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 RI-FIN $6,500
IAC SPARTANBURG, INC Invesco environmental violation 2012 SC-ENV $7,000
IAC Spartanburg, Inc. Invesco environmental violation 2015 SC-ENV $58,000
CashCall Inc. CashCall Inc. consumer protection violation 2017 SC-FIN $9,650,000
Merrill Lynch Life Insurance Company Bank of America insurance violation 2000 SC-INS $5,000
Standard Fire Insurance Company Travelers insurance violation 2000 SC-INS $10,000
Liberty Life Insurance Company Athene Holding insurance violation 2001 SC-INS $10,000
Dairyland Insurance Company Sentry Insurance insurance violation 2003 SC-INS $5,000
Conseco Life Insurance Company CNO Financial insurance violation 2004 SC-INS $6,000
AXA Insurance Company AXA insurance violation 2007 SC-INS $8,000
USAA Casualty Insurance Co. USAA insurance violation 2010 SC-INS $7,000
American Family Home Insurance Co. Munich Re insurance violation 2011 SC-INS $9,800
United Services Automobile Association USAA insurance violation 2011 SC-INS $8,000
Bristol West Insurance Company Zurich Insurance insurance violation 2011 SC-INS $7,500
United States Fire Insurance Company Fairfax Financial Holdings insurance violation 2012 SC-INS $10,000
AXA Art Insurance Corporation AXA insurance violation 2012 SC-INS $8,000
Safeco Insurance Company Liberty Mutual Insurance insurance violation 2013 SC-INS $8,000
National Union Fire Insurance Company of Pittsburgh, PA American International Group insurance violation 2016 SC-INS $90,000
Auto-Owners Insurance Company Auto-Owners Insurance insurance violation 2016 SC-INS $7,356
Allstate Vehicle and Property Insurance Company Allstate insurance violation 2018 SC-INS $10,000
Guardian Life Insurance Company of America Guardian Life Insurance insurance violation 2018 SC-INS $10,000
A.G. Edwards & Sons Inc. Wells Fargo investor protection violation 2007 SC-SEC $575,000
Morgan Stanley & Co. Inc. Morgan Stanley investor protection violation 2011 SC-SEC $30,000
LendingClub Corporation LendingClub Corp. investor protection violation 2015 SC-SEC $150,000
Oppenheimer & Co. Inc. Oppenheimer Holdings investor protection violation 2016 SC-SEC $175,000
Branch Banking and Trust Company Truist Financial investor protection violation 2016 SC-SEC $97,500
Ameriprise Financial Services Inc. Ameriprise Financial investor protection violation 2018 SC-SEC $650,000
LPL Financial LLC LPL Financial investor protection violation 2019 SC-SEC $40,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 SC-SEC $28,007
Countrywide Financial Corporation Bank of America mortgage abuses 2009 SD-AG $161,805
Nationwide Life Insurance Company Nationwide insurance violation 2012 SD-INS $40,000
Nationwide Mutual Insurance Company Nationwide insurance violation 2013 SD-INS $15,000
New Hampshire Insurance Company American International Group insurance violation 2013 SD-INS $5,000
Washington National Insurance Company CNO Financial insurance violation 2013 SD-INS $125,000
Catlin Insurance Company Inc. AXA insurance violation 2013 SD-INS $5,000
Hartford Underwriters Insurance Company Hartford Financial Services insurance violation 2013 SD-INS $5,000
Hartford Insurance Company of the Midwest Hartford Financial Services insurance violation 2013 SD-INS $5,000
Hartford Casualty Insurance Company Hartford Financial Services insurance violation 2013 SD-INS $5,000
Hartford Accident and Indemnity Hartford Financial Services insurance violation 2013 SD-INS $5,000
Hartford Fire Insurance Company Hartford Financial Services insurance violation 2013 SD-INS $5,000
Hartford Accident and Indemnity Hartford Financial Services insurance violation 2013 SD-INS $5,000
Hartford Fire Insurance Company Hartford Financial Services insurance violation 2013 SD-INS $5,000
Sentinel Insurance Company Ltd. Hartford Financial Services insurance violation 2013 SD-INS $5,000
Twin City Fire Insurance Company Hartford Financial Services insurance violation 2013 SD-INS $5,000
Property & Casualty Insurance Company of Hartford Hartford Financial Services insurance violation 2013 SD-INS $5,000
Protective Life Insurance Company Dai-ichi Life insurance violation 2014 SD-INS $5,000
Protective Insurance Company Protective Insurance Corp. insurance violation 2014 SD-INS $7,500
American General Life Insurance Company American International Group insurance violation 2014 SD-INS $15,000
General Casualty Company of Wisconsin QBE Insurance insurance violation 2014 SD-INS $5,000
Hartford Accident and Indemnity Hartford Financial Services insurance violation 2014 SD-INS $10,000
New Hampshire Insurance Company American International Group insurance violation 2014 SD-INS $5,000
Union Security Insurance Company Assurant insurance violation 2015 SD-INS $7,500
Foremost Insurance Group et al. Zurich Insurance insurance violation 2015 SD-INS $750,000
Sentry Insurance Group Sentry Insurance insurance violation 2015 SD-INS $125,000
Nationwide Life Insurance Company Nationwide insurance violation 2015 SD-INS $10,000
Zurich American Insurance Company Zurich Insurance insurance violation 2015 SD-INS $100,000
Transamerica Life Insurance Company Aegon insurance violation 2016 SD-INS $15,000
Standard Life & Accident Insurance Company American National Insurance insurance violation 2016 SD-INS $10,000
Zurich American Insurance Company Zurich Insurance insurance violation 2016 SD-INS $15,000
American Memorial Life Insurance Company Assurant insurance violation 2016 SD-INS $5,000
Time Insurance Company Haven Holdings insurance violation 2016 SD-INS $300,000
Union Security Insurance Company Assurant insurance violation 2016 SD-INS $35,000
Indemnity Insurance Company of North America Chubb Limited insurance violation 2016 SD-INS $5,000
Hartford Accident and Indemnity Hartford Financial Services insurance violation 2016 SD-INS $10,000
Old Republic Insurance Company Old Republic International insurance violation 2017 SD-INS $5,000
Companion Life Insurance Company BlueCross BlueShield of South Carolina insurance violation 2017 SD-INS $40,000
Hartford Life and Accident Insurance Company Hartford Financial Services insurance violation 2018 SD-INS $10,000
Transamerica Life Insurance Company Aegon insurance violation 2018 SD-INS $10,000
American Family Life Assurance Company Aflac insurance violation 2019 SD-INS $100,000
Genworth Life Insurance Company Genworth Financial insurance violation 2019 SD-INS $5,000
Transamerica Life Insurance Company Aegon insurance violation 2019 SD-INS $30,000
Edward D. Jones & Co. L.P. Jones Financial investor protection violation 2019 SD-INS $10,000
Federal Insurance Co. Chubb Limited insurance violation 2020 SD-INS $25,000
Farmers Insurance Exchange Farmers Insurance Exchange insurance violation 2020 SD-INS $85,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 SD-SEC $5,750
Ameritas Investment Corp. Ameritas Mutual Holding Company investor protection violation 2021 SD-SEC $20,000
Barclays Capital Inc. Barclays investor protection violation 2016 SEC $35,000,000
Credit Suisse Securities (USA) LLC Credit Suisse investor protection violation 2016 SEC $54,300,000
Goldman Sachs & Co. Goldman Sachs investor protection violation 2016 SEC $15,000,000
J.P. Morgan Securities LLC JPMorgan Chase investor protection violation 2016 SEC $4,000,000
Morgan Stanley Investment Management Morgan Stanley investor protection violation 2015 SEC $8,800,000
J.P. Morgan Securities LLC and JPMorgan Chase Bank N.A. JPMorgan Chase investor protection violation 2015 SEC $267,000,000
ICBC Standard Bank Plc Industrial and Commercial Bank of China investor protection violation 2015 SEC $4,200,000
UBS Willow Management LLC and UBS Fund Advisor LLC UBS investor protection violation 2015 SEC $17,500,000
UBS AG UBS investor protection violation 2015 SEC $19,500,000
UBS Financial Services Inc. of Puerto Rico UBS investor protection violation 2015 SEC $15,000,000
Credit Suisse Securities (USA) LLC Credit Suisse data submission deficiencies 2015 SEC $4,250,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)