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
AmTrust Financial Services Inc. AmTrust Financial Services investor protection violation 2020 SEC $10,300,000
Goldman Sachs Group Inc. Goldman Sachs Foreign Corrupt Practices Act 2020 SEC (*) $1,006,000,000
Morgan Stanley & Co. LLC Morgan Stanley investor protection violation 2020 SEC $5,000,000
Transamerica Asset Management, Inc. Aegon investor protection violation 2020 SEC $5,946,782
BGC Partners, Inc. BGC Partners investor protection violation 2020 SEC $1,400,000
J.P. Morgan Securities LLC JPMorgan Chase investor protection violation 2020 SEC $35,000,000
Fulton Financial Corporation Fulton Financial investor protection violation 2020 SEC $1,500,000
Credit Suisse Securities (USA) LLC Credit Suisse investor protection violation 2020 SEC $600,000
Deutsche Bank AG Deutsche Bank Foreign Corrupt Practices Act 2021 SEC $43,000,000
Pruco Securities, LLC Prudential Financial investor protection violation 2020 SEC $18,252,341
Voya Financial Advisors, Inc. Voya Financial investor protection violation 2020 SEC $22,919,155
Robinhood Financial LLC Robinhood Markets investor protection violation 2020 SEC $65,000,000
RBC Capital Markets LLC Royal Bank of Canada investor protection violation 2021 SEC $863,326
Berthel Fisher & Company Financial Services, Inc. Berthel Fisher investor protection violation 2021 SEC $389,425
MML Investors Services, LLC Massachusetts Mutual Life Insurance investor protection violation 2021 SEC $2,109,458
UBS Financial Services Inc. UBS investor protection violation 2021 SEC $8,112,174
TIAA-CREF Individual & Institutional Services LLC TIAA accounting fraud or deficiencies 2021 SEC $97,000,000
Hilltop Securities Inc. Hilltop Holdings investor protection violation 2021 SEC $340,193
First American Financial Corporation First American Financial privacy violation 2021 SEC $487,616
Regions Bank Regions Financial environmental violation 2017 TN-ENV $20,750
Selective Insurance Company of South Carolina Selective Insurance Group insurance violation 2014 TN-INS $10,000
Broadspire Services Inc. Crawford & Co. insurance violation 2016 TN-INS $10,000
Ameritas Life Insurance Corp. Ameritas Mutual Holding Company insurance violation 2020 TN-INS $30,000
MONY Securities Corporation Equitable Holdings investor protection violation 2003 TN-SEC $10,000
Wedbush Securities Inc. Wedbush Securities investor protection violation 2016 TN-SEC $30,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 TN-SEC $12,994
Allstate Allstate consumer protection violation 2003 TX-AG $3,440,000
American Heritage Life Insurance Co. Allstate consumer protection violation 2007 TX-AG $1,700,000
American National Insurance Co. American National Insurance consumer protection violation 2007 TX-AG $6,500,000
EZCORP, Inc. EZCORP Inc. privacy violation 2008 TX-AG $600,000
Farmers Insurance Group Zurich Insurance consumer protection violation 2003 TX-AG $2,400,000
PayPal Inc. PayPal Holdings privacy violation 2016 TX-AG $175,000
Protective Life Insurance Co. Dai-ichi Life consumer protection violation 2007 TX-AG $1,570,000
Resource Life Insurance Co. CNO Financial consumer protection violation 2010 TX-AG $2,600,000
State Farm State Farm Insurance consumer protection violation 2000 TX-AG $3,100,000
State Farm Mutual Automobile Insurance Co. State Farm Insurance consumer protection violation 2005 TX-AG $10,000,000
Universal Underwriters Life Insurance Co. Zurich Insurance consumer protection violation 2008 TX-AG $2,400,000
Sherwin Alumina Company, LLC Glencore environmental violation 2015 TX-ENV $58,500
JP Morgan Chase JPMorgan Chase environmental violation 2011 TX-ENV $6,555
CAPITAL ONE NATIONAL ASSOCIATION Capital One Financial environmental violation 2010 TX-ENV $8,400
Sherwin Alumina, L.P. Glencore environmental violation 2008 TX-ENV $23,200
Sherwin Alumina, L.P. Glencore environmental violation 2007 TX-ENV $20,488
Bank Of America NA Bank of America environmental violation 2005 TX-ENV $12,480
Sherwin Alumina, L.P. Glencore environmental violation 2003 TX-ENV $6,300
Imperial Sugar Company Louis Dreyfus environmental violation 2003 TX-ENV $6,800
Bannockburn Global Forex, LLC First Financial Bancorp. consumer protection violation 2016 TX-FIN $23,608
Mid-Century Insurance Co. of Texas Zurich Insurance insurance violation 2000 TX-INS $11,000,000
Farmers Insurance Group Zurich Insurance insurance violation 2002 TX-INS $15,000,000
Allstate Texas Lloyd's Allstate insurance violation 2008 TX-INS $71,300,000
Hartford Casualty Insurance Company et al. Hartford Financial Services insurance violation 2008 TX-INS $21,000
Sentry Insurance Sentry Insurance insurance violation 2008 TX-INS $5,000
Hartford Fire Insurance Company Hartford Financial Services insurance violation 2008 TX-INS $6,000
Ace American Insurance Company Chubb Limited insurance violation 2008 TX-INS $17,500
Ace American Insurance Company Chubb Limited insurance violation 2008 TX-INS $14,875
Indemnity Insurance Company of North America Chubb Limited insurance violation 2008 TX-INS $18,000
Old Republic Insurance Company Old Republic International insurance violation 2008 TX-INS $18,000
Virginia Surety Company, Inc. Assurant insurance violation 2008 TX-INS $7,000
Ace American Insurance Company et al. Chubb Limited insurance violation 2008 TX-INS $50,000
Ace American Insurance Company Chubb Limited insurance violation 2008 TX-INS $37,500
Indemnity Insurance Company of North America Chubb Limited insurance violation 2008 TX-INS $7,500
Zurich American Insurance Company Zurich Insurance insurance violation 2009 TX-INS $15,000
American Home Assurance Company American International Group insurance violation 2009 TX-INS $22,500
Fidelity and Guaranty Insurance Company Fidelity National Financial insurance violation 2009 TX-INS $9,000
The Insurance Company of the State of Pennsylvania American International Group insurance violation 2009 TX-INS $7,500
New Hampshire Insurance Company American International Group insurance violation 2009 TX-INS $7,500
Stewart Title Guaranty Company Stewart Information Services insurance violation 2009 TX-INS $55,000
Old Republic Insurance Company Old Republic International insurance violation 2009 TX-INS $7,500
United States Fire Insurance Company of Plano Fairfax Financial Holdings insurance violation 2009 TX-INS $10,500
American Home Assurance Company et al. American International Group insurance violation 2010 TX-INS $650,000
Hartford Accident and Indemnity Company Hartford Financial Services insurance violation 2010 TX-INS $18,000
Hartford Casualty Insurance Company Hartford Financial Services insurance violation 2010 TX-INS $18,000
Hartford Fire Insurance Company Hartford Financial Services insurance violation 2010 TX-INS $18,000
Hartford Insurance Company of the Midwest Hartford Financial Services insurance violation 2010 TX-INS $18,000
Hartford Lloyd's Corporation Hartford Financial Services insurance violation 2010 TX-INS $18,000
Hartford Underwriters Insurance Company Hartford Financial Services insurance violation 2010 TX-INS $18,000
Property and Casualty Insurance Company of Hartford Hartford Financial Services insurance violation 2010 TX-INS $18,000
Sentinel Insurance Company Ltd. Hartford Financial Services insurance violation 2010 TX-INS $10,000
Trumbull Insurance Company Hartford Financial Services insurance violation 2010 TX-INS $10,000
Wausau Business Insurance Company Liberty Mutual Insurance insurance violation 2010 TX-INS $5,000
Safeco Lloyds Insurance Co. Liberty Mutual Insurance insurance violation 2010 TX-INS $5,000
Insurance Company of the State of Pennsylvania American International Group insurance violation 2010 TX-INS $175,000
New Hampshire Insurance Company American International Group insurance violation 2010 TX-INS $175,000
Standard Fire Insurance Company Travelers insurance violation 2010 TX-INS $8,000
Ace American Insurance Company Chubb Limited insurance violation 2010 TX-INS $74,000
Ace American Insurance Company Chubb Limited insurance violation 2010 TX-INS $147,000
Allstate Insurance Company Allstate insurance violation 2010 TX-INS $879,510
Liberty Mutual Fire Insurance Company Liberty Mutual Insurance insurance violation 2010 TX-INS $50,000
Liberty Mutual Insurance Company Liberty Mutual Insurance insurance violation 2010 TX-INS $17,000
Liberty Insurance Corporation Liberty Mutual Insurance insurance violation 2010 TX-INS $153,000
LM Insurance Corporation Liberty Mutual Insurance insurance violation 2010 TX-INS $30,000
Arch Insurance Company Arch Capital insurance violation 2010 TX-INS $14,000
State Farm General Insurance Company State Farm Insurance insurance violation 2010 TX-INS $40,000
Fidelity & Guaranty Insurance Company Fidelity National Financial insurance violation 2010 TX-INS $50,000
American Zurich Insurance Company Zurich Insurance insurance violation 2010 TX-INS $32,000
National General Insurance Company Allstate insurance violation 2010 TX-INS $25,000
Commerce and Industry Insurance Company American International Group insurance violation 2010 TX-INS $60,000
Sentry Insurance, A Mutual Company Sentry Insurance insurance violation 2010 TX-INS $7,200
Zurich American Insurance Company Zurich Insurance insurance violation 2010 TX-INS $45,000
American Guarantee & Liability Insurance Company Zurich Insurance insurance violation 2010 TX-INS $30,000
Hartford Underwriters Insurance Company Hartford Financial Services insurance violation 2010 TX-INS $78,000
New Hampshire Insurance Company American International Group insurance violation 2010 TX-INS $40,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)