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
UNITED STATES FIRE INSURANCE CO Fairfax Financial Holdings insurance violation 2017 VA-INS $25,000
GRANITE STATE INSURANCE CO. American International Group insurance violation 2018 VA-INS $152,318
TOKIO MARINE KILN SYNDICATES, LTD. Tokio Marine insurance violation 2018 VA-INS $7,500
SELECTIVE INSURANCE CO. ET AL. Selective Insurance Group insurance violation 2018 VA-INS $10,000
MERCURY CASUALTY COMPANY Mercury General Corporation insurance violation 2018 VA-INS $173,650
ACADIA INSURANCE COMPANY ET AL W.R. Berkley insurance violation 2018 VA-INS $91,793
THE GENERAL AUTOMOBILE INSURANCE CO. American Family Insurance insurance violation 2018 VA-INS $66,996
LIBERTY MUTUAL FIRE INSURANCE Liberty Mutual Insurance insurance violation 2018 VA-INS $108,053
PROGRESSIVE NORTHERN INSURANCE CO. Progressive insurance violation 2018 VA-INS $1,818,318
USAA CASUALTY INSURANCE CO ET AL. USAA insurance violation 2018 VA-INS $4,396,720
ELEPHANT INSURANCE COMPANY Admiral Group insurance violation 2018 VA-INS $79,017
Globe Life and Accident Insurance Company Globe Life Inc. insurance violation 2019 VA-INS $15,000
Praetorian Insurance Company QBE Insurance insurance violation 2019 VA-INS $183,819
Elephant Insurance Company Admiral Group insurance violation 2019 VA-INS $47,619
General Automobile Insurance Company, Inc American Family Insurance insurance violation 2019 VA-INS $27,624
National Union Fire Insurance Company of Pittsburgh, Pennsylvania American International Group insurance violation 2019 VA-INS $28,806
Liberty Mutual Fire Insurance Company Liberty Mutual Insurance insurance violation 2019 VA-INS $27,828
Erie Insurance Exchange Erie Indemnity insurance violation 2019 VA-INS $1,921,784
Selective Insurance Company of America Selective Insurance Group insurance violation 2019 VA-INS $10,137
United States Fire Insurance Company Fairfax Financial Holdings insurance violation 2019 VA-INS $5,000
Acadia Insurance Company et al. W.R. Berkley insurance violation 2019 VA-INS $9,341
Nationwide Mutual Fire Insurance Company Nationwide insurance violation 2019 VA-INS $397,667
Progressive Advanced Insurance Company et al. Progressive insurance violation 2019 VA-INS $4,876,344
American Fire and Casualty Company and Ohio Security Insurance Company Liberty Mutual Insurance insurance violation 2019 VA-INS $148,910
Arch Insurance Company Arch Capital insurance violation 2019 VA-INS $26,447
Erie Insurance Company and Erie Insurance Exchange Erie Indemnity insurance violation 2019 VA-INS $90,219
Bristol West Casualty Insurance Company and Bristol West Insurance Company Zurich Insurance insurance violation 2020 VA-INS $27,560
Bristol West Casualty Insurance Company and Bristol West Insurance Company Zurich Insurance insurance violation 2020 VA-INS $91,872
John Hancock Life Insurance Company Manulife Financial insurance violation 2020 VA-INS $60,600
Jefferson National Life Insurance Company Nationwide insurance violation 2020 VA-INS $27,600
The Travelers Indemnity Company ofAmerica Travelers insurance violation 2020 VA-INS $49,500
Dairyland Insurance Co. and Peak Property and Casualty Insurance Corp. Sentry Insurance insurance violation 2020 VA-INS $140,492
Carefirst Bluechoice, Inc. CareFirst of Maryland insurance violation 2020 VA-INS $90,600
Group Hospitalization and Medical Services, Inc. CareFirst of Maryland insurance violation 2020 VA-INS $36,250
American Income Life Insurance Company Globe Life Inc. insurance violation 2020 VA-INS $18,000
Life Insurance Company of the Southwest National Life Group insurance violation 2020 VA-INS $6,600
Allied Property & Casualty Insurance Company et al. Nationwide insurance violation 2020 VA-INS $17,500
Allied Property & Casualty Insurance Company et al. Nationwide insurance violation 2020 VA-INS $20,000
Farmers Insurance Exchange and Truck Insurance Exchange Farmers Insurance Exchange insurance violation 2021 VA-INS $15,950
CMFG Life Insurance Company CUNA Mutual insurance violation 2021 VA-INS $7,500
Erie Insurance Company and Erie Insurance Exchange Erie Indemnity insurance violation 2020 VA-INS $19,371
Lincoln National Life Insurance Company Lincoln National insurance violation 2020 VA-INS $7,800
United Services Automobile Association et al. USAA insurance violation 2021 VA-INS $10,000
JEFFERSON PILOT SECURITIES Lincoln National investor protection violation 2003 VA-SEC $26,500
MERRILL LYNCH PIERCE FENNER & Bank of America investor protection violation 2004 VA-SEC $268,723
CITIGROUP GLOBAL MARKETS INC Citigroup investor protection violation 2004 VA-SEC $72,486
SUNAMERICA SECURITIES, INC. American International Group investor protection violation 2006 VA-SEC $10,000
Merrill Lynch, Pierce, Fenner & Smith, Incorporated Bank of America investor protection violation 2006 VA-SEC $75,000
Merrill Lynch, Pierce, Fenner & Smith, Incorporated Bank of America investor protection violation 2006 VA-SEC $33,000
UBS FINANCIAL SERVICES, INC. UBS investor protection violation 2007 VA-SEC $100,000
AMERIPRISE FINANCIAL SERVICES Ameriprise Financial investor protection violation 2008 VA-SEC $780,000
CITIGROUP GLOBAL MARKETS Citigroup investor protection violation 2008 VA-SEC $22,000
UBS FINANCIAL SERVICES, INC. UBS investor protection violation 2010 VA-SEC $625,000
Citigroup Global Markets Inc. Citigroup investor protection violation 2014 VA-SEC $9,500
WELLS FARGO ADVISORS Wells Fargo investor protection violation 2015 VA-SEC $205,000
NEXT FINANCIAL GROUP, INC. Atria Wealth Solutions investor protection violation 2015 VA-SEC $18,000
AMERIPRISE FINANCIAL SERVICES, INC. Ameriprise Financial investor protection violation 2016 VA-SEC $14,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America investor protection violation 2016 VA-SEC $11,500
NEXT FINANCIAL GROUP, INC. Atria Wealth Solutions investor protection violation 2017 VA-SEC $60,000
LINCOLN FINANCIAL SECURITIES Lincoln National investor protection violation 2018 VA-SEC $20,000
UBS Financial Services Inc. UBS investor protection violation 2019 VA-SEC $288,970
Solium Financial Services LLC Morgan Stanley investor protection violation 2019 VA-SEC $10,000
Next Financial Group, Inc. Atria Wealth Solutions investor protection violation 2020 VA-SEC $5,000
Santander Consumer USA Inc. Banco Santander consumer protection violation 2020 VT-AG $105,000
Lincoln Financial Securities Corporation Lincoln National investor protection violation 2010 VT-FIN $10,000
Bankers Life and Casualty Company CNO Financial insurance violation 2013 VT-FIN $600,000
Dairyland Insurance Company Sentry Insurance insurance violation 2013 VT-FIN $37,852
UBS Financial Services Inc. UBS investor protection violation 2014 VT-FIN $325,000
State Farm Fire & Casualty Company and State Farm Mutual Auto Insurance Co. State Farm Insurance insurance violation 2015 VT-FIN $29,750
Ocwen Loan Servicing LLC Ocwen Financial privacy violation 2015 VT-FIN $155,000
Liberty Insurance Corp. Liberty Mutual Insurance insurance violation 2016 VT-FIN $28,000
Travelers Indemnity Co. et al. Travelers insurance violation 2016 VT-FIN $96,000
Prosper Marketplace Inc. Prosper Marketplace consumer protection violation 2016 VT-FIN $60,000
Raymond James and Associates Inc. Raymond James Financial investor protection violation 2016 VT-FIN $4,200,000
Wells Fargo Advisors LLC Wells Fargo investor protection violation 2016 VT-FIN $300,000
United Services Automobile Association (USAA) USAA insurance violation 2017 VT-FIN $85,000
Liberty Mutual Insurance Liberty Mutual Insurance insurance violation 2017 VT-FIN $20,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America investor protection violation 2018 VT-FIN $120,000
State Farm Fire & Casualty Company and State Farm Mutual Auto Insurance Co. State Farm Insurance insurance violation 2019 VT-FIN $265,000
CMFG Life Insurance Company CUNA Mutual insurance violation 2019 VT-FIN $231,000
Permanent General Assurance Corporation American Family Insurance insurance violation 2019 VT-FIN $11,000
Companion Life Insurance Company BlueCross BlueShield of South Carolina insurance violation 2019 VT-FIN $1,656,000
John Hancock Life Insurance Company (U.S.A.) Manulife Financial insurance violation 2019 VT-FIN $800,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 VT-FIN $6,900
Merrill Lynch Bank of America investor protection violation 2020 VT-FIN $125,000
Homesite Insurance Company American Family Insurance insurance violation 2020 VT-FIN $31,000
State Farm Life Insurance Co. State Farm Insurance insurance violation 2020 VT-FIN $204,000
Northwestern Mutual Life Insurance Co. Northwestern Mutual insurance violation 2021 VT-FIN $287,000
Transamerica Premier Life Insurance Company Aegon insurance violation 2021 VT-FIN $84,000
Metropolitan Property and Casualty Insurance Company Zurich Insurance insurance violation 2021 VT-FIN $13,000
Lehman Brothers, Inc. Lehman Brothers investor protection violation 2014 WA-AG $31,300,000
State Street Bank State Street Corp. investor protection violation 2010 WA-AG $11,700,000
Umpqua Bank Umpqua Holdings wage and hour violation 2015 WA-DLI $15,350
UNUM Unum wage and hour violation 2011 WA-DLI $15,070
Taylor, Bean & Whitaker Corp. Taylor, Bean & Whitaker wage and hour violation 2009 WA-DLI $11,268
GOODRICH AVIATION TECH SRV INC Macquarie environmental violation 2004 WA-ENV $9,000
Nationstar Mortgage LLC Mr. Cooper Group consumer protection violation 2016 WA-FIN $59,678
Ocwen Loan Servicing, LLC Ocwen Financial consumer protection violation 2016 WA-FIN $900,000
ACE Cash Express, Inc. ACE Cash Express consumer protection violation 2016 WA-FIN $76,421
Quicken Loans Inc. Quicken Loans consumer protection violation 2016 WA-FIN $250,000
MLD Mortgage, Inc. d/b/a The Money Store and Mortgage Loan Direct MLD Mortgage Inc. dba The Money Store consumer protection violation 2016 WA-FIN $407,103
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)