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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
Fidelity National Title Insurance Company & Chicago Title Insurance CompanyFidelity National Financialinsurance violation2014UT-INS$222,500
Transamerica Life Insurance CompanyAegoninsurance violation2014UT-INS$45,000
First American Title Insurance CompanyFirst American Financialinsurance violation2016UT-INS$6,500
Liberty Mutual General Insurance CompanyLiberty Mutual Insuranceinsurance violation2016UT-INS$5,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2016UT-INS$172,250
Liberty Mutual General Insurance CompanyLiberty Mutual Insuranceinsurance violation2016UT-INS$10,000
Liberty Mutual InsuranceLiberty Mutual Insuranceinsurance violation2017UT-INS$5,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2017UT-INS$67,500
Catlin Insurance Company Inc.AXAinsurance violation2018UT-INS$100,000
Lawyers Title CompanyFidelity National Financialinsurance violation2018UT-INS$93,500
Allstate Indemnity CompanyAllstateinsurance violation2018UT-INS$5,000
American Family Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2018UT-INS$39,400
LM General Insurance CompanyLiberty Mutual Insuranceinsurance violation2019UT-INS$70,000
Ace American Insurance CompanyChubb Limitedinsurance violation2021UT-INS$41,500
Gerber Life Insurance Co.Western & Southern Financial Groupinsurance violation2022UT-INS$317,750
Ace American Insurance CompanyChubb Limitedinsurance violation2023UT-INS$79,000
Barclays Capital Inc.Barclaystoxic securities abuses2016VA-AG$9,000,000
CashCall, Inc.CashCall Inc.consumer protection violation2017VA-AG$15,335,000
Citigroup Global Markets Inc.Citigrouptoxic securities abuses2016VA-AG$4,750,000
Countrywide Securities Corporation and Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americatoxic securities abuses2016VA-AG$19,500,000
Credit Suisse Securities (USA) LLCUBStoxic securities abuses2016VA-AG$1,200,000
Deutsche Bank Securities Inc.Deutsche Banktoxic securities abuses2016VA-AG$5,621,897
Goldman, Sachs & Co.Goldman Sachstoxic securities abuses2016VA-AG$2,900,000
HSBC Securities (USA) Inc.HSBCtoxic securities abuses2016VA-AG$2,500,000
Morgan Stanley & Co. LLCMorgan Stanleytoxic securities abuses2016VA-AG$6,900,000
RBS Securities Inc.NatWest Group PLCtoxic securities abuses2016VA-AG$10,000,000
UBS Securities LLCUBStoxic securities abuses2016VA-AG$850,000
Buckeye Terminals, LLCIFM Investorsenvironmental violation2017VA-ENV$9,537
Navy Federal Credit UnionNavy Federal Credit Unionenvironmental violation2017VA-ENV$7,426
Wheelabrator Portsmouth Inc.Macquarieenvironmental violation2016VA-ENV$7,669
Buckeye Terminals, LLCIFM Investorsenvironmental violation2013VA-ENV$14,262
Bank of America, National AssociationBank of Americaenvironmental violation2013VA-ENV$27,625
Federal Home Loan Mortgage Corp.Freddie Mac (Federal Home Loan Mortgage Corporation)environmental violation2012VA-ENV$55,802
Synagro Central, LLCGoldman Sachsenvironmental violation2012VA-ENV$65,000
Buckeye Terminals, LLCIFM Investorsenvironmental violation2021VA-ENV$78,045
ALLIED CASH ADVANCE VIRGINIACNG Financialconsumer protection violation2008VA-FIN$38,000
ALLIED HOME MORTGAGE CAPITALAmericus Mortgageconsumer protection violation2008VA-FIN$5,000
ALLIED HOME MORTGAGE CAPITALAmericus Mortgageconsumer protection violation2010VA-FIN$25,000
ACE CASH EXPRESS, INC.ACE Cash Expressconsumer protection violation2010VA-FIN$150,000
FREEDOM MORTGAGE CORPORATIONFreedom Mortgageconsumer protection violation2016VA-FIN$17,000
ACE CASH EXPRESS, INC.ACE Cash Expressconsumer protection violation2016VA-FIN$45,000
Navient Solutions, LLCNavientconsumer protection violation2023VA-FIN$43,600
DAIRYLAND INSURANCE COSentry Insuranceinsurance violation2001VA-INS$8,500
AMERICAN GENERAL LIFEAmerican International Groupinsurance violation2001VA-INS$14,000
JEFFERSON PILOT LIFE INSURANCELincoln Nationalinsurance violation2001VA-INS$42,000
CONSECO HEALTH INSURANCE COMPANYCNO Financialinsurance violation2001VA-INS$19,000
HARTFORD FIRE INSURANCE CO. ET ALHartford Financial Servicesinsurance violation2001VA-INS$30,000
PROGRESSIVE AMERICAN INSURANCE CO.Progressiveinsurance violation2001VA-INS$23,000
MONUMENTAL LIFE INSURANCE COAegoninsurance violation2001VA-INS$5,000
HARLEYSVILLE MUTUAL INSURANCE CONationwideinsurance violation2001VA-INS$21,000
AMERITAS LIFE INSURANCE CORPAmeritas Mutual Holding Companyinsurance violation2001VA-INS$9,000
AMERICAN BANKERS LIFE ASSURANCE OF FLORIDAAssurantinsurance violation2001VA-INS$15,000
PACIFIC LIFE & ANNUITY COMPANYPacific Lifeinsurance violation2001VA-INS$9,000
RELIASTAR LIFE INSURANCE COVoya Financialinsurance violation2001VA-INS$9,000
FORTIS INSURANCE COMPANYAssurantinsurance violation2001VA-INS$57,000
NEW YORK LIFE INSURANCE CONew York Life Insuranceinsurance violation2002VA-INS$13,500
UNITED AMERICAN INSURANCE CO.Globe Life Inc.insurance violation2002VA-INS$10,000
FIDELITY & GUARANTY LIFE INSURANCEFidelity National Financialinsurance violation2002VA-INS$15,000
AVEMCO INSURANCE COMPANYTokio Marineinsurance violation2002VA-INS$12,000
FORTIS INSURANCE CO., ET AL.Assurantinsurance violation2002VA-INS$27,000
NEW ENGLAND LIFE INSURANCE CO.Brighthouse Financialinsurance violation2002VA-INS$9,000
Combined Insurance Company of AmericaChubb Limitedinsurance violation2002VA-INS$27,000
PRINCIPAL LIFE INSURANCE CO.Principal Financialinsurance violation2002VA-INS$12,000
SAFECO INSURANCE CO. ET AL.Liberty Mutual Insuranceinsurance violation2002VA-INS$28,200
ALLSTATE INSURANCE COMPANYAllstateinsurance violation2002VA-INS$10,000
MUTUAL OF OMAHA INSURANCE CO.Mutual of Omahainsurance violation2002VA-INS$25,800
AMERICAN HERITAGE LIFE INSURANCE COAllstateinsurance violation2002VA-INS$15,000
AMICA MUTUAL INSURANCE COMPANYAmica Mutual Insuranceinsurance violation2002VA-INS$14,000
PRUDENTIAL INSURANCE COMPANYPrudential Financialinsurance violation2002VA-INS$15,000
AMERICAN FAMILY LIFE ASSURANCEAflacinsurance violation2003VA-INS$7,500
UNUM LIFE INSURANCE COMPANYUnuminsurance violation2003VA-INS$14,000
NATIONWIDE MUTUAL INSURANCE CO ET ALNationwideinsurance violation2003VA-INS$64,080
PEERLESS INSURANCE COMPANYLiberty Mutual Insuranceinsurance violation2003VA-INS$28,100
ERIE INSURANCE EXCHANGEErie Indemnityinsurance violation2003VA-INS$6,200
FIDELITY & GUARANTY LIFE INSURANCEFidelity National Financialinsurance violation2003VA-INS$20,000
VICTORIA FIRE & CASUALTY ET ALNationwideinsurance violation2003VA-INS$29,000
THE CINCINNATI INSURANCE CO. ET AL.Cincinnati Financialinsurance violation2003VA-INS$30,000
PRINCIPAL LIFE INSURANCE COPrincipal Financialinsurance violation2003VA-INS$10,000
ALLSTATE INSURANCE & ALLSTATE INDEMNITY COAllstateinsurance violation2003VA-INS$31,300
FARMERS INSURANCE EXCHANGEFarmers Insurance Exchangeinsurance violation2003VA-INS$42,000
ALLSTATE INSURANCE CO., ET AL.Allstateinsurance violation2003VA-INS$50,000
MASSACHUSETTS MUTUAL LIFE INSURANCEMassachusetts Mutual Life Insuranceinsurance violation2003VA-INS$15,000
UNITED AMERICAN INSURANCE CO.Globe Life Inc.insurance violation2003VA-INS$15,000
PRUDENTIAL INSURANCE COMPANYPrudential Financialinsurance violation2004VA-INS$7,500
PRUCO LIFE INSURANCE COPrudential Financialinsurance violation2004VA-INS$7,500
AMERICAN ZURICH INSURANCE COZurich Insuranceinsurance violation2004VA-INS$5,000
THE GUARDIAN LIFE INSURANCE COGuardian Life Insuranceinsurance violation2004VA-INS$27,000
FEDERAL INSURANCE CO., ET AL.Chubb Limitedinsurance violation2004VA-INS$65,000
PROTECTIVE LIFE INSURANCE CO.Dai-ichi Lifeinsurance violation2004VA-INS$10,000
LIBERTY MUTUAL INSURANCE CO., ET ALLiberty Mutual Insuranceinsurance violation2004VA-INS$37,000
ALLSTATE LIFE INSURANCE CO.Allstateinsurance violation2005VA-INS$5,000
LIBERTY MUTUAL INSURANCE CO. ET AL.Liberty Mutual Insuranceinsurance violation2005VA-INS$30,000
CUNA MUTUAL INSURANCE SOCIETYCUNA Mutualinsurance violation2005VA-INS$40,000
UNITED AMERICAN INSURANCE CO.Globe Life Inc.insurance violation2005VA-INS$5,000
CONSECO SENIOR HEALTH INS.CNO Financialinsurance violation2005VA-INS$7,500
AMERICAN HEALTH & LIFE INSURANCE COOneMain Holdingsinsurance violation2005VA-INS$7,000
LIFE INVESTORS INSURANCE COMPANY OF AMERICAAegoninsurance violation2006VA-INS$29,000
United Services Automobile AssociationUSAAinsurance violation2006VA-INS$5,000
COMMONWEALTH LAND TITLE INSURANCE CO. ET AL.Fidelity National Financialinsurance violation2006VA-INS$300,000
MINNESOTA LIFE INSURANCE CO.Securian Financialinsurance violation2006VA-INS$18,000
RESOURCE LIFE INSURANCE CO.Assurantinsurance violation2006VA-INS$18,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.