Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$330,904,834,105
Number of Records: 
6,093
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$82,737,699,939214
JPMorgan Chase$35,744,240,670158
Citigroup$25,450,155,764122
Wells Fargo$21,340,036,745181
Deutsche Bank$18,156,533,87859
UBS$16,792,800,91083
Goldman Sachs$16,365,468,98744
Royal Bank of Scotland$13,455,904,00027
BNP Paribas$12,132,582,95017
Credit Suisse$10,410,557,62632


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
Bank of America Corp. Bank of America consumer protection violation 2013 WV-AG $1,950,000
CashCall Inc. CashCall Inc. consumer protection violation 2015 WV-AG $13,000,000
Citibank/Citigroup Inc. Citigroup consumer protection violation 2013 WV-AG $1,950,000
Countrywide Financial Corporation Bank of America mortgage abuses 2009 WV-AG $340,901
Discover Financial Services Discover Financial Services consumer protection violation 2013 WV-AG $1,950,000
HSBC Finance Corporation HSBC consumer protection violation 2013 WV-AG $1,950,000
JPMorgan Chase & Co. JPMorgan Chase consumer protection violation 2013 WV-AG $1,950,000
JPMorgan Chase and Co. JPMorgan Chase price-fixing or anti-competitive practices 2014 WV-AG $400,000
Mastercard International Inc. MasterCard price-fixing or anti-competitive practices 2008 WV-AG $6,400,000
Midland Credit Management, Inc. Encore Capital Group consumer protection violation 2005 WV-AG $3,500,000
Nationwide Insurance Nationwide consumer protection violation 2015 WV-AG $5,750,000
Natixis Funding Corp. Natixis price-fixing or anti-competitive practices 2016 WV-AG $325,000
Royal Bank of Canada Royal Bank of Canada price-fixing or anti-competitive practices 2013 WV-AG $175,000
UBS AG UBS price-fixing or anti-competitive practices 2016 WV-AG $325,000
Visa USA Inc. Visa price-fixing or anti-competitive practices 2008 WV-AG $6,400,000
Wells Fargo Wells Fargo consumer protection violation 2016 WV-AG $8,000,000
AIG Warranty Guard, Inc. American International Group insurance violation 2000 WI-INS $100,000
National Union Fire Insurance Company of Pittsburgh, PA American International Group insurance violation 2000 WI-INS $15,000
Hartford Accident and Indemnity Co. Hartford Financial Services insurance violation 2001 WI-INS $15,000
Progressive Northern Insurance Co. Progressive insurance violation 2001 WI-INS $70,000
AIG Warranty Guard, Inc. American International Group insurance violation 2003 WI-INS $50,000
General Casualty Company of Wisconsin QBE Insurance insurance violation 2003 WI-INS $6,500
National Union Fire Ins Co. of Pittsburgh American International Group insurance violation 2003 WI-INS $10,000
National Union Fire Ins Co. of Pittsburgh American International Group insurance violation 2003 WI-INS $5,000
National Union Fire Ins Co. of Pittsburgh American International Group insurance violation 2003 WI-INS $10,000
Regent Insurance Co. QBE Insurance insurance violation 2003 WI-INS $8,500
Hartford Insurance Company of the Midwest Hartford Financial Services insurance violation 2003 WI-INS $6,500
Foremost Insurance Co. Zurich Insurance insurance violation 2003 WI-INS $8,500
Conseco Health Insurance Co. CNO Financial insurance violation 2004 WI-INS $11,000
Great American Insurance Co. American Financial Group insurance violation 2004 WI-INS $5,000
Auto-Owners Insurance Co. Auto-Owners Insurance insurance violation 2004 WI-INS $5,000
St. Paul Fire & Marine Insurance Co. Travelers insurance violation 2005 WI-INS $20,000
Progressive Northern Ins Co. Progressive insurance violation 2005 WI-INS $5,000
Metropolitan Life Insurance Co. MetLife insurance violation 2005 WI-INS $5,000
Hartford Insurance Company of the Midwest Hartford Financial Services insurance violation 2005 WI-INS $9,500
Asurion Warranty Services, Inc. Asurion insurance violation 2007 WI-INS $5,000
Austin Mutual Insurance Co. American Family Insurance insurance violation 2007 WI-INS $8,000
Conseco Senior Health Insurance Co. CNO Financial insurance violation 2008 WI-INS $100,000
Travelers Casualty & Surety Company of America Travelers insurance violation 2008 WI-INS $30,000
Universal Underwriters Service Corp. Zurich Insurance insurance violation 2008 WI-INS $10,000
Conseco Health Insurance Co. CNO Financial insurance violation 2009 WI-INS $20,000
Bankers Life & Casualty Co. CNO Financial insurance violation 2010 WI-INS $1,500,000
General Casualty Company of Wisconsin QBE Insurance insurance violation 2010 WI-INS $8,000
Stewart Title Guaranty Co. Stewart Information Services insurance violation 2010 WI-INS $7,500
Time Insurance Co. Haven Holdings insurance violation 2010 WI-INS $280,000
Infinity Insurance Co. Kemper insurance violation 2011 WI-INS $5,000
Selective Insurance Company of the Southeast Selective Insurance Group insurance violation 2011 WI-INS $5,000
American General Life Insurance Company of Delaware American International Group insurance violation 2012 WI-INS $40,000
Bankers Life & Casualty Co. CNO Financial insurance violation 2012 WI-INS $40,000
Prudential Insurance Company of America Prudential Financial insurance violation 2012 WI-INS $7,500
Genworth Life Insurance Co. Genworth Financial insurance violation 2012 WI-INS $65,000
Bankers Life & Casualty CNO Financial insurance violation 2013 WI-INS $200,000
Thrivent Financial for Lutherans Thrivent Financial insurance violation 2013 WI-INS $5,000
The Hanover Insurance Co. Hanover Insurance insurance violation 2014 WI-INS $5,000
Raymond James Financial Services, Inc. Raymond James Financial investor protection violation 2007 WI-FIN $50,000
Merrill Lynch Pierce Fenner & Smith Inc. Bank of America investor protection violation 2005 WI-FIN $7,000
1st Financial Bank U.S.A. 1st Financial Bank USA banking violation 2005 WI-AG $43,142
Capital One Bank Capital One Financial banking violation 2005 WI-AG $80,032
Countrywide Financial Corporation Bank of America mortgage abuses 2009 WI-AG $41,100,000
SunTrust Bank Truist Financial banking violation 2005 WI-AG $10,107
Citigroup Technology Inc Citigroup wage and hour violation 2016 WHD $1,967,689
American Family Life Assurance Co., known as Aflac Aflac Family and Medical Leave Act 2012 WHD $16,882
U.S. Bank U.S. Bancorp wage and hour violation 2008 WHD $140,787
Univest Corporation of Pennsylvania Univest Financial Family and Medical Leave Act 2016 WHD $5,076
Wells Fargo Bank, N. A. Wells Fargo Family and Medical Leave Act 2016 WHD $11,874
H & R Block H&R Block wage and hour violation 2015 WHD $257,577
BMO Harris Bank N.A. Bank of Montreal Family and Medical Leave Act 2015 WHD $11,304
IAC Springfield, LLC Invesco Family and Medical Leave Act 2015 WHD $5,377
TitleMax of Missouri, Inc. TMX Finance Family and Medical Leave Act 2015 WHD $11,648
Huntington Bancshares Incorporated Huntington Bancshares Family and Medical Leave Act 2015 WHD $7,788
Transamerica Life Insurance Company Aegon wage and hour violation 2015 WHD $70,143
GUARANTEED RATE, INC. Guaranteed Rate Inc. wage and hour violation 2015 WHD $12,548
Prospect Mortgage Homebridge Financial Services wage and hour violation 2015 WHD $211,237
Bank of the West BNP Paribas wage and hour violation 2015 WHD $33,750
BancFirst Insurance Services, Inc. BancFirst wage and hour violation 2014 WHD $20,229
H & R Block H&R Block wage and hour violation 2014 WHD $128,872
H&R Block Eastern Enterprises Inc H&R Block wage and hour violation 2014 WHD $24,928
Asset Acceptance, LLC Encore Capital Group Family and Medical Leave Act 2014 WHD $7,450
National Life Insurance Company National Life Group wage and hour violation 2014 WHD $32,087
TMX Finance, LLC TMX Finance wage and hour violation 2014 WHD $10,057
Highmark, Inc Highmark Inc. wage and hour violation 2014 WHD $120,900
The Huntington National Bank Huntington Bancshares wage and hour violation 2013 WHD $32,553
Chemoil Corporation Glencore wage and hour violation 2013 WHD $16,594
UBS, Inc. UBS wage and hour violation 2013 WHD $90,902
MetLife, Inc. MetLife wage and hour violation 2013 WHD $24,296
TMX Finance LLC TMX Finance Family and Medical Leave Act 2012 WHD $36,596
United American Insurance Company Globe Life Inc. wage and hour violation 2012 WHD $19,791
Ace Cash Express, Inc. ACE Cash Express wage and hour violation 2012 WHD $18,852
First Republic Bank First Republic Bank wage and hour violation 2012 WHD $1,009,644
SunTrust Mortgage Inc. Truist Financial wage and hour violation 2012 WHD $51,518
Popular Mortgage, Inc. Popular Inc. wage and hour violation 2011 WHD $153,736
Popular Mortgage, Inc. Popular Inc. wage and hour violation 2011 WHD $122,762
Branch Banking and Trust Company Truist Financial wage and hour violation 2011 WHD $12,314
BB&T Truist Financial wage and hour violation 2011 WHD $43,662
The Federal Home Loan Mortgage Corporation Freddie Mac (Federal Home Loan Mortgage Corporation) wage and hour violation 2011 WHD $24,153
Nationwide Insurance Nationwide wage and hour violation 2011 WHD $13,331
Wells Fargo Bank NA Wells Fargo wage and hour violation 2011 WHD $31,770
Farmer's Group, Inc. Zurich Insurance wage and hour violation 2010 WHD $565,065
State Farm Mutual Automobile Insurance Compan State Farm Insurance Family and Medical Leave Act 2010 WHD $27,787
Prospect Mortgage LLC Homebridge Financial Services wage and hour violation 2010 WHD $13,728
CNO Services, LLC CNO Financial wage and hour violation 2010 WHD $69,610
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)