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Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$332,924,888,663
Number of Records: 
6,731
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$82,885,116,051259
JPMorgan Chase$35,851,377,155190
Citigroup$25,535,002,360154
Wells Fargo$21,428,596,719217
Deutsche Bank$18,341,457,30276
UBS$16,845,624,16097
Goldman Sachs$16,381,931,83964
NatWest Group PLC$13,477,129,00031
BNP Paribas$12,147,863,95019
Credit Suisse$10,447,392,62644


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
PREMERA BLUE CROSS Premera Blue Cross insurance violation 2021 WA-INS $10,000
AMERICAN FAMILY INSURANCE COMPANY American Family Insurance insurance violation 2021 WA-INS $50,000
HSBC SECURITIES USA INC HSBC insurance violation 2021 WA-INS $10,000
STANDARD FIRE INSURANCE COMPANY Travelers insurance violation 2021 WA-INS $5,000
AMERICAN NATIONAL PROPERTY AND CASUALTY COMPANY American National Insurance insurance violation 2021 WA-INS $5,000
ALLIED PROPERTY AND CASUALTY INSURANCE COMPANY ET AL. Nationwide insurance violation 2021 WA-INS $20,000
NATIONAL CASUALTY COMPANY Nationwide insurance violation 2021 WA-INS $50,000
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
Cash Call Inc. and Western Sky Financial LLC CashCall Inc. consumer protection violation 2015 WA-FIN $2,000,000
New Day Financial, LLC d/b/a NewDay USA New Day Financial LLC consumer protection violation 2015 WA-FIN $120,000
CashCall, Inc. CashCall Inc. consumer protection violation 2014 WA-FIN $6,390,670
Fifth Third Mortgage Co. Fifth Third Bancorp consumer protection violation 2014 WA-FIN $228,626
Countrywide Home Loans Inc. Bank of America consumer protection violation 2010 WA-FIN $650,000
American General Financial Services OneMain Holdings consumer protection violation 2009 WA-FIN $74,984
Freedom Mortgage Corp. Freedom Mortgage consumer protection violation 2009 WA-FIN $52,791
Allstate Financial Services, Inc. Allstate consumer protection violation 2003 WA-FIN $58,988
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 WA-FIN $33,753
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2016 WA-FIN $55,000
OppenheimerFunds Distributor, Inc. Invesco investor protection violation 2007 WA-FIN $669,500
Morgan Stanley DW Inc. Morgan Stanley investor protection violation 2004 WA-FIN $325,000
GOODRICH AVIATION TECH SRV INC Macquarie environmental violation 2004 WA-ENV $9,000
Umpqua Bank Umpqua Holdings wage and hour violation 2015 WA-DLI $15,350
Vantiv LLC Worldpay wage and hour violation 2014 WA-DLI $34,780
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
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
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
Santander Consumer USA Inc. Banco Santander consumer protection violation 2020 VT-AG $105,000
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
DAIRYLAND INSURANCE CO Sentry Insurance insurance violation 2001 VA-INS $8,500
AMERICAN GENERAL LIFE American International Group insurance violation 2001 VA-INS $14,000
JEFFERSON PILOT LIFE INSURANCE Lincoln National insurance violation 2001 VA-INS $42,000
CONSECO HEALTH INSURANCE COMPANY CNO Financial insurance violation 2001 VA-INS $19,000
HARTFORD FIRE INSURANCE CO. ET AL Hartford Financial Services insurance violation 2001 VA-INS $30,000
PROGRESSIVE AMERICAN INSURANCE CO. Progressive insurance violation 2001 VA-INS $23,000
Group Hospitalization and Medical Services, Inc. CareFirst of Maryland insurance violation 2001 VA-INS $12,000
CAREFIRST BLUE CHOICE INC CareFirst of Maryland insurance violation 2001 VA-INS $12,000
MONUMENTAL LIFE INSURANCE CO Aegon insurance violation 2001 VA-INS $5,000
HARLEYSVILLE MUTUAL INSURANCE CO Nationwide insurance violation 2001 VA-INS $21,000
AMERITAS LIFE INSURANCE CORP Ameritas Mutual Holding Company insurance violation 2001 VA-INS $9,000
AMERICAN BANKERS LIFE ASSURANCE OF FLORIDA Assurant insurance violation 2001 VA-INS $15,000
PACIFIC LIFE & ANNUITY COMPANY Pacific Life insurance violation 2001 VA-INS $9,000
RELIASTAR LIFE INSURANCE CO Voya Financial insurance violation 2001 VA-INS $9,000
FORTIS INSURANCE COMPANY Assurant insurance violation 2001 VA-INS $57,000
NEW YORK LIFE INSURANCE CO New York Life Insurance insurance violation 2002 VA-INS $13,500
UNITED AMERICAN INSURANCE CO. Globe Life Inc. insurance violation 2002 VA-INS $10,000
FIDELITY & GUARANTY LIFE INSURANCE Fidelity National Financial insurance violation 2002 VA-INS $15,000
AMERICAN NATIONAL INSURANCE CO. et al. American National Insurance insurance violation 2002 VA-INS $103,200
AVEMCO INSURANCE COMPANY Tokio Marine insurance violation 2002 VA-INS $12,000
FORTIS INSURANCE CO., ET AL. Assurant insurance violation 2002 VA-INS $27,000
NEW ENGLAND LIFE INSURANCE CO. Brighthouse Financial insurance violation 2002 VA-INS $9,000
Combined Insurance Company of America Chubb Limited insurance violation 2002 VA-INS $27,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)