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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
New Hampshire Insurance Co. American International Group insurance violation 2012 CA-INS $142,500
National Union Fire Insurance Co. American International Group insurance violation 2013 CA-INS $5,991,132
Homesite Insurance Company American Family Insurance insurance violation 2013 CA-INS $360,522
Safeco Insurance Company Liberty Mutual Insurance insurance violation 2013 CA-INS $900,000
Ace Limited Insurance Group Chubb Limited insurance violation 2014 CA-INS $100,000
Unum Life Insurance Company of America Unum insurance violation 2014 CA-INS $25,000
Mercury Insurance Company Mercury General Corporation insurance violation 2015 CA-INS $1,000,000
Pruco Life Insurance Co. Prudential Financial insurance violation 2015 CA-INS $8,000
RiverSource Life Insurance Co. Ameriprise Financial insurance violation 2015 CA-INS $800,000
W.R. Berkley Corp. W.R. Berkley insurance violation 2017 CA-INS $3,015,000
Admiral Risk Insurance Services, Inc. W.R. Berkley insurance violation 2017 CA-INS $1,542,500
Admiral Insurance Co. W.R. Berkley insurance violation 2017 CA-INS $1,542,500
State Farm State Farm Insurance insurance violation 2017 CA-INS $13,335,701
United Casualty Insurance Co. Kemper insurance violation 2018 CA-INS $22,500
Ticor Title Company of California Fidelity National Financial insurance violation 2018 CA-INS $6,000
Wells Fargo Bank, N.A. and Wells Fargo Insurance, Inc. Wells Fargo insurance violation 2019 CA-INS $5,345,816
Ameritas Investment Corp. Ameritas Mutual Holding Company insurance violation 2019 CA-INS $15,000
Mercury Insurance Co. and Mercury Casualty Co. and California Automobile Insurance Co. Mercury General Corporation insurance violation 2019 CA-INS $41,188,505
BOK Financial Securities, Inc. BOK Financial insurance violation 2020 CA-INS $5,000
Household Finance Corp. of California and Beneficial California, Inc. HSBC mortgage abuses 2002 CA-DFPI $8,900,000
Wells Fargo Financial California, Inc. Wells Fargo consumer protection violation 2005 CA-DFPI $1,621,010
ACE Cash Express, Inc. ACE Cash Express payday lending violation 2010 CA-DFPI $118,400
Allied Cash Advance California, LLC CNG Financial payday lending violation 2011 CA-DFPI $103,709
RBC Capital Markets, LLC Royal Bank of Canada investor protection violation 2013 CA-DFPI $33,520
Wells Fargo Fund Distributor, LLC Wells Fargo consumer protection violation 2014 CA-DFPI $8,000
Prospect Mortgage, LLC Homebridge Financial Services consumer protection violation 2014 CA-DFPI $3,141,000
Ocwen Loan Servicing, LLC Ocwen Financial consumer protection violation 2015 CA-DFPI $2,500,000
CashCall, Inc. CashCall Inc. payday lending violation 2015 CA-DFPI $1,000,000
ACE Cash Express, Inc. ACE Cash Express payday lending violation 2015 CA-DFPI $22,500
LendingClub Corp. LendingClub Corp. investor protection violation 2015 CA-DFPI $46,000
PrimeLending, A PlainsCapital Company Hilltop Holdings consumer protection violation 2016 CA-DFPI $1,619,523
SunTrust Mortgage, Inc. Truist Financial mortgage abuses 2016 CA-DFPI $50,000
Guaranteed Rate, Inc. Guaranteed Rate Inc. consumer protection violation 2017 CA-DFPI $50,000
Ocwen Loan Servicing, LLC Ocwen Financial mortgage abuses 2017 CA-DFPI $225,000,000
Amerisave Mortgage Corp. AmeriSave Mortgage consumer protection violation 2017 CA-DFPI $50,000
MLD Mortgage, Inc. dba The Money Store dba Mortgage Lending Direct MLD Mortgage Inc. dba The Money Store consumer protection violation 2017 CA-DFPI $30,000
Homebridge Financial Services, Inc. Homebridge Financial Services consumer protection violation 2017 CA-DFPI $80,000
Bannockburn Global Forex, LLC First Financial Bancorp. consumer protection violation 2017 CA-DFPI $500,000
Nationstar Mortgage, LLC dba Mr. Cooper Mr. Cooper Group consumer protection violation 2017 CA-DFPI $9,118,784
Santander Consumer USA, Inc. Banco Santander consumer protection violation 2018 CA-DFPI $300,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2018 CA-DFPI $115,000
Cash America Advance, Inc. FirstCash payday lending violation 2019 CA-DFPI $10,000
SunTrust Mortgage, Inc. Truist Financial consumer protection violation 2019 CA-DFPI $349,015
CitiMortgage, Inc. Citigroup consumer protection violation 2019 CA-DFPI $7,800,000
OneMain Financial Group, LLC OneMain Holdings consumer protection violation 2019 CA-DFPI $150,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 CA-DFPI $52,047
Societe Generale Financial Corporation Societe Generale banking violation 2020 CA-DFPI $10,250
Morgan Stanley Smith Barney FA Notes Holdings LLC Morgan Stanley consumer protection violation 2020 CA-DFPI $1,000,000
PHH Mortgage Corporation Ocwen Financial consumer protection violation 2020 CA-DFPI $62,000
Freedom Mortgage Corporation Freedom Mortgage consumer protection violation 2020 CA-DFPI $75,000
Citibank Citigroup consumer protection violation 2008 CA-AG $3,500,000
Citibank Citigroup consumer protection violation 2002 CA-AG $1,600,000
Edward Jones & Co. Jones Financial investor protection violation 2008 CA-AG $7,500,000
First American Title Insurance Company First American Financial consumer protection violation 2002 CA-AG $7,000,000
Franklin/Templeton Distributors, Inc. Franklin Resources investor protection violation 2004 CA-AG $18,000,000
H&R Block H&R Block consumer protection violation 2009 CA-AG $4,850,000
J.P. Morgan Chase & Co. JPMorgan Chase toxic securities abuses 2013 CA-AG (*) $298,973,000
Jackson Hewitt, Inc. Jackson Hewitt consumer protection violation 2007 CA-AG $5,000,000
JPMorgan Chase JPMorgan Chase consumer protection violation 2015 CA-AG $50,000,000
Morgan Stanley Morgan Stanley investor protection violation 2019 CA-AG $150,000,000
Providian Financial Corp. JPMorgan Chase consumer protection violation 2000 CA-AG $305,500,000
Royal Bank of Scotland Royal Bank of Scotland toxic securities abuses 2017 CA-AG $125,000,000
Stewart Title Company of California Stewart Information Services consumer protection violation 2002 CA-AG $2,500,000
U.S. Bancorp U.S. Bancorp consumer protection violation 2005 CA-AG $2,600,000
Wells Fargo Wells Fargo mortgage abuses 2010 CA-AG $33,868,615
Wells Fargo Wells Fargo investor protection violation 2009 CA-AG $1,400,000,000
Wells Fargo Bank Wells Fargo privacy violation 2016 CA-AG $8,500,000
HSBC HSBC False Claims Act and related 2020 CA-AG $7,000,000
Balli Aviation Ltd. and Balli Group PLC Balli Group export control violation 2010 BIS $15,000,000
CIT Group Inc. CIT export control violation 2005 BIS $74,800
Bank of America Bank of America export control violation 2017 BIS $44,625
Bank of New York Mellon (Shanghai Branch) Bank of New York Mellon export control violation 2011 BIS $30,000
JP Morgan Chase Bank, NA JPMorgan Chase export control violation 2010 BIS $19,125
Citibank NA Citigroup export control violation 2018 BIS $60,000
American Express Financial Advisors Ameriprise Financial investor protection violation 2000 AZ-SEC $125,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2005 AZ-SEC $1,000,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2006 AZ-SEC $1,250,000
World Group Securities, Inc. Aegon investor protection violation 2010 AZ-SEC $853,501
Titan Insurance Co. Nationwide insurance violation 2006 AZ-INS $40,000
Coast National Insurance Co. Zurich Insurance insurance violation 2009 AZ-INS $38,000
Chicago Title Insurance Co. Fidelity National Financial insurance violation 2010 AZ-INS $10,000
Scottsdale Insurance Co. Nationwide insurance violation 2010 AZ-INS $37,500
Titan Indemnity Co. Nationwide insurance violation 2010 AZ-INS $20,000
Unigard Insurance Co. QBE Insurance insurance violation 2010 AZ-INS $16,000
QBE Insurance Corp. QBE Insurance insurance violation 2010 AZ-INS $40,000
Permanent General Assurance Corp. American Family Insurance insurance violation 2011 AZ-INS $70,000
Safeco Insurance Company of Illinois Liberty Mutual Insurance insurance violation 2011 AZ-INS $15,000
Farmers Insurance Exchange Farmers Insurance Exchange insurance violation 2011 AZ-INS $10,000
Homesite Indemnity Co. American Family Insurance insurance violation 2011 AZ-INS $19,000
Austin Mututal Insurance Co. American Family Insurance insurance violation 2011 AZ-INS $30,000
American Bankers Insurance Company of Florida Assurant insurance violation 2011 AZ-INS $36,000
Accident Fund Insurance Company of America AF Group insurance violation 2012 AZ-INS $5,000
Infinity Insurance Co. Kemper insurance violation 2012 AZ-INS $38,000
Safeco Insurance Company of America Liberty Mutual Insurance insurance violation 2012 AZ-INS $30,000
John Alden Life Insurance Co. Assurant insurance violation 2013 AZ-INS $90,000
Union Security Insurance Co. Assurant insurance violation 2013 AZ-INS $40,000
Time Insurance Co. Haven Holdings insurance violation 2013 AZ-INS $60,000
Unitrin Direct Insurance Co. Kemper insurance violation 2013 AZ-INS $9,000
Unitrin Direct Property & Casualty Co. Kemper insurance violation 2013 AZ-INS $18,000
American Summit Insurance Co. Hilltop Holdings insurance violation 2013 AZ-INS $25,000
Mercury Casualty Co. Mercury General Corporation insurance violation 2013 AZ-INS $19,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)