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
Mercury Casualty Co. Mercury General Corporation insurance violation 2013 AZ-INS $19,000
United Insurance Co. Kemper insurance violation 2013 AZ-INS $23,000
Foremost Insurance Company Grand Rapids, Michigan Zurich Insurance insurance violation 2015 AZ-INS $58,000
Foremost Property & Casualty Insurance Co. Zurich Insurance insurance violation 2015 AZ-INS $21,000
Monumental Life Insurance Co. Aegon insurance violation 2015 AZ-INS $57,000
Sentry Insurance A Mutual Co. Sentry Insurance insurance violation 2015 AZ-INS $20,000
Accordia Life and Annuity Co. Global Atlantic Financial Group insurance violation 2019 AZ-INS $50,000
American Family Connect Property and Casualty Insurance Company American Family Insurance insurance violation 2020 AZ-INS $50,000
Moneygram Payment Systems, Inc. MoneyGram International consumer protection violation 2007 AZ-DFS $125,000
Nationstar Mortgage LLC Mr. Cooper Group consumer protection violation 2008 AZ-DFS $12,500
Western Union Financial Services, Inc. Western Union consumer protection violation 2008 AZ-DFS $2,000,000
GMAC Mortgage, LLC dba Ditech Ally Financial consumer protection violation 2011 AZ-DFS $7,500
GMAC Mortgage, LLC Ally Financial consumer protection violation 2011 AZ-DFS $7,500
Midland Credit Management, Inc. Encore Capital Group consumer protection violation 2012 AZ-DFS $750,000
MoneyGram Payment Systems, Inc. MoneyGram International consumer protection violation 2014 AZ-DFS $10,000
CashCall, Inc. CashCall Inc. payday lending violation 2017 AZ-DFS $250,000
Home Loan Center, Inc. LendingTree consumer protection violation 2010 AZ-AG $1,150,000
Louis Dreyfus Commodities Grand Junction LLC Louis Dreyfus tax violations 2017 ATTTB $14,000
Allied Home Mortgage Capital Corp. Americus Mortgage investor protection violation 2009 AR-SEC $10,000
Merrill Lynch & Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2010 AR-SEC $15,000
American Express Prepaid Card Management Corp. American Express consumer protection violation 2010 AR-SEC $20,000
Prospect Mortgage, LLC Homebridge Financial Services consumer protection violation 2011 AR-SEC $5,000
Morgan Keegan & Co. Raymond James Financial investor protection violation 2012 AR-SEC $59,659
Interactive Brokers, LLC Interactive Brokers Group investor protection violation 2013 AR-SEC $6,000
CitiMortgage, Inc. Citigroup consumer protection violation 2014 AR-SEC $20,000
SunTrust Mortgage, Inc. Truist Financial consumer protection violation 2017 AR-SEC $13,000
Edward D. Jones & Co., L.P. Jones Financial investor protection violation 2018 AR-SEC $50,000
LPL Financial LLC LPL Financial investor protection violation 2019 AR-SEC $40,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2019 AR-SEC $5,000
Encompass Indemnity Co. and Encompass Insurance Company of America Allstate insurance violation 2019 AR-INS $40,000
Chicago Title Insurance Co. Fidelity National Financial insurance violation 2017 AR-INS $50,000
Stewart Title Guaranty Co. Stewart Information Services insurance violation 2013 AR-INS $10,000
Farmers Insurance Exchange et al. Farmers Insurance Exchange insurance violation 2013 AR-INS $5,000
Western Sky Financial, CashCall Inc. and WS Funding CashCall Inc. consumer protection violation 2016 AR-AG $750,000
Prudential Equity Group, Inc. Prudential Financial investor protection violation 2005 AL-SEC $45,000
Morgan Keegan & Co. Raymond James Financial investor protection violation 2005 AL-SEC $100,000
Morgan Keegan & Co. Raymond James Financial investor protection violation 2010 AL-SEC $15,000
Next Financial Group, Inc. Atria Wealth Solutions investor protection violation 2012 AL-SEC $60,000
Morgan Keegan & Co. Raymond James Financial investor protection violation 2017 AL-SEC $20,000
LPL Financial LLC LPL Financial investor protection violation 2018 AL-SEC $80,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 AL-SEC $18,874
Regions Bank Regions Financial banking violation 2014 AL-SBD $5,000,000
Principal Life Insurance Co. Principal Financial insurance violation 2002 AK-INS $16,095
Aon Risk Services Inc. of Washington Aon insurance violation 2002 AK-INS $5,000
Seabury & Smith, Inc. Marsh & McLennan insurance violation 2006 AK-INS $6,530
Liberty Mutual Group Liberty Mutual Insurance insurance violation 2007 AK-INS $32,500
Principal Life Insurance Co. Principal Financial insurance violation 2008 AK-INS $25,000
Seabury & Smith, Inc. Marsh & McLennan insurance violation 2009 AK-INS $39,378
Brown & Brown of Washington, Inc. Brown & Brown insurance violation 2012 AK-INS $30,000
Marsh USA Inc. Marsh & McLennan insurance violation 2015 AK-INS $25,000
Marsh & McLennan Agency LLC Marsh & McLennan insurance violation 2016 AK-INS $10,000
Marsh & McLennan Agency LLC Marsh & McLennan insurance violation 2019 AK-INS $20,000
Marsh USA Inc. Marsh & McLennan insurance violation 2019 AK-INS $30,000
Edward D. Jones and Co.,LP Jones Financial investor protection violation 2003 AK-DBS $11,000
Wachovia Securities, LLC Wells Fargo investor protection violation 2010 AK-DBS $129,131
Citigroup Global Markets, Inc. Citigroup investor protection violation 2010 AK-DBS $150,507
UBS Securities LLC UBS investor protection violation 2010 AK-DBS $733,465
UBS Financial Services, Inc. UBS investor protection violation 2013 AK-DBS $64,661
RBC Capital Markets, LLC Royal Bank of Canada investor protection violation 2013 AK-DBS $44,370
J.P. Morgan Securities, LLC JPMorgan Chase investor protection violation 2014 AK-DBS $51,120
Citigroup Global Markets, Inc. Citigroup investor protection violation 2015 AK-DBS $35,000
Quicken Loans Inc. Quicken Loans consumer protection violation 2018 AK-DBS $11,000
LPL Financial LLC LPL Financial investor protection violation 2019 AK-DBS $499,000
Securian Financial Services, Inc. Securian Financial investor protection violation 2020 AK-DBS $10,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 AK-DBS $10,527
Bank of America Bank of America False Claims Act and related 2001 AK-AG $35,600,000
Mercer Marsh & McLennan accounting fraud or deficiencies 2010 AK-AG $500,000,000
JPMorgan Chase JPMorgan Chase wage and hour violation 2018 private lawsuit-federal $3,000,000
Wells Fargo Wells Fargo wage and hour violation 2018 private lawsuit-state $27,500,000
JPMorgan Chase JPMorgan Chase wage and hour violation 2018 private lawsuit-federal $8,333,333
BB&T Truist Financial wage and hour violation 2018 private lawsuit-federal $72,336
Wells Fargo Wells Fargo wage and hour violation 2017 private lawsuit-state $13,000,000
Progressive Progressive wage and hour violation 2017 private lawsuit-federal $46,000
Prudential Financial Prudential Financial wage and hour violation 2017 private lawsuit-federal $12,500,000
Bank of America Bank of America wage and hour violation 2017 private lawsuit-federal $6,000,000
Wells Fargo Advisors Wells Fargo wage and hour violation 2017 private lawsuit-federal $3,500,000
U.S. Bancorp U.S. Bancorp wage and hour violation 2017 private lawsuit-federal $7,000,000
JPMorgan Chase JPMorgan Chase wage and hour violation 2017 private lawsuit-federal $16,666,667
Ditech Financial LLC Ditech Holding Corporation wage and hour violation 2017 private lawsuit-federal $1,383,000
Farmers Insurance Exchange Farmers Insurance Exchange wage and hour violation 2017 private lawsuit-federal $775,000
Citigroup Citigroup wage and hour violation 2017 private lawsuit-federal $1,080,000
Regions Financial Regions Financial wage and hour violation 2017 private lawsuit-federal $620,634
Fifth Third Bank Fifth Third Bancorp wage and hour violation 2017 private lawsuit-federal $1,111,388
Wells Fargo Wells Fargo wage and hour violation 2017 private lawsuit-federal $685,000
PNC Bank PNC Financial Services wage and hour violation 2017 private lawsuit-federal $16,000,000
JPMorgan Chase JPMorgan Chase wage and hour violation 2017 private lawsuit-federal $5,707,279
U.S. Bancorp U.S. Bancorp wage and hour violation 2017 private lawsuit-federal $1,150,000
Allstate Insurance Allstate wage and hour violation 2017 private lawsuit-state $2,000,000
Wells Fargo Wells Fargo wage and hour violation 2017 private lawsuit-federal $3,900,000
Bank of America Bank of America wage and hour violation 2017 private lawsuit-federal $7,000,000
Bank of America Bank of America wage and hour violation 2017 private lawsuit-federal $1,900,000
Farmers Insurance Exchange Farmers Insurance Exchange wage and hour violation 2017 private lawsuit-federal $4,900,000
Bank of America Bank of America wage and hour violation 2017 private lawsuit-federal $6,600,000
Citigroup Citigroup wage and hour violation 2017 private lawsuit-federal $325,000
PNC Financial Services PNC Financial Services wage and hour violation 2016 private lawsuit-federal $6,000,000
Hartford Fire Insurance Hartford Financial Services wage and hour violation 2016 private lawsuit-federal $2,650,000
Merrill Lynch Bank of America wage and hour violation 2016 private lawsuit-state $2,645,000
Bank of America Bank of America wage and hour violation 2016 private lawsuit-state $4,000,000
HSBC HSBC wage and hour violation 2016 private lawsuit-federal $6,982,000
BMO Financial Bank of Montreal wage and hour violation 2016 private lawsuit-federal $700,000
Bank of America Bank of America wage and hour violation 2016 private lawsuit-federal $3,250,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)