Violation Tracker

Basic Search | Summaries | Advanced Search

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 Companies	Total Penalty $	Number of Records
Bank of America	$87,286,650,890	328
JPMorgan Chase	$39,340,688,209	275
UBS	$31,069,299,125	179
Wells Fargo	$27,616,269,231	266
Citigroup	$26,945,611,792	181
Deutsche Bank	$20,011,467,563	99
Goldman Sachs	$17,729,358,987	111
NatWest Group PLC	$14,370,701,618	43
Morgan Stanley	$10,780,502,443	203
BNP Paribas	$10,363,464,666	23

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 or Save your search (Click here for information on download subscriptions)

Company	Current Parent	Primary Offense Type	Year	Agency	Penalty Amount
Unitrin Direct Property & Casualty Co. et al.	Kemper	insurance violation	2015	MD-INS	$5,000
Unitrin Direct Property & Casualty Co.	Kemper	insurance violation	2013	AZ-DIFI	$18,000
Unitrin Direct Insurance Co.	Kemper	insurance violation	2013	AZ-DIFI	$9,000
Unitrin County Mutual Insurance Company	Kemper	insurance violation	2016	TX-INS	$10,000
Unitrin County Mutual Insurance Company	Kemper	insurance violation	2018	TX-INS	$25,000
Unitrin County Mutual Insurance Company	Kemper	insurance violation	2020	TX-INS	$80,000
Unitrin Auto And Home Insurance Company	Kemper	insurance violation	2012	WA-INS	$15,000
Unitrin Auto And Home Insurance Company	Kemper	insurance violation	2014	WA-INS	$20,000
Unitrin Auto And Home Insurance Company	Kemper	insurance violation	2016	WA-INS	$20,000
Unitrin Auto and Home Insurance Co.	Kemper	insurance violation	2006	CO-INS	$7,500
United Wisconsin Insurance Co.	AF Group	insurance violation	2018	MO-INS	$5,000
United Wisconsin Insurance Co.	AF Group	insurance violation	2023	TX-INS	$5,000
United States Life Insurance Company in the City of New York	American International Group	consumer protection violation	2011	MA-AG	$760,000
United States Life Insurance Company In the City of New York	American International Group	insurance violation	2011	MD-INS	$5,000
United States Life Insurance Company In the City of New York	American International Group	insurance violation	2014	MD-INS	$25,000
United States Life Insurance Company in the City of New York	American International Group	insurance violation	2017	NY-DFS	$873,918
United States Life Insurance Company in the City of New York	American International Group	insurance violation	2006	OR-FIN	$20,000
United States Fire Insurance Company of Plano	Fairfax Financial Holdings	insurance violation	2009	TX-INS	$10,500
United States Fire Insurance Company	Fairfax Financial Holdings	insurance violation	2018	NE-DOI	$7,500
United States Fire Insurance Company	Fairfax Financial Holdings	insurance violation	2013	NJ-DBI	$90,000
United States Fire Insurance Company	Fairfax Financial Holdings	insurance violation	2014	NY-DFS	$190,000
United States Fire Insurance Company	Fairfax Financial Holdings	insurance violation	2012	SC-INS	$10,000
United States Fire Insurance Company	Fairfax Financial Holdings	insurance violation	2016	UT-INS	$172,250
United States Fire Insurance Company	Fairfax Financial Holdings	insurance violation	2017	UT-INS	$67,500
United States Fire Insurance Company	Fairfax Financial Holdings	insurance violation	2019	VA-INS	$5,000
United States Fire Insurance Company	Fairfax Financial Holdings	insurance violation	2013	WA-INS	$15,000
United States Fire Insurance Company	Fairfax Financial Holdings	insurance violation	2016	WA-INS	$25,000
United States Fire Insurance Company	Fairfax Financial Holdings	insurance violation	2017	WA-INS	$10,000
United States Fire Insurance Company	Fairfax Financial Holdings	insurance violation	2017	MULTI-FIN	$1,914,370
United States Fire Insurance Company	Fairfax Financial Holdings	insurance violation	2020	OR-FIN	$50,000
United States Fire Insurance Company	Fairfax Financial Holdings	insurance violation	2022	RI-FIN	$10,000
United States Fire Insurance Company	Fairfax Financial Holdings	insurance violation	2022	PA-INS	$25,000
United States Fire Insurance Company	Fairfax Financial Holdings	insurance violation	2023	OR-FIN	$25,000
United States Fire Insurance Co.	Fairfax Financial Holdings	insurance violation	2012	CO-INS	$111,500
United States Fire Insurance Co.	Fairfax Financial Holdings	insurance violation	2014	DE-INS	$10,000
United States Fire Insurance Co.	Fairfax Financial Holdings	insurance violation	2018	MD-INS	$7,500
United States Fire Insurance Co.	Fairfax Financial Holdings	insurance violation	2014	MN-FIN	$10,000
United States Fire Insurance Co.	Fairfax Financial Holdings	insurance violation	2015	MO-INS	$23,500
United States Fire Insurance Co.	Fairfax Financial Holdings	insurance violation	2016	MO-INS	$444,000
United States Fire Insurance Co.	Fairfax Financial Holdings	consumer protection violation	2021	CO-AG	$50,000
UNITED STATES FIRE INSURANCE CO	Fairfax Financial Holdings	insurance violation	2017	VA-INS	$25,000
United States Fidelity and Guaranty Company	Travelers	insurance violation	2014	TX-INS	$13,307
United States Fidelity and Guaranty Co.	Travelers	False Claims Act and related	2010	MA-AG	$2,925,000
United States Fidelity & Guaranty	Travelers	False Claims Act and related	2007	CT-AG	$17,500,000
United Services Automobile Association et al.	USAA	insurance violation	2016	DE-INS	$34,000
United Services Automobile Association et al.	USAA	insurance violation	2007	MO-INS	$6,000
United Services Automobile Association et al.	USAA	insurance violation	2018	TX-INS	$40,000
UNITED SERVICES AUTOMOBILE ASSOCIATION ET AL.	USAA	insurance violation	2017	VA-INS	$182,209
United Services Automobile Association et al.	USAA	insurance violation	2021	VA-INS	$10,000
United Services Automobile Association et al.	USAA	consumer protection violation	2022	VA-INS	$71,358
UNITED SERVICES AUTOMOBILE ASSOCIATION et a.	USAA	insurance violation	2022	WA-INS	$50,000
United Services Automobile Association (USAA)	USAA	insurance violation	2017	VT-FIN	$85,000
United Services Automobile Association	USAA	discriminatory practices (non-employment)	2014	MA-AG	$50,000
United Services Automobile Association	USAA	consumer protection violation	2010	MA-AG	$25,000
United Services Automobile Association	USAA	consumer protection violation	2010	MA-AG	$2,300,000
United Services Automobile Association	USAA	insurance violation	2001	KS-INS	$5,000
United Services Automobile Association	USAA	insurance violation	2018	OR-FIN	$6,200
United Services Automobile Association	USAA	insurance violation	2011	SC-INS	$8,000
United Services Automobile Association	USAA	insurance violation	2006	VA-INS	$5,000
United Services Automobile Association	USAA	insurance violation	2007	VA-INS	$6,000
United Services Automobile Association	USAA	insurance violation	2021	CT-INS	$32,500
United Services Automobile Association	USAA	consumer protection violation	2017	private lawsuit-federal	$53,200,000
United Service Automobile Association et al.	USAA	insurance violation	2019	DE-INS	$32,500
United of Omaha Life Insurance Company	Mutual of Omaha	insurance violation	2005	OR-FIN	$25,000
United of Omaha Life Insurance Company	Mutual of Omaha	insurance violation	2011	OR-FIN	$5,000
United Of Omaha Life Insurance Company	Mutual of Omaha	insurance violation	2015	WA-INS	$5,000
United of Omaha Life Insurance Co.	Mutual of Omaha	insurance violation	2018	DE-INS	$17,000
United of Omaha Life Insurance Co.	Mutual of Omaha	insurance violation	2011	MD-INS	$5,500
United of Omaha Life Insurance Co.	Mutual of Omaha	insurance violation	2000	ME-INS	$6,000
UNITED OF OMAHA LIFE INSURANCE	Mutual of Omaha	insurance violation	2012	VA-INS	$7,500
United Insurance Company of America	Kemper	employment discrimination	2012	EEOC	$37,500
United Insurance Company	Kemper	insurance violation	2012	UT-INS	$5,500
United Insurance Co. of America	Kemper	insurance violation	2007	IN-INS	$6,500
United Insurance Co.	Kemper	insurance violation	2013	AZ-DIFI	$23,000
United Community Banks, Inc.	United Community Banks Inc.	benefit plan administrator violation	2013	private lawsuit-federal	$3,500,000
United Casualty Insurance Company of America	Kemper	insurance violation	2005	FL-OFR	$17,500
United Casualty Insurance Company of America	Kemper	insurance violation	2019	MD-INS	$54,900
United Casualty Insurance Co.	Kemper	insurance violation	2018	CA-INS	$22,500
United American Insurance Company	Globe Life Inc.	wage and hour violation	2012	WHD	$19,791
United American Insurance Co.	Globe Life Inc.	consumer protection violation	2003	CT-AG	$45,000
United American Insurance Co.	Globe Life Inc.	insurance violation	2012	CO-INS	$86,500
United American Insurance Co.	Globe Life Inc.	insurance violation	2013	MD-INS	$5,200
UNITED AMERICAN INSURANCE CO.	Globe Life Inc.	insurance violation	2002	VA-INS	$10,000
UNITED AMERICAN INSURANCE CO.	Globe Life Inc.	insurance violation	2003	VA-INS	$15,000
UNITED AMERICAN INSURANCE CO.	Globe Life Inc.	insurance violation	2005	VA-INS	$5,000
UNITED AMERICAN INSURANCE CO.	Globe Life Inc.	insurance violation	2007	VA-INS	$15,000
Union Security Life Insurance Company of New York	Assurant	insurance violation	2021	NY-DFS	$20,000
Union Security Life Insurance Co	Assurant	consumer protection violation	2000	MA-AG	$1,000,000
UNION SECURITY LIFE INSURANCE	Assurant	insurance violation	2007	VA-INS	$27,000
Union Security Insurance Company	Assurant	consumer protection violation	2007	MA-AG	$28,000
Union Security Insurance Company	Assurant	insurance violation	2015	SD-INS	$7,500
Union Security Insurance Company	Assurant	insurance violation	2016	SD-INS	$35,000
Union Security Insurance Co.	Assurant	insurance violation	2013	AZ-DIFI	$40,000
Union Savings Bank and Guardian Savings Bank	Union Savings Bank	discriminatory practices (non-employment)	2016	DOJ_RIGHTS	$9,000,000
Union Bank of California, N.A.	U.S. Bancorp	anti-money-laundering deficiencies	2007	DOJ_CRIMINAL	$21,600,000
Union Bank of California, N.A.	U.S. Bancorp	anti-money-laundering deficiencies	2007	FINCEN	$10,000,000
Union Bank of California	U.S. Bancorp	economic sanction violation	2005	OFAC	$5,500
Union Bank of CA	U.S. Bancorp	economic sanction violation	2003	OFAC	$14,913
Union Bank of CA	U.S. Bancorp	economic sanction violation	2003	OFAC	$12,000
Union Bank N.A.	U.S. Bancorp	consumer protection violation	2012	private lawsuit-federal	$35,000,000
Union Bank	U.S. Bancorp	wage and hour violation	2012	private lawsuit-federal	$3,500,000