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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $340,660,984,318
Number of Records: 7,055
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 CompaniesTotal Penalty $Number of Records
Bank of America$83,124,221,356268
JPMorgan Chase$36,129,269,434222
Citigroup$25,540,655,365157
Wells Fargo$22,081,446,244228
Deutsche Bank$18,341,457,30276
UBS$16,880,243,334103
Goldman Sachs$16,399,475,84887
NatWest Group PLC$13,515,546,85731
BNP Paribas$12,154,369,73321
Credit Suisse$10,732,400,12649

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.

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Company sort iconCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount
1st Financial Bank U.S.A.1st Financial Bank USAbanking violation2005WI-AG$43,142
1st Financial Bank USA1st Financial Bank USAbanking violation2010FDIC$10,140,000
1ST FINANCIAL BANK USA1st Financial Bank USAbanking violation2009FDIC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $140,000
21st Century Centennial Insurance Co.Zurich Insuranceinsurance violation2016DE-INS$27,500
21st Century Centennial Insurance CompanyZurich Insuranceinsurance violation2014NY-DFS$9,000
21st Century Centennial Insurance CompanyZurich Insuranceinsurance violation2015NY-DFS$36,500
21st Century Insurance Co. and 21st Century Casualty Co.Zurich Insuranceinsurance violation2007CA-INS$50,000
21st Century National Insurance CompanyZurich Insuranceinsurance violation2010NJ-DBI$10,000
21st Century National Insurance CompanyZurich Insuranceinsurance violation2015NY-DFS$25,000
A.G. EdwardsWells Fargowage and hour violation2009private lawsuit-federal$12,000,000
A.G. EdwardsWells Fargowage and hour violation2007private lawsuit-federal$20,000,000
A.G. Edwards & Sons Inc.Wells Fargoinvestor protection violation2003NE-DBF$20,000
A.G. Edwards & Sons Inc.Wells Fargoinvestor protection violation2007SC-SEC$575,000
A.G. Edwards & Sons Inc.Wells Fargoinvestor protection violation2008TX-SEC$5,000
A.G. Edwards & Sons, Inc.Wells Fargodata submission deficiencies2003CFTC$45,000
A.G. Edwards & Sons, Inc.Wells Fargoinvestor protection violation2007SEC$3,860,000
A.G. Edwards & Sons, Inc.Wells Fargoinvestor protection violation2006SEC$125,000
A.G. Edwards & Sons, Inc.Wells Fargoinvestor protection violation2008NJ-AG$387,000
A.G. Edwards & Sons, Inc.Wells Fargoinvestor protection violation2011MO-SEC$765,993
A.G. Edwards & Sons, Inc.Wells Fargoinvestor protection violation2017MO-SEC$25,672
A.G. Edwards & Sons, Inc.Wells Fargoinvestor protection violation2000FINRA$5,890,000
A.G. Edwards and Sons Inc.Wells Fargoeconomic sanction violation2008OFAC$122,358
ABN AMROABN AMROeconomic sanction violation2005NY-DFS$20,000,000
ABN AMRO Bank N.V. renamed the Royal Bank of Scotland N.V.ABN AMROeconomic sanction violation2010DOJ_CRIMINAL$500,000,000
ABN AMRO Bank, IncABN AMROeconomic sanction violation2004OFAC$25,847
ABN AMRO Bank, N.V.ABN AMROeconomic sanction violation2006OFAC$40,000,000
ABN AMRO Bank, N.V.ABN AMROinvestor protection violation2013SEC$5,547,408
ABN AMRO Clearing Chicago LLCABN AMROinvestor protection violation2013CFTC$1,000,000
ABN AMRO Clearing Chicago LLCABN AMROinvestor protection violation2018CFTC$160,000
ABN AMRO Clearing Chicago LLCABN AMROinvestor protection violation2020SEC$586,000
ABN AMRO IncorporatedABN AMROinvestor protection violation2001SEC$200,000
ABN AMRO IncorporatedABN AMROinvestor protection violation2005FINRA$220,000
ABN AMRO Mortgage GroupABN AMROmortgage abuses2006HUD$41,000,000
Acadia Insurance Co.W.R. Berkleyinsurance violation2021TX-INS$8,250
Acadia Insurance CompanyW.R. Berkleyinsurance violation2022VT-FIN$100,000
ACADIA INSURANCE COMPANY ET ALW.R. Berkleyinsurance violation2018VA-INS$91,793
Acadia Insurance Company et al.W.R. Berkleyinsurance violation2019VA-INS$9,341
Accident Fund General Insurance Co.AF Groupinsurance violation2018MO-INS$5,000
Accident Fund General Insurance Co.AF Groupinsurance violation2021TX-INS$6,500
Accident Fund General Insurance Co.AF Groupinsurance violation2021TX-INS$5,000
Accident Fund General Insurance CompanyAF Groupinsurance violation2014TX-INS$28,000
Accident Fund General Insurance CompanyAF Groupinsurance violation2018TX-INS$75,000
Accident Fund General Insurance CompanyAF Groupinsurance violation2018TX-INS$6,400
Accident Fund General Insurance CompanyAF Groupinsurance violation2022TX-INS$12,000
Accident Fund Insurance Co. of AmericaAF Groupinsurance violation2011TX-INS$8,000
Accident Fund Insurance Company of AmericaAF Groupinsurance violation2012AZ-DIFI$5,000
Accident Fund Insurance Company of AmericaAF Groupinsurance violation2018MO-INS$5,000
Accident Fund Insurance Company of AmericaAF Groupinsurance violation2014TX-INS$19,000
Accident Fund Insurance Company of AmericaAF Groupinsurance violation2017TX-INS$20,000
Accident Fund Insurance Company of AmericaAF Groupinsurance violation2018TX-INS$13,500
Accident Fund Insurance Company of AmericaAF Groupinsurance violation2018TX-INS$19,800
Accident Fund National Insurance Co.AF Groupinsurance violation2018MO-INS$5,000
Accident Fund National Insurance Co.AF Groupinsurance violation2021TX-INS$7,500
Accident Fund National Insurance CompanyAF Groupinsurance violation2018TX-INS$19,100
Accident Fund National Insurance CompanyAF Groupinsurance violation2019TX-INS$5,000
Ace America's Cash ExpressACE Cash Expresswage and hour violation2004CA-LCO$75,000
Ace America's Cash Express, Inc.ACE Cash Expresswage and hour violation2004WHD$26,295
Ace American Insurance Co.Chubb Limitedinsurance violation2003FL-OFR$6,000
Ace American Insurance Co.Chubb Limitedinsurance violation2007FL-OFR$56,000
Ace American Insurance Co.Chubb Limitedinsurance violation2016MO-INS$47,500
Ace American Insurance Co.Chubb Limitedinsurance violation2009UT-INS$141,500
Ace American Insurance Co.Chubb Limitedinsurance violation2020TX-INS$19,500
Ace American Insurance Co.Chubb Limitedinsurance violation2021TX-INS$5,000
ACE American Insurance Co.Chubb Limitedinsurance violation2022ID-INS$156,000
Ace American Insurance Co.Chubb Limitedinsurance violation2022TX-INS$6,500
Ace American Insurance Co. and Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2021MD-INS$7,000
ACE American Insurance Co. et al.Chubb Limitedinsurance violation2013ME-INS$30,550
ACE American Insurance CompanyChubb Limitedinsurance violation2007OR-FIN$15,000
Ace American Insurance CompanyChubb Limitedinsurance violation2008TX-INS$17,500
Ace American Insurance CompanyChubb Limitedinsurance violation2008TX-INS$14,875
Ace American Insurance CompanyChubb Limitedinsurance violation2008TX-INS$37,500
Ace American Insurance CompanyChubb Limitedinsurance violation2010TX-INS$74,000
Ace American Insurance CompanyChubb Limitedinsurance violation2010TX-INS$147,000
Ace American Insurance CompanyChubb Limitedinsurance violation2011TX-INS$48,000
Ace American Insurance CompanyChubb Limitedinsurance violation2011TX-INS$40,000
Ace American Insurance CompanyChubb Limitedinsurance violation2012TX-INS$8,500
Ace American Insurance CompanyChubb Limitedinsurance violation2014TX-INS$44,079
Ace American Insurance CompanyChubb Limitedinsurance violation2014TX-INS$45,000
ACE American Insurance CompanyChubb Limitedinsurance violation2015TX-INS$250,000
Ace American Insurance CompanyChubb Limitedinsurance violation2015TX-INS$6,000
Ace American Insurance CompanyChubb Limitedinsurance violation2015TX-INS$16,000
Ace American Insurance CompanyChubb Limitedinsurance violation2015TX-INS$9,900
Ace American Insurance CompanyChubb Limitedinsurance violation2015TX-INS$15,000
Ace American Insurance CompanyChubb Limitedinsurance violation2017TX-INS$5,255
Ace American Insurance CompanyChubb Limitedinsurance violation2018TX-INS$22,000
Ace American Insurance CompanyChubb Limitedinsurance violation2018TX-INS$7,500
Ace American Insurance CompanyChubb Limitedinsurance violation2018TX-INS$9,000
Ace American Insurance CompanyChubb Limitedinsurance violation2019TX-INS$18,000
Ace American Insurance CompanyChubb Limitedinsurance violation2019TX-INS$5,000
Ace American Insurance CompanyChubb Limitedinsurance violation2011WA-INS$50,000
Ace American Insurance CompanyChubb Limitedinsurance violation2020WA-INS$750,000
Ace American Insurance CompanyChubb Limitedinsurance violation2021UT-INS$41,500
Ace American Insurance CompanyChubb Limitedinsurance violation2022TX-INS$19,500
ACE American Insurance Company and Insurance Company of North America, and ACE Fire Underwriters Insurance CompanyChubb Limitedinsurance violation2021MN-FIN$15,400
ACE American Insurance Company ET AL.Chubb LimitedFalse Claims Act and related2010NY-AG$70,000,000
Ace American Insurance Company et al.Chubb Limitedinsurance violation2008TX-INS$50,000
ACE AMERICAN INSURANCE COMPANY ET AL.Chubb Limitedinsurance violation2020WA-INS$50,000
ACE American Reinsurance CompanyChubb Limitedinsurance violation2006OR-FIN$8,300
ACE Cash ExpressACE Cash Expressconsumer protection violation2014CFPB$15,000,000
Ace Cash ExpressACE Cash Expressconsumer protection violation2009OH-BKG$7,050
Ace Cash Express Inc.ACE Cash Expressconsumer protection violation2002MD-FIN$164,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.