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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 CompaniesTotal Penalty $Number of Records
Bank of America$87,286,650,890328
JPMorgan Chase$39,340,688,209275
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,780,502,443203
BNP Paribas$10,363,464,66623

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
MUTUAL OF OMAHA INSURANCE CO.Mutual of Omahainsurance violation2002VA-INS$25,800
Mutual Of Omaha Insurance CompanyMutual of Omahainsurance violation2019WA-INS$12,000
Mutual of Omaha Mortgage, Inc.Mutual of Omahaconsumer protection violation2020PA-BKG$7,000
Mutual of Omaha Mortgage, Inc.Mutual of Omahaconsumer protection violation2022MA-BKG$25,000
NASDAQ Stock Market, LLC and NASDAQ Execution Services, LLCNasdaq Inc.investor protection violation2013SEC$10,000,000
Nasdaq, Inc.Nasdaq Inc.economic sanction violation2023OFAC$4,040,923
National Australia Bank LimitedNational Australia Bankprice-fixing or anti-competitive practices2022private lawsuit-federal$27,000,000
National Australia Bank Ltd.National Australia Bankeconomic sanction violation2007OFAC$100,000
National Casualty CompanyNationwideinsurance violation2000MA-INS$6,500
National Casualty CompanyNationwideinsurance violation2016WA-INS$9,000
National Casualty CompanyNationwideinsurance violation2019WA-INS$20,000
NATIONAL CASUALTY COMPANYNationwideinsurance violation2021WA-INS$50,000
National Casualty CompanyNationwideinsurance violation2022RI-FIN$20,000
National City BankPNC Financial Serviceseconomic sanction violation2003OFAC$5,500
National City BankPNC Financial Servicesbanking violation2009OCC$34,265
National City BankPNC Financial Servicesbanking violation2003OCC$56,800
National City Bank and its successor PNC BankPNC Financial Servicesbanking violation2013CFPB$35,000,000
National City Commercial Capital Company LLCPNC Financial Servicesconsumer protection violation2008MULTI-AG$7,200,000
National City Commercial Capital CorporationPNC Financial Servicesconsumer protection violation2006NY-AG$817,700
National City Corp.PNC Financial Servicesbenefit plan administrator violation2010private lawsuit-federal$43,000,000
National City CorporationPNC Financial Serviceslabor relations violation2009NLRB$24,083
National City Corporation d/b/a National City BankPNC Financial Serviceslabor relations violation2008NLRB$49,597
National City MortgagePNC Financial Serviceswage and hour violation2008private lawsuit-federal$27,500,000
National City Mortgage Co.PNC Financial Serviceswage and hour violation2007CA-LCO$76,000
National City Mortgage Inc.PNC Financial ServicesFalse Claims Act and related2008DOJ_CIVIL$4,600,000
National City Mortgage, Co.PNC Financial Serviceswage and hour violation2004WHD$6,150
National General Assurance Co.Allstateinsurance violation2011MD-INS$50,000
National General Assurance CompanyAllstateinsurance violation2009RI-FIN$16,500
National General InsuranceAllstateinsurance violation2014RI-FIN$7,500
National General Insurance Co.Allstateinsurance violation2019CT-INS$167,500
National General Insurance Co.Allstateinsurance violation2012MO-INS$5,000
National General Insurance CompanyAllstateinsurance violation2010TX-INS$25,000
National General Insurance CompanyAllstateinsurance violation2010WA-INS$15,000
National General Insurance CompanyAllstateinsurance violation2020AZ-DIFI$75,000
National General Insurance CompanyAllstateconsumer protection violation2019private lawsuit-federal$7,500,000
National Integrity Life Insurance CompanyWestern & Southern Financial Groupinsurance violation2018NY-DFS$240,000
National Integrity Life Insurance CompanyWestern & Southern Financial Groupinsurance violation2020NY-DFS$20,000
National Interstate Insurance Co.American Financial Groupinsurance violation2011MO-INS$43,000
National Interstate Insurance CompanyAmerican Financial Groupinsurance violation2015NY-DFS$90,000
National Interstate Insurance CompanyAmerican Financial Groupinsurance violation2013TX-INS$23,000
National Interstate Insurance CompanyAmerican Financial Groupinsurance violation2014TX-INS$5,000
National Interstate Insurance CompanyAmerican Financial Groupinsurance violation2015TX-INS$15,000
National Interstate Insurance CompanyAmerican Financial Groupinsurance violation2016TX-INS$17,000
National Interstate Insurance CompanyAmerican Financial Groupinsurance violation2017TX-INS$6,000
National Interstate Insurance CompanyAmerican Financial Groupinsurance violation2018TX-INS$10,000
National Life Insurance CompanyNational Life Groupwage and hour violation2014WHD$32,087
National Union Fire Ins Co. of PittsburghAmerican International Groupinsurance violation2003WI-INS$10,000
National Union Fire Ins Co. of PittsburghAmerican International Groupinsurance violation2003WI-INS$5,000
National Union Fire Ins Co. of PittsburghAmerican International Groupinsurance violation2003WI-INS$10,000
NATIONAL UNION FIRE INSURANCEAmerican International Groupinsurance violation2011VA-INS$40,000
NATIONAL UNION FIRE INSURANCEAmerican International Groupinsurance violation2014VA-INS$8,000
National Union Fire Insurance Co.American International Groupinsurance violation2013CA-INS$5,991,132
National Union Fire Insurance CompanyAmerican International Groupinsurance violation2019NY-DFS$5,200,000
National Union Fire Insurance Company of Pittsburg, Pa.American International Groupinsurance violation2010ME-INS$11,111
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2003FL-OFR$62,250
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2006FL-OFR$12,100
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2007FL-OFR$240,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2010IN-INS$200,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2015MD-INS$20,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2016MD-INS$18,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2010NH-INS$100,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2015NY-DFS$250,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2006OR-FIN$30,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2009OR-FIN$65,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2016SC-INS$90,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2011VA-INS$10,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2011VA-INS$10,000
National Union Fire Insurance Company Of Pittsburgh, PaAmerican International Groupinsurance violation2010WA-INS$100,000
National Union Fire Insurance Company Of Pittsburgh, PaAmerican International Groupinsurance violation2010WA-INS$40,000
National Union Fire Insurance Company Of Pittsburgh, PaAmerican International Groupinsurance violation2010WA-INS$55,000
National Union Fire Insurance Company Of Pittsburgh, PaAmerican International Groupinsurance violation2015WA-INS$300,000
National Union Fire Insurance Company Of Pittsburgh, PaAmerican International Groupinsurance violation2015WA-INS$110,000
National Union Fire Insurance Company Of Pittsburgh, PaAmerican International Groupinsurance violation2015WA-INS$200,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2000WI-INS$15,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2012MULTI-FIN$39,000,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2020CT-INS$106,000
National Union Fire Insurance Company of Pittsburgh, PaAmerican International Groupinsurance violation2021KS-INS$5,000
National Union Fire Insurance Company of Pittsburgh, PaAmerican International Groupinsurance violation2021LA-INS$9,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2022TX-INS$10,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2022NY-DFS$477,600
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2022OR-FIN$20,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2022TX-INS$15,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2023TX-INS$5,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2023TX-INS$19,000
National Union Fire Insurance Company of Pittsburgh, Pa.American International Groupinsurance violation2009ID-INS$5,000
National Union Fire Insurance Company of Pittsburgh, Pa.American International Groupinsurance violation2010ID-INS$15,000
National Union Fire Insurance Company of Pittsburgh, Pa.American International Groupinsurance violation2001MN-FIN$7,500
National Union Fire Insurance Company of Pittsburgh, Pa.American International Groupinsurance violation2010MN-FIN$100,000
National Union Fire Insurance Company of Pittsburgh, Pa.American International Groupinsurance violation2012MN-FIN$2,731,385
National Union Fire Insurance Company of Pittsburgh, PA. et al.American International Groupinsurance violation2020WA-INS$20,000
National Union Fire Insurance Company of Pittsburgh, PA. et al.American International Groupinsurance violation2021NY-DFS$50,000
National Union Fire Insurance Company of Pittsburgh, PennsylvaniaAmerican International Groupinsurance violation2000KS-INS$10,375
National Union Fire Insurance Company of Pittsburgh, PennsylvaniaAmerican International Groupinsurance violation2019VA-INS$28,806
National Union Fire Insurance Company of Pittsburgh, Pennsylvania et al.American International Groupinsurance violation2020MD-INS$20,000
National Western Life Insurance Co.National Western Lifeinsurance violation2009CO-INS$11,500
National Western Life Insurance Co.National Western Lifeinsurance violation2014CO-INS$11,500
National Western Life Insurance Co.National Western Lifeinsurance violation2019CO-INS$34,500
National Western Life Insurance Co.National Western Lifeinsurance violation2014NJ-DBI$2,973,656
National Western Life Insurance Co.National Western Lifeconsumer protection violation2014private lawsuit-federal$21,020,000
National Westminster Bank plcNatWest Group PLCprice-fixing or anti-competitive practices2016private lawsuit-federal$3,500,000
Nationstar Mortgage dba Mr. CooperMr. Cooper Groupconsumer protection violation2020MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $86,300,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.