Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$331,558,339,161
Number of Records: 
6,166
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$82,764,013,078219
JPMorgan Chase$35,819,302,225162
Citigroup$25,454,366,764125
Wells Fargo$21,358,750,745184
Deutsche Bank$18,286,625,30261
UBS$16,792,860,91083
Goldman Sachs$16,365,468,98744
Royal Bank of Scotland$13,473,904,00028
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)
Companysort icon Parent Primary Offense Type Year Agency Penalty Amount
United States Fire Insurance Company Fairfax Financial Holdings insurance violation 2020 OR-FIN $50,000
United States Fire Insurance Company of Plano Fairfax Financial Holdings insurance violation 2009 TX-INS $10,500
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 Wisconsin Insurance Co. AF Group insurance violation 2018 MO-INS $5,000
Unitrin Auto and Home Insurance Co. Kemper insurance violation 2006 CO-INS $7,500
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 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 Direct Insurance Co. Kemper insurance violation 2013 AZ-INS $9,000
Unitrin Direct Property & Casualty Co. Kemper insurance violation 2013 AZ-INS $18,000
Unitrin Direct Property & Casualty Co. et al. Kemper insurance violation 2015 MD-INS $5,000
Unitrin Inc. Kemper insurance violation 2002 MULTI-FIN $33,000,000
Universal Property & Casualty Insurance Co. Universal Insurance Holdings insurance violation 2004 FL-OFR $47,500
Universal Property & Casualty Insurance Co. Universal Insurance Holdings insurance violation 2009 FL-OFR $99,000
Universal Property & Casualty Insurance Co. Universal Insurance Holdings insurance violation 2013 FL-OFR $1,260,000
Universal Underwriter Insurance Co. Zurich Insurance insurance violation 2004 MN-FIN $200,000
Universal Underwriters Insurance Co. Zurich Insurance insurance violation 2007 MO-INS $6,530
Universal Underwriters Insurance Company Zurich Insurance insurance violation 2006 IN-INS $948,240
Universal Underwriters Insurance Company Zurich Insurance insurance violation 2007 NH-INS $28,125
Universal Underwriters Life Insurance Co. Zurich Insurance consumer protection violation 2008 TX-AG $2,400,000
Universal Underwriters Life Insurance Company Zurich Insurance insurance violation 2006 VA-INS $24,000
Universal Underwriters Service Corp. Zurich Insurance insurance violation 2008 WI-INS $10,000
Univest Corporation of Pennsylvania Univest Financial Family and Medical Leave Act 2016 WHD $5,076
UNUM Unum wage and hour violation 2011 WA-DLI $15,070
Unum Group Unum kickbacks and bribery 2008 USAO $5,550,000
UNUM GROUP CORPORATION Unum workplace safety or health violation 2011 OSHA $5,400
Unum Insurance Co. Unum kickbacks and bribery 2008 CA-MULTI $250,000
Unum Life Insurance Co. Unum False Claims Act and related 2005 MA-AG $650,000
UNUM LIFE INSURANCE COMPANY Unum insurance violation 2003 VA-INS $14,000
UNUM Life Insurance Company of America Unum benefit plan administrator violation 2010 private lawsuit-federal $5,000,000
Unum Life Insurance Company of America Unum insurance violation 2014 CA-INS $25,000
Unum Life Insurance Company of America Unum insurance violation 2012 MD-INS $19,000
Unum Life Insurance Company of America Unum insurance violation 2015 MD-INS $35,000
Unum Life Insurance Company Of America Unum insurance violation 2010 WA-INS $7,000
Unum Life Insurance Company Of America Unum insurance violation 2011 WA-INS $75,000
Unum Life Insurance Company Of America Unum insurance violation 2018 WA-INS $7,000
Unum Life Insurance Company of America et al. Unum insurance violation 2005 CA-INS $8,598,503
UnumProvident Corp. et al. Unum insurance violation 2006 CA-INS $700,000
UnumProvident Corporation Unum consumer protection violation 2006 NY-AG $17,400,000
UnumProvident Corporation Unum consumer protection violation 2004 MULTI-AG $15,000,000
US Bancorp U.S. Bancorp banking violation 2018 FED $15,000,000
US Bancorp Piper Jaffray Inc. Piper Sandler investor protection violation 2001 ND-SEC $23,250
US BANK U.S. Bancorp wage and hour violation 2014 IL-DOL $131,922
US Bank U.S. Bancorp privacy violation 2000 MULTI-AG $2,000,000
US Bank U.S. Bancorp housing code violation 2016 CA-LACA $13,500,000
US Bank NA U.S. Bancorp consumer protection violation 2003 NY-AG $33,500
USAA USAA wage and hour violation 2008 private lawsuit-federal $738,423
USAA USAA insurance violation 2002 OH-INS $30,000
USAA Casualty Insurance and United Services Auto Association USAA insurance violation 2003 NJ-DBI $6,200,000
USAA CASUALTY INSURANCE CO ET AL. USAA insurance violation 2018 VA-INS $4,396,720
USAA Casualty Insurance Co. USAA insurance violation 2014 MN-FIN $5,000
USAA Casualty Insurance Co. USAA insurance violation 2015 MN-FIN $50,000
USAA Casualty Insurance Co. USAA insurance violation 2010 SC-INS $7,000
USAA Casualty Insurance Co. USAA insurance violation 2020 OR-FIN $50,000
USAA Casualty Insurance Co. et al. USAA insurance violation 2014 MD-INS $5,000
USAA Casualty Insurance Company USAA insurance violation 2019 RI-FIN $8,000
USAA Casualty Insurance Company USAA insurance violation 2020 RI-FIN $12,000
USAA Federal Savings Bank USAA consumer protection violation 2019 CFPB $15,500,000
USAA Federal Savings Bank USAA consumer protection violation 2003 NY-AG $33,500
USAA Federal Savings Bank USAA banking violation 2020 OCC $85,000,000
USAA Federal Savings Bank USAA banking violation 2020 OCC $382,500
USAA General Indemnity Co. et al. USAA insurance violation 2020 MD-INS $67,500
USAA General Indemnity Company USAA insurance violation 2018 OR-FIN $5,000
USAA General Indemnity Company USAA insurance violation 2016 RI-FIN $15,000
USAA Insurance USAA labor relations violation 2005 NLRB $125,361
USAA Life Insurance Co. USAA insurance violation 2007 FL-OFR $22,500
USAA Life Insurance Co. USAA insurance violation 2009 FL-OFR $50,000
USAA Life Insurance Co. USAA insurance violation 2014 MD-INS $9,000
USAA Life Insurance Company of New York USAA insurance violation 2016 NY-DFS $10,000
UVEST Financial Services Group, Inc. LPL Financial investor protection violation 2013 MULTI-FIN $750,000
VALIC Financial Advisors Inc. American International Group investor protection violation 2020 SEC $39,900,000
Valley Forge Life Insurance Company Prudential (UK) insurance violation 2001 MA-INS $11,600
Valley Forge Life Insurance Company Prudential (UK) insurance violation 2002 MA-INS $24,500
Vanguard Advisers Inc. Vanguard Group investor protection violation 2017 PA-BKG $23,480
Vanguard Group Vanguard Group employment discrimination 2010 EEOC $300,000
Vanguard Group, Inc. Vanguard Group employment discrimination 2008 EEOC $500,000
Vantiv LLC Worldpay wage and hour violation 2014 WA-DLI $34,780
Variable Annuity Life Insurance Company American International Group insurance violation 2017 NY-DFS $25,000
Victoria Fire & Casualty Co. Nationwide insurance violation 2003 IN-INS $5,000
Victoria Fire & Casualty Company Nationwide insurance violation 2011 WA-INS $5,000
VICTORIA FIRE & CASUALTY ET AL Nationwide insurance violation 2003 VA-INS $29,000
Victoria Fire & Casualty Insurance Company Nationwide insurance violation 2010 VA-INS $23,558
Victoria Fire & Casualty Insurance Company Nationwide insurance violation 2016 VA-INS $2,236,476
VICTORIA FIRE AND CASUALTY CO. Nationwide insurance violation 2014 VA-INS $72,400
VICTORIA FIRE AND CASUALTY INSURANCE Nationwide insurance violation 2009 VA-INS $7,500
Virginia Surety Company Inc Assurant insurance violation 2010 WA-INS $12,000
Virginia Surety Company Inc. Assurant insurance violation 2010 NH-INS $20,000
Virginia Surety Company Inc. Assurant insurance violation 2011 TX-INS $200,000
Virginia Surety Company Inc. Assurant insurance violation 2013 MULTI-FIN $200,000
Virginia Surety Company, Inc. Assurant insurance violation 2015 NY-DFS $10,000
Virginia Surety Company, Inc. Assurant insurance violation 2007 OR-FIN $6,100
Virginia Surety Company, Inc. Assurant insurance violation 2008 OR-FIN $25,000
Virginia Surety Company, Inc. Assurant insurance violation 2009 OR-FIN $10,000
Virginia Surety Company, Inc. Assurant insurance violation 2008 TX-INS $7,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)