Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$333,568,388,571
Number of Records: 
6,826
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$82,896,776,051261
JPMorgan Chase$35,851,437,155191
Citigroup$25,535,002,360154
Wells Fargo$21,678,596,719218
Deutsche Bank$18,341,457,30276
UBS$16,853,736,33498
Goldman Sachs$16,381,931,83964
NatWest Group PLC$13,477,129,00031
BNP Paribas$12,147,863,95019
Credit Suisse$10,448,892,62645


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
American International Group American International Group insurance violation 2021 NY-DFS $12,000,000
AMERICAN INTERNATIONAL GROUP American International Group workplace safety or health violation 2003 OSHA $5,900
American International Group et al. American International Group insurance violation 2002 CA-INS $411,500
AMERICAN INTERNATIONAL GROUP INC GROUP LIFE & MEDICAL INSURANCE PLAN American International Group benefit plan administrator violation 2005 EBSA $50,001
American International Group Inc. American International Group investor protection violation 2010 OR-AG $8,000,000
American International Group, Inc. American International Group accounting fraud or deficiencies 2006 DOJ_CRIMINAL $25,000,000
American International Group, Inc. American International Group accounting fraud or deficiencies 2004 DOJ_CRIMINAL $80,000,000
American International Group, Inc. American International Group investor protection violation 2006 SEC $800,000,000
American International Group, Inc. American International Group investor protection violation 2004 SEC $46,000,000
American International Group, Inc. American International Group accounting fraud or deficiencies 2003 SEC $10,000,000
American International Group, Inc. American International Group benefit plan administrator violation 2015 private lawsuit-federal $40,000,000
American International Group, Inc. American International Group benefit plan administrator violation 2008 private lawsuit-federal $24,200,000
American International Group, Inc. American International Group price-fixing or anti-competitive practices 2008 MULTI-AG $12,500,000
American International Group, Inc. American International Group tax violations 2006 MI-AG $5,279,484
American International Group, Inc. American International Group economic sanction violation 2014 OFAC $279,038
American International Insurance Co. and AIG National Insurance Company, Inc. American International Group insurance violation 2003 FL-OFR $66,750
American International Insurance Group Inc. American International Group insurance violation 2008 PA-INS $9,125,400
American International Specialty Lines Insurance Co. American International Group insurance violation 2005 NJ-DBI $13,000
American Memorial Life Insurance Company Assurant insurance violation 2016 SD-INS $5,000
American Modern Home Insurance Co. Munich Re insurance violation 2010 MD-INS $5,000
American Modern Home Insurance Co. Munich Re insurance violation 2015 MO-INS $10,000
American Modern Home Insurance Company Munich Re insurance violation 2012 NC-INS $1,860,000
American Modern Home Insurance Company Munich Re insurance violation 2015 NY-DFS $150,000
American Modern Home Insurance Company Munich Re insurance violation 2016 WA-INS $5,000
American Modern Home Insurance Company Munich Re insurance violation 2017 WA-INS $5,000
American Modern Home Insurance Company Munich Re insurance violation 2017 MULTI-FIN $255,000
American Modern Insurance Group Inc. Munich Re insurance violation 2015 MULTI-FIN $6,000,000
American Modern Insurance Group, Inc. et al. Munich Re insurance violation 2016 MN-FIN $1,000,000
American National General Insurance Company American National Insurance insurance violation 2012 WA-INS $10,000
AMERICAN NATIONAL INSURANCE American National Insurance insurance violation 2006 VA-INS $22,000
American National Insurance Co. American National Insurance consumer protection violation 2007 TX-AG $6,500,000
American National Insurance Co. American National Insurance insurance violation 2017 DE-INS $8,000
AMERICAN NATIONAL INSURANCE CO. et al. American National Insurance insurance violation 2002 VA-INS $103,200
American National Insurance Company American National Insurance insurance violation 2015 ND-INS $275,000
American National Insurance Company American National Insurance insurance violation 2004 MULTI-FIN $250,000
American National Life Insurance Company of Texas American National Insurance insurance violation 2011 MD-INS $8,000
American National Property & Casualty Co. American National Insurance insurance violation 2005 FL-OFR $7,500
American National Property and Casualty Co. American National Insurance insurance violation 2017 MN-FIN $5,000
American National Property and Casualty Co. American National Insurance insurance violation 2020 OR-FIN $20,000
AMERICAN NATIONAL PROPERTY AND CASUALTY COMPANY American National Insurance insurance violation 2021 WA-INS $5,000
AMERICAN SECURITY INSURANCE CO Assurant insurance violation 2006 VA-INS $45,000
American Security Insurance Co. Assurant consumer protection violation 2017 MA-AG $6,300,000
American Security Insurance Co. Assurant consumer protection violation 2015 MA-AG $565,000
American Security Insurance Co. Assurant consumer protection violation 2019 MS-AG $767,394
American Security Insurance Co. et al. Assurant insurance violation 2017 MD-INS $25,000
American Security Insurance Co. et al. Assurant insurance violation 2005 NJ-DBI $1,775,000
American Security Insurance Company Assurant employment discrimination 2020 EEOC $49,000
American Security Insurance Company Assurant insurance violation 2013 MN-FIN $5,000
American Security Insurance Company et al. Assurant insurance violation 2016 MN-FIN $5,000,000
American Skandia Investment Services, Inc. Prudential Financial investor protection violation 2009 SEC $68,000,000
American States Insurance Company Liberty Mutual Insurance insurance violation 2016 TX-INS $27,500
American States Preferred Insurance Co. et al. Liberty Mutual Insurance insurance violation 2010 VA-INS $205,463
AMERICAN STRATEGIC INSURANCE Progressive insurance violation 2016 VA-INS $15,147
AMERICAN STRATEGIC INSURANCE Progressive insurance violation 2017 VA-INS $41,962
American Strategic Insurance Corp Progressive insurance violation 2018 WA-INS $10,000
American Summit Insurance Co. Hilltop Holdings insurance violation 2013 AZ-INS $25,000
American Title Co. dba Ticor Title Company of America Fidelity National Financial insurance violation 2005 CA-INS $1,200,000
AMERICAN ZURICH INSURANCE CO Zurich Insurance insurance violation 2004 VA-INS $5,000
American Zurich Insurance Company Zurich Insurance insurance violation 2003 MA-INS $40,000
American Zurich Insurance Company Zurich Insurance insurance violation 2010 TX-INS $32,000
American Zurich Insurance Company Zurich Insurance insurance violation 2011 TX-INS $9,000
American Zurich Insurance Company Zurich Insurance insurance violation 2012 TX-INS $27,500
American Zurich Insurance Company Zurich Insurance insurance violation 2014 TX-INS $16,514
American Zurich Insurance Company Zurich Insurance insurance violation 2014 TX-INS $15,500
American Zurich Insurance Company Zurich Insurance insurance violation 2015 TX-INS $9,000
American Zurich Insurance Company Zurich Insurance insurance violation 2015 TX-INS $7,000
American Zurich Insurance Company Zurich Insurance insurance violation 2016 TX-INS $5,000
American Zurich Insurance Company Zurich Insurance insurance violation 2016 TX-INS $13,571
American Zurich Insurance Company Zurich Insurance insurance violation 2017 TX-INS $6,000
American Zurich Insurance Company Zurich Insurance insurance violation 2017 TX-INS $9,500
American Zurich Insurance Company Zurich Insurance insurance violation 2018 TX-INS $53,750
American Zurich Insurance Company Zurich Insurance insurance violation 2018 TX-INS $18,000
American Zurich Insurance Company Zurich Insurance insurance violation 2019 TX-INS $45,000
American Zurich Insurance Company Zurich Insurance insurance violation 2019 TX-INS $17,000
American-Amicable Life Insurance Company American-Amicable Group insurance violation 2006 MULTI-FIN $60,000,000
Ameriprise Advisor Services Inc. Ameriprise Financial investor protection violation 2009 RI-FIN $48,411
Ameriprise Financial Ameriprise Financial wage and hour violation 2011 private lawsuit-federal $185,000
Ameriprise Financial Services Ameriprise Financial investor protection violation 2018 SEC $230,000
AMERIPRISE FINANCIAL SERVICES Ameriprise Financial investor protection violation 2008 VA-SEC $780,000
Ameriprise Financial Services Inc. Ameriprise Financial investor protection violation 2018 SEC $4,500,000
Ameriprise Financial Services Inc. Ameriprise Financial consumer protection violation 2013 NE-DBF $10,000
Ameriprise Financial Services Inc. Ameriprise Financial investor protection violation 2018 SC-SEC $650,000
Ameriprise Financial Services Inc. Ameriprise Financial investor protection violation 2009 MULTI-FIN $720,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2009 SEC $17,300,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2017 SEC $8,750,000
Ameriprise Financial Services, Inc. Ameriprise Financial consumer protection violation 2009 MA-AG $200,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2018 NJ-AG $375,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2005 AZ-SEC $1,000,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2006 AZ-SEC $1,250,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2018 CA-DFPI $115,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2008 IL-SEC $1,449,384
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2009 KY-FIN $983,984
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2013 MA-SEC $400,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2013 MD-SEC $50,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2008 MS-SEC $150,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2008 NH-BSR $3,400,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2014 NH-BSR $90,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2016 NH-BSR $30,800
AMERIPRISE FINANCIAL SERVICES, INC. Ameriprise Financial investor protection violation 2016 VA-SEC $14,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2016 WA-FIN $55,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2016 FINRA $850,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)