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
ASI SERVICES Progressive aviation safety violation 2015 FAA $17,000
ASI SERVICES Progressive aviation safety violation 2015 FAA $27,000
Asset Acceptance LLC Encore Capital Group consumer protection violation 2012 FTC $2,500,000
Asset Acceptance, LLC Encore Capital Group Family and Medical Leave Act 2014 WHD $7,450
Associated Banc-Corp Associated Banc-Corp wage and hour violation 2012 private lawsuit-federal $1,275,000
Associated Bank, N.A. Associated Banc-Corp discriminatory practices (non-employment) 2015 HUD $200,000,000
Assurant Health Assurant insurance violation 2008 CT-INS $2,100,000
Assurant Inc. Assurant accounting fraud or deficiencies 2010 SEC $3,500,000
Assurant Inc. Assurant insurance violation 2016 MULTI-FIN $80,217,000
Assurant, Inc. Assurant insurance violation 2013 NY-DFS $14,000,000
Asurion Insurance Services, Inc. and Asurion Protection Services LLC Asurion insurance violation 2020 NY-DFS $4,000,000
Asurion Warranty Services, Inc. Asurion insurance violation 2007 WI-INS $5,000
Asurion, LLC Asurion employment discrimination 2019 EEOC $50,000
ASURION, LLC. Asurion workplace safety or health violation 2020 OSHA $5,783
Athene Annuity & Life Assurance Company Of New York Athene Holding insurance violation 2011 WA-INS $5,000
Athene Annuity and Life Co. Athene Holding insurance violation 2019 MO-INS $5,000
Athene Annuity and Life Co. Athene Holding insurance violation 2021 MD-INS $8,880
Athene Annuity And Life Company Athene Holding insurance violation 2018 WA-INS $10,000
Athene Annuity and Life Company Athene Holding insurance violation 2021 TX-INS $400,000
Athene Holding Ltd. Athene Holding insurance violation 2020 NY-DFS $45,000,000
Athene Life Insurance Company of New York Athene Holding insurance violation 2016 NY-DFS $142,193
Athene Life Insurance Company of New York Athene Holding insurance violation 2018 NY-DFS $15,000,000
Atlantic Credit and Finance, Inc. Encore Capital Group wage and hour violation 2006 WHD $9,422
Aurora Bank FSB Aurora Bank banking violation 2013 OCC $242,418,293
Austin Mutual Insurance Co. American Family Insurance insurance violation 2019 MN-FIN $10,000
Austin Mutual Insurance Co. American Family Insurance insurance violation 2007 WI-INS $8,000
Austin Mutual Insurance Co. and Northern Mutual Insurance Co. American Family Insurance insurance violation 2002 MN-FIN $12,500
Austin Mutual Insurance Company American Family Insurance wage and hour violation 2006 WHD $16,245
Austin Mutual Insurance Company American Family Insurance insurance violation 2014 ND-INS $10,000
Austin Mutual Insurance Company American Family Insurance insurance violation 2010 WA-INS $10,000
Austin Mutual Insurance Company American Family Insurance insurance violation 2011 WA-INS $10,000
Austin Mututal Insurance Co. American Family Insurance insurance violation 2011 AZ-INS $30,000
Auto Owners Insurance Co. Auto-Owners Insurance insurance violation 2017 CO-INS $25,875
AUTO OWNERS INSURANCE COMPANY Auto-Owners Insurance insurance violation 2015 VA-INS $114,217
Auto-Owners (Mutual) Insurance Co. and Owners Insurance Co. Auto-Owners Insurance insurance violation 2019 KS-INS $10,000
Auto-Owners Insurance Co. Auto-Owners Insurance insurance violation 2007 CO-INS $5,000
Auto-Owners Insurance Co. Auto-Owners Insurance insurance violation 2000 MN-FIN $15,000
Auto-Owners Insurance Co. Auto-Owners Insurance insurance violation 2003 MN-FIN $5,000
Auto-Owners Insurance Co. Auto-Owners Insurance insurance violation 2016 MN-FIN $10,000
Auto-Owners Insurance Co. Auto-Owners Insurance insurance violation 2015 MO-INS $39,600
Auto-Owners Insurance Co. Auto-Owners Insurance insurance violation 2004 WI-INS $5,000
Auto-Owners Insurance Co. and Owners Insurance Co. Auto-Owners Insurance insurance violation 2019 MN-FIN $35,000
Auto-Owners Insurance Co. and Owners Insurance Co. Auto-Owners Insurance insurance violation 2007 MO-INS $28,704
Auto-Owners Insurance Company Auto-Owners Insurance insurance violation 2016 SC-INS $7,356
Auto-Owners Insurance Company and Owners Insurance Company Auto-Owners Insurance insurance violation 2011 VA-INS $10,000
AVEMCO INSURANCE COMPANY Tokio Marine insurance violation 2002 VA-INS $12,000
Aviva Life & Annuity Company Athene Holding insurance violation 2013 MULTI-AG $4,000,000
Aviva Life and Annuity Co. Athene Holding insurance violation 2011 CO-INS $25,300
AXA Advisors Equitable Holdings wage and hour violation 2016 private lawsuit-federal $2,300,000
AXA Advisors LLC Equitable Holdings investor protection violation 2011 OR-FIN $80,000
AXA Advisors, LLC Equitable Holdings investor protection violation 2012 SEC $100,000
AXA Advisors, LLC Equitable Holdings investor protection violation 2009 SEC $50,000
AXA Advisors, LLC Equitable Holdings investor protection violation 2019 SEC $1,134,152
AXA Advisors, LLC Equitable Holdings investor protection violation 2010 MO-SEC $92,015
AXA Advisors, LLC Equitable Holdings investor protection violation 2019 FINRA $772,000
AXA Advisors, LLC Equitable Holdings investor protection violation 2015 FINRA $600,000
AXA Advisors, LLC Equitable Holdings investor protection violation 2007 FINRA $2,600,000
AXA Advisors, LLC Equitable Holdings investor protection violation 2005 FINRA $900,000
AXA Advisors, LLC Equitable Holdings investor protection violation 2004 FINRA $250,000
AXA Advisors, LLC Equitable Holdings investor protection violation 2004 FINRA $250,000
AXA Art Insurance Corporation AXA insurance violation 2015 NY-DFS $70,000
AXA Art Insurance Corporation AXA insurance violation 2012 SC-INS $8,000
AXA Equitable Equitable Holdings insurance violation 2014 NY-DFS $20,000,000
AXA Equitable Life & Annuity Co. Equitable Holdings insurance violation 2016 MT-INS $5,000
AXA Equitable Life Insurance Co. Equitable Holdings insurance violation 2018 DE-INS $5,000
AXA Equitable Life Insurance Co. Equitable Holdings insurance violation 2016 MN-FIN $5,000
AXA Equitable Life Insurance Co. et al. Equitable Holdings insurance violation 2016 MN-FIN $900,000
AXA Equitable Life Insurance Company Equitable Holdings wage and hour violation 2006 WHD $29,534
AXA Equitable Life Insurance Company Equitable Holdings benefit plan administrator violation 2011 private lawsuit-federal $2,500,000
AXA Equitable Life Insurance Company Equitable Holdings insurance violation 2012 NY-AG $850,000
AXA Equitable Life Insurance Company Equitable Holdings insurance violation 2010 NY-DFS $1,900,000
AXA Financial Equitable Holdings wage and hour violation 2009 private lawsuit-federal $6,500,000
Axa Insurance Co. AXA insurance violation 2019 LA-INS $6,000
AXA Insurance Company AXA insurance violation 2007 SC-INS $8,000
Axa Re Property and Casualty Insurance Co. AXA insurance violation 2005 FL-OFR $15,000
AXA Rosenberg AXA investor protection violation 2011 SEC $242,000,000
Axa S.A. AXA insurance violation 2015 MULTI-AG $3,280,000
BAC Home Loans Servicing LP fka Countrywide Home Loans Servicing LP Bank of America mortgage abuses 2011 DOJ_CIVIL $20,000,000
Balli Aviation Ltd. Balli Group export control violation 2010 DOJ_NATSEC $2,000,000
Balli Aviation Ltd. and Balli Group PLC Balli Group export control violation 2010 BIS $15,000,000
Banamex USA Citigroup banking violation 2015 FDIC $140,000,000
Banamex USA Citigroup anti-money-laundering deficiencies 2017 DOJ_CRIMINAL $97,440,000
Banc of America Capital Management LLC et al. Bank of America investor protection violation 2004 NY-AG (*) $375,000,000
Banc of America Capital Management LLC, BACAP Distributors LLC and Banc of America Securities LLC Bank of America investor protection violation 2005 SEC $375,000,000
Banc of America Investment Services Bank of America employment discrimination 2009 private lawsuit-federal $7,200,000
Banc of America Investment Services Inc. Bank of America anti-money-laundering deficiencies 2007 FINRA $3,000,000
Banc of America Investment Services Inc. Bank of America investor protection violation 2004 FINRA $200,000
Banc of America Investment Services, Inc. Bank of America investor protection violation 2008 SEC $9,763,634
Banc of America Investment Services, Inc. Bank of America investor protection violation 2009 SEC $150,000
Banc of America Investment Services, Inc. Bank of America investor protection violation 2006 IL-SEC $250,000
Banc of America Investment Services, Inc. Bank of America investor protection violation 2008 MD-SEC $10,000
Banc of America Investment Services, Inc. Bank of America investor protection violation 2005 FINRA $90,000
Banc of America Investment Services, Inc., and Bacap Distributors, LLC Bank of America investor protection violation 2005 SEC $1,500,000
Banc of America Securities LLC Bank of America fraud 2007 SEC $26,000,000
Banc of America Securities LLC Bank of America investor protection violation 2006 SEC $750,000
Banc of America Securities LLC Bank of America investor protection violation 2004 SEC $10,000,000
Banc of America Securities LLC Bank of America price-fixing or anti-competitive practices 2010 SEC $36,096,442
Banc of America Securities LLC Bank of America investor protection violation 2008 MULTI-AG $4,550,000,000
Banc of America Securities LLC Bank of America investor protection violation 2010 NJ-AG $1,268,393
Banc of America Securities LLC Bank of America investor protection violation 2001 FINRA $40,000
Banc One Investment Advisors Corporation JPMorgan Chase investor protection violation 2004 SEC $50,000,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)