Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$330,904,834,105
Number of Records: 
6,093
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$82,737,699,939214
JPMorgan Chase$35,744,240,670158
Citigroup$25,450,155,764122
Wells Fargo$21,340,036,745181
Deutsche Bank$18,156,533,87859
UBS$16,792,800,91083
Goldman Sachs$16,365,468,98744
Royal Bank of Scotland$13,455,904,00027
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
Time Insurance Co. Haven Holdings insurance violation 2013 AZ-INS $60,000
Time Insurance Co. Haven Holdings insurance violation 2009 CO-INS $103,500
Time Insurance Co. Haven Holdings insurance violation 2010 FL-OFR $23,000
Time Insurance Co. Haven Holdings insurance violation 2014 ID-INS $5,000
Time Insurance Co. Haven Holdings insurance violation 2014 MD-INS $25,000
Time Insurance Co. Haven Holdings insurance violation 2008 MN-FIN $7,500
Time Insurance Co. Haven Holdings insurance violation 2019 MN-FIN $5,000
Time Insurance Co. Haven Holdings insurance violation 2010 MT-INS $50,000
Time Insurance Co. Haven Holdings insurance violation 2010 WI-INS $280,000
Ticor Title Insurance Company Fidelity National Financial insurance violation 2007 OR-FIN $6,000
Ticor Title Insurance Co. Fidelity National Financial insurance violation 2005 FL-OFR $50,000
Ticor Title Insurance Co. Fidelity National Financial insurance violation 2009 IN-INS $10,850
Ticor Title Insurance Co. Fidelity National Financial insurance violation 2009 MO-INS $20,725
Ticor Title Company of California Fidelity National Financial insurance violation 2018 CA-INS $6,000
Ticor Title Company Fidelity National Financial insurance violation 2015 WA-INS $5,000
Ticor Title Company Fidelity National Financial insurance violation 2017 WA-INS $6,000
Ticor Title Company Fidelity National Financial insurance violation 2018 WA-INS $10,000
Ticor Title Company Fidelity National Financial insurance violation 2019 WA-INS $5,000
TIAA-CREF Life Insurance Company TIAA insurance violation 2016 NY-DFS $29,325
TIAA-CREF Life Insurance Company TIAA insurance violation 2016 NY-DFS $139,940
TIAA-CREF Life Insurance Company TIAA insurance violation 2013 MULTI-FIN $6,200,000
TIAA-CREF Individual & Institutional Services, LLC TIAA investor protection violation 2019 SEC $2,395,722
TIAA-CREF TIAA labor relations violation 2016 NLRB $304,216
TIAA-CREF TIAA aviation safety violation 2015 FAA $7,500
TIAA-CREF TIAA benefit plan administrator violation 2014 private lawsuit-federal $22,800,000
TIAA - CREF TIAA wage and hour violation 2006 WHD $468,336
TIAA TIAA wage and hour violation 2005 WHD $327,168
Thrivent Investment Management Inc. Thrivent Financial investor protection violation 2020 IL-SEC $400,000
Thrivent Financial For Lutherans Thrivent Financial insurance violation 2012 MD-INS $8,000
Thrivent Financial for Lutherans Thrivent Financial insurance violation 2013 WI-INS $5,000
Thomas Weisel Partners LLC Stifel Financial investor protection violation 2004 SEC $12,500,000
Thomas Weisel Partners LLC Stifel Financial investor protection violation 2006 CT-SEC $52,480
Thomas Weisel Partners LLC Stifel Financial investor protection violation 2005 MULTI-FIN (*) $5,000,000
The United States Life Insurance Company In the City of New York American International Group insurance violation 2012 MD-INS $75,000
The United States Life Insurance Company American International Group insurance violation 2019 NY-DFS $171,902
The Travelers Indemnity Company ofAmerica Travelers insurance violation 2020 VA-INS $49,500
The Travelers Indemnity Company of Connecticut Travelers insurance violation 2016 TX-INS $7,000
The Travelers Indemnity Company of Connecticut Travelers insurance violation 2018 TX-INS $20,000
The Travelers Indemnity Company of America et al. Travelers insurance violation 2020 DE-INS $6,000
The Travelers Indemnity Company of America et al. Travelers insurance violation 2014 MD-INS $55,000
The Travelers Indemnity Company of America et al. Travelers insurance violation 2014 MD-INS $20,400
The Travelers Indemnity Company Travelers wage and hour violation 2009 WHD $21,283
The Travelers Indemnity Company Travelers insurance violation 2014 TX-INS $19,442
The Travelers Indemnity Company Travelers insurance violation 2014 TX-INS $11,500
The Travelers Indemnity Company Travelers insurance violation 2015 TX-INS $10,000
The Travelers Indemnity Company Travelers insurance violation 2015 TX-INS $7,500
The Travelers Indemnity Company Travelers insurance violation 2016 TX-INS $9,000
The Travelers Indemnity Company Travelers insurance violation 2018 TX-INS $7,500
The Travelers Indemnity Co. of Connecticut Travelers insurance violation 2016 TX-INS $18,000
The Travelers Indemnity Co. et al. Travelers insurance violation 2010 KS-INS $10,000
THE TRAVELERS INDEMNITY CO. et al. Travelers insurance violation 2009 VA-INS $7,000
The Travelers Indemnity Co. Travelers insurance violation 2019 MN-FIN $10,000
The Travelers Home and Marine Insurance Co. Travelers insurance violation 2016 MN-FIN $15,000
The Tokio Marine and Fire Insurance Company, Ltd. and Trans Pacific Insurance Co. Tokio Marine insurance violation 2003 CA-INS $42,500
The Standard Insurance Co. Meiji Yasuda Life Insurance insurance violation 2020 CT-INS $7,500
The Standard Fire Insurance Company Travelers insurance violation 2014 TX-INS $9,795
The Standard Fire Insurance Company Travelers insurance violation 2016 TX-INS $5,000
The Standard Fire Insurance Company Travelers insurance violation 2018 TX-INS $27,855
The Standard Fire Insurance Co. Travelers insurance violation 2015 MD-INS $8,000
The Standard Fire Insurance Co. Travelers insurance violation 2015 MD-INS $10,000
The Signal, LP, an Assurant Company Assurant insurance violation 2020 NY-DFS $2,800,000
THE ROYAL BANK OF SCOTLAND GROUP PLC Royal Bank of Scotland banking violation 2013 FED $50,000,000
THE RICHLAND TRUST COMPANY Park National Corp. banking violation 2006 FDIC $11,100
The Prudential Insurance Company of America Prudential Financial labor relations violation 2018 NLRB $17,842
The Prudential Insurance Company of America Prudential Financial insurance violation 2006 CA-INS $700,000
The Prudential Insurance Company of America Prudential Financial insurance violation 2011 MD-INS $75,000
The Prudential Insurance Company of America Prudential Financial insurance violation 2006 MN-FIN $5,000
The Prudential Insurance Company of America Prudential Financial insurance violation 2013 MN-FIN $1,000,000
The Prudential Insurance Company of America Prudential Financial insurance violation 2006 MO-INS $7,373
The Prudential Insurance Company of America Prudential Financial insurance violation 2015 MT-INS $5,000
The Prudential Insurance Company of America Prudential Financial insurance violation 2019 NY-DFS $49,020
The Prudential Insurance Company of America Prudential Financial insurance violation 2020 OR-FIN $25,000
The Phoenix Insurance Company Travelers insurance violation 2014 TX-INS $10,628
The Phoenix Insurance Company Travelers insurance violation 2019 TX-INS $6,000
The Penn Mutual Life Insurance Co. Penn Mutual insurance violation 2019 NY-DFS $455,584
The Northwestern Mutual Life Insurance Co. Northwestern Mutual insurance violation 2013 MN-FIN $150,000
The Northern Trust Company Northern Trust investor protection violation 2015 SEC $60,000
THE NORTH RIVER INSURANCE CO. Fairfax Financial Holdings insurance violation 2009 VA-INS $28,916
The Netherlands Insurance Company Liberty Mutual Insurance insurance violation 2012 TX-INS $8,000
The Netherlands Insurance Company Liberty Mutual Insurance insurance violation 2014 TX-INS $24,000
The Netherlands Insurance Company Liberty Mutual Insurance insurance violation 2014 TX-INS $6,000
THE MCCLATCHY COMPANY Chatham Asset Management workplace safety or health violation 2015 OSHA $13,500
The Lincoln National Life Insurance Co. et al. Lincoln National insurance violation 2014 MN-FIN $2,500,000
The Lincoln National Life Insurance Co. Lincoln National insurance violation 2019 CT-INS $65,000
The Lincoln National Life Insurance Co. Lincoln National insurance violation 2019 LA-INS $10,000
The Lincoln National Life Insurance Co. Lincoln National insurance violation 2016 MN-FIN $10,000
THE KEMPER COMPANY Kemper workplace safety or health violation 2012 OSHA $9,800
THE KANSAS CITY STAR Chatham Asset Management workplace safety or health violation 2016 OSHA $23,696
The Insurance Company of the State of Pennsylvania American International Group consumer protection violation 2015 MA-AG $430,000
The Insurance Company of the State of Pennsylvania American International Group insurance violation 2010 ME-INS $11,111
The Insurance Company of the State of Pennsylvania American International Group insurance violation 2007 OR-FIN $10,000
The Insurance Company of the State of Pennsylvania American International Group insurance violation 2009 TX-INS $7,500
The Insurance Company of the State of Pennsylvania American International Group insurance violation 2014 TX-INS $8,397
The Insurance Company of the State of Pennsylvania American International Group insurance violation 2014 TX-INS $6,500
The Insurance Company of the State of Pennsylvania American International Group insurance violation 2016 TX-INS $18,000
The Insurance Company of the State of Pennsylvania American International Group insurance violation 2017 TX-INS $44,000
The Insurance Company of the State of Pennsylvania American International Group insurance violation 2017 TX-INS $5,300
The Insurance Company of the State of Pennsylvania American International Group insurance violation 2018 TX-INS $8,400
The Insurance Company of the State of Pennsylvania American International Group insurance violation 2019 TX-INS $9,000
The Huntington National Bank Huntington Bancshares wage and hour violation 2013 WHD $32,553
THE HARTFORD FINANCIAL SERVICES GROUP, INC. Hartford Financial Services workplace safety or health violation 2011 OSHA $5,600
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)