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)
Company Parentsort icon Primary Offense Type Year Agency Penalty Amount
Fireman's Fund Insurance Co. Allianz insurance violation 2007 FL-OFR $5,500
Chicago Insurance Co. Allianz insurance violation 2008 FL-OFR $130,000
AGCS Marine Insurance Co. Allianz insurance violation 2017 KS-INS $63,483
Allianz Life Insurance Company of North America Allianz insurance violation 2019 KS-INS $60,000
Fireman's Fund Insurance Company Allianz insurance violation 2002 MA-INS $20,000
American Automobile Insurance Company Allianz insurance violation 2005 MA-INS $9,000
American Automobile Insurance Co. Allianz insurance violation 2015 MD-INS $5,000
Fireman's Fund Insurance Co. Allianz insurance violation 2015 MD-INS $5,000
Allianz Life Insurance Company of North America Allianz insurance violation 2017 MD-INS $9,850
Allianz Life Insurance Company of North America et al. Allianz insurance violation 2016 MN-FIN $550,000
Allianz Life Insurance Company of New York Allianz insurance violation 2013 NY-DFS $135,000
AGCS Marine Insurance Company Allianz insurance violation 2016 PA-INS $10,000
Fireman's Fund Insurance Company Allianz insurance violation 2016 TX-INS $15,000
Allianz Life Insurance Company of North America Allianz insurance violation 2011 UT-INS $50,000
Allianz Life Insurance Company of North America Allianz insurance violation 2011 UT-INS $29,500
American Automobile Insurance Company et al. Allianz insurance violation 2011 VA-INS $10,973
AMERICAN AUTOMOBILE INSURANCE CORP Allianz insurance violation 2012 VA-INS $5,000
Chicago Insurance Company Allianz insurance violation 2010 WA-INS $7,500
Allianz Life Insurance Company Of North America Allianz insurance violation 2013 WA-INS $150,000
AGCS Marine Insurance Company Allianz insurance violation 2015 WA-INS $300,000
Jefferson Insurance Company Allianz insurance violation 2016 WA-INS $5,000
AGCS Marine Insurance Company Allianz insurance violation 2016 WA-INS $15,000
AGCS Marine Insurance Company Allianz insurance violation 2017 WA-INS $5,000
American Automobile Insurance Company Allianz insurance violation 2018 WA-INS $10,000
Jefferson Insurance Company Allianz insurance violation 2017 MULTI-FIN $1,800,000
Fred Alger Management, Inc. Alger Associates investor protection violation 2007 SEC $40,000,000
FRED ALGER & COMPANY, INCORPORATED Alger Associates benefit plan administrator violation 2007 EBSA $50,001
FRED ALGER & COMPANY, INCORPORATED Alger Associates benefit plan administrator violation 2006 EBSA $10,001
Fred Alger Management, Inc. Alger Associates investor protection violation 2007 NY-AG (*) $45,000,000
Agricultural Bank of China Agricultural Bank of China anti-money-laundering deficiencies 2016 NY-DFS $215,000,000
American Family Life Assurance Co., known as Aflac Aflac Family and Medical Leave Act 2012 WHD $16,882
Aflac Inc. Aflac insurance violation 2017 MULTI-AG $350,000
Continental American Insurance Co. Aflac consumer protection violation 2010 MA-AG $25,000
Continental American Insurance Co. Aflac insurance violation 2019 CT-INS $10,000
American Family Assurance Company of Columbus Aflac insurance violation 2014 ID-INS $30,000
American Family Life Assurance Company of Columbus Aflac insurance violation 2012 MD-INS $200,000
American Family Life Assurance Company of Columbus Aflac insurance violation 2011 ME-INS $20,000
American Family Life Assurance Company of Columbus Aflac insurance violation 2006 MN-FIN $15,000
American Family Life Assurance Company of New York (AFLAC) Aflac insurance violation 2018 NY-DFS $1,138,368
American Family Life Assurance Company Aflac insurance violation 2019 SD-INS $100,000
AMERICAN FAMILY LIFE ASSURANCE Aflac insurance violation 2003 VA-INS $7,500
American Family Life Assurance Company of Columbus Aflac insurance violation 2013 VA-INS $10,000
American Family Life Assurance Company of Columbus Aflac insurance violation 2012 MULTI-FIN $1,600,000
American Family Life Insurance Company of Columbus Aflac insurance violation 2018 MULTI-FIN $2,500,000
American Family Life Insurance Company of Columbus Aflac insurance violation 2017 MULTI-FIN $350,000
COMMUNICORP INC. Aflac workplace safety or health violation 2011 OSHA $9,900
American Family Life Assurance Company of Columbus Aflac insurance violation 2020 CT-INS $8,500
Accident Fund Insurance Company of America AF Group insurance violation 2012 AZ-INS $5,000
Accident Fund General Insurance Co. AF Group insurance violation 2018 MO-INS $5,000
Accident Fund National Insurance Co. AF Group insurance violation 2018 MO-INS $5,000
Accident Fund Insurance Company of America AF Group insurance violation 2018 MO-INS $5,000
United Wisconsin Insurance Co. AF Group insurance violation 2018 MO-INS $5,000
Accident Fund Insurance Co. of America AF Group insurance violation 2011 TX-INS $8,000
Accident Fund Insurance Company of America AF Group insurance violation 2014 TX-INS $19,000
Accident Fund General Insurance Company AF Group insurance violation 2014 TX-INS $28,000
Accident Fund Insurance Company of America AF Group insurance violation 2017 TX-INS $20,000
Accident Fund Insurance Company of America AF Group insurance violation 2018 TX-INS $13,500
Accident Fund General Insurance Company AF Group insurance violation 2018 TX-INS $75,000
Accident Fund General Insurance Company AF Group insurance violation 2018 TX-INS $6,400
Accident Fund Insurance Company of America AF Group insurance violation 2018 TX-INS $19,800
Accident Fund National Insurance Company AF Group insurance violation 2018 TX-INS $19,100
Accident Fund National Insurance Company AF Group insurance violation 2019 TX-INS $5,000
Transamerica Financial Advisors Aegon investor protection violation 2014 SEC $1,107,248
Transamerica Life Insurance Company Aegon wage and hour violation 2015 WHD $70,143
World Group Securities, Inc. Aegon investor protection violation 2010 SEC $200,000
AEGON USA Investment Management LLC et al. Aegon investor protection violation 2018 SEC $97,600,000
Transamerica Corporation Aegon benefit plan administrator violation 2016 private lawsuit-federal $3,800,000
Transamerica Financial Advisors, Inc. Aegon investor protection violation 2019 SEC $6,023,072
Transamerica Life Insurance Co. Aegon insurance violation 2013 MA-AG $1,330,000
Transamerica Premier Life Insurance Co. Aegon insurance violation 2018 MA-AG $19,647
Transamerica Insurance Co. Aegon insurance violation 2013 MULTI-AG $11,200,000
World Group Securities, Inc. Aegon investor protection violation 2010 AZ-SEC $853,501
Monumental Life Insurance Co. Aegon insurance violation 2015 AZ-INS $57,000
Transamerica Life Insurance Co. Aegon insurance violation 2012 CO-INS $6,270
Life Investors Insurance Company of America Aegon insurance violation 2004 FL-OFR $11,000
Life Investors Insurance Company of America Aegon insurance violation 2006 FL-OFR $53,000
World Group Securities, Inc. Aegon investor protection violation 2004 ID-SEC $15,000
Transamerica Life Insurance Co. Aegon insurance violation 2017 ID-INS $5,000
Monumental Life Insurance Co. Aegon insurance violation 2011 MD-INS $9,000
Transamerica Life Insurance Co. Aegon insurance violation 2011 MD-INS $5,000
Transamerica Premier Life Insurance Co. Aegon insurance violation 2015 MD-INS $11,800
Transamerica Life Insurance Co. Aegon insurance violation 2015 MD-INS $16,300
Transamerica Life Insurance Co. Aegon insurance violation 2017 MD-INS $8,300
Transamerica Life Insurance Company Aegon insurance violation 2019 MD-INS $184,000
Transamerica Life Insurance Co. et al. Aegon insurance violation 2012 MN-FIN $50,000
Transamerica Life Insurance Co. et al. Aegon insurance violation 2014 MN-FIN $2,500,000
Transamerica Premier Life Insurance Co. Aegon insurance violation 2015 MN-FIN $5,000
Transamerica Premier Life Insurance Co. Aegon insurance violation 2018 MN-FIN $40,000
Transamerica Life Insurance Co. and Transamerica Premier Life Insurance Co. Aegon insurance violation 2019 MN-FIN $100,000
World Group Securities, Inc. Aegon investor protection violation 2006 MO-SEC $228,600
Monumental Life Insurance Co. Aegon insurance violation 2009 MO-INS $26,001
Transamerica Life Insurance Co. Aegon insurance violation 2019 MO-INS $6,000
Transamerica Life Insurance Co. Aegon insurance violation 2019 MO-INS $5,000
Transamerica Premier Life Insurance Co. Aegon insurance violation 2019 MO-INS $5,000
Transamerica Life Insurance Co. Aegon insurance violation 2019 MO-INS $26,000
Transamerica Premier Life Insurance Co. Aegon insurance violation 2019 MO-INS $36,000
Monumental Life Insurance Co. Aegon insurance violation 2003 MS-INS $24,351
Monumental Life Insurance Company Aegon insurance violation 2008 NJ-DBI $250,000
Transamerica Premier Life Insurance Company Aegon insurance violation 2016 NJ-DBI $75,000
Transamerica Life Insurance Company Aegon insurance violation 2019 NJ-DBI $5,942,519
Transamerica Financial Life Insurance Company Aegon insurance violation 2013 NY-DFS $852,418
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)