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Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$325,206,110,617
Number of Records: 
5,976
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$82,700,046,034213
JPMorgan Chase$34,530,243,993154
Citigroup$25,045,655,764120
Wells Fargo$21,199,943,231179
Deutsche Bank$18,156,533,87859
UBS$16,792,800,91083
Royal Bank of Scotland$13,455,904,00027
Goldman Sachs$13,140,380,98740
BNP Paribas$12,132,582,95017
Credit Suisse$10,409,957,62631


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.
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Company Parentsort icon Primary Offense Type Year Agency Penalty Amount
American Express Travel Related Services Comp American Express Family and Medical Leave Act 2004 WHD $26,722
American Express American Express consumer protection violation 2017 CFPB $96,000,000
American Express American Express economic sanction violation 2017 OFAC $204,277
American Express Centurion Bank American Express tax violations 2012 CT-AG $14,970
American Express Co. American Express consumer protection violation 2003 NY-AG $3,285,000
American Express Publishing Corporation American Express consumer protection violation 2000 MULTI-AG $200,000
American Express Travel Related Services Company, Inc. American Express economic sanction violation 2013 OFAC $5,226,120
American Express Publishing Corp. American Express consumer protection violation 2011 CA-MULTI $600,000
American Express Prepaid Card Management Corp. American Express consumer protection violation 2010 AR-SEC $20,000
Amex Assurance Co. American Express insurance violation 2006 CA-INS $170,000
Amex Assurance Co. American Express insurance violation 2005 FL-OFR $12,500
Amex Assurance Co. American Express insurance violation 2008 FL-OFR $8,000
American Express Travel Related Services Co, Inc. American Express consumer protection violation 2015 FL-OFR $9,000
AMEX Assurance Co. American Express insurance violation 2011 MD-INS $10,000
American Express Travel Related Services Company, Inc. American Express consumer protection violation 2011 NE-DBF $35,000
AMEX Assurance Company American Express insurance violation 2009 OR-FIN $25,000
AMEX ASSURANCE CO. American Express insurance violation 2007 VA-INS $26,400
Austin Mutual Insurance Company American Family Insurance wage and hour violation 2006 WHD $16,245
Permanent General Assurance Corp. American Family Insurance insurance violation 2011 AZ-INS $70,000
Homesite Indemnity Co. American Family Insurance insurance violation 2011 AZ-INS $19,000
Austin Mututal Insurance Co. American Family Insurance insurance violation 2011 AZ-INS $30,000
American Family Connect Property and Casualty Insurance Company American Family Insurance insurance violation 2020 AZ-INS $50,000
Homesite Insurance Company American Family Insurance insurance violation 2013 CA-INS $360,522
American Family Mutual Insurance Co. American Family Insurance insurance violation 2006 CO-INS $6,000
American Family Mutual Insurance Co. American Family Insurance insurance violation 2007 CO-INS $5,500
Permanent General Assurance Corp. American Family Insurance insurance violation 2009 CO-INS $31,900
Permanent General Assurance Corp. American Family Insurance insurance violation 2019 CO-INS $56,494
Permanent General Assurance Corporation of Ohio American Family Insurance insurance violation 2019 CO-INS $50,974
HomeSite Insurance Co. American Family Insurance insurance violation 2016 DE-INS $15,000
American Family Mutual Insurance Co. American Family Insurance insurance violation 2016 KS-INS $20,000
Homesite Insurance Company of the Midwest American Family Insurance insurance violation 2013 MD-INS $20,000
Homesite Insurance Company of the Midwest American Family Insurance insurance violation 2015 MD-INS $5,000
Homesite Insurance Company of the Midwest American Family Insurance insurance violation 2011 ME-INS $7,500
American Family Mutual Insurance Co. American Family Insurance insurance violation 2002 MN-FIN $5,000
Austin Mutual Insurance Co. and Northern Mutual Insurance Co. American Family Insurance insurance violation 2002 MN-FIN $12,500
American Family Mutual Insurance Co. American Family Insurance insurance violation 2002 MN-FIN $10,000
Homesite Insurance Company of the Midwest American Family Insurance insurance violation 2009 MN-FIN $15,000
American Family Mutual Insurance Co. American Family Insurance insurance violation 2011 MN-FIN $5,000
American Family Mutual Insurance Co. American Family Insurance insurance violation 2013 MN-FIN $5,000
American Family Mutual Insurance Co. American Family Insurance insurance violation 2014 MN-FIN $7,500
Austin Mutual Insurance Co. American Family Insurance insurance violation 2019 MN-FIN $10,000
Homesite Insurance Co. American Family Insurance insurance violation 2019 MN-FIN $5,000
American Family Mutual Insurance Co. and American Standard Insurance Co. of Wisconsin American Family Insurance insurance violation 2015 MO-INS $472,089
American Family Mutual Insurance Co. American Family Insurance insurance violation 2016 MO-INS $7,000
American Family Mutual Insurance Company American Family Insurance insurance violation 2009 ND-INS $5,000
Austin Mutual Insurance Company American Family Insurance insurance violation 2014 ND-INS $10,000
American Family Mutual Insurance Company American Family Insurance insurance violation 2016 NE-DOI $15,000
American Family Insurance Company American Family Insurance insurance violation 2018 NE-DOI $15,000
Permanent General Assurance Corporation American Family Insurance insurance violation 2014 NY-DFS $75,000
American Family Mutual Insurance Company American Family Insurance insurance violation 2003 OR-FIN $10,000
American Family Mutual Insurance Company American Family Insurance insurance violation 2008 OR-FIN $6,500
Homesite Insurance Company American Family Insurance insurance violation 2013 RI-FIN $5,000
The General Automobile Insurance Company Inc. American Family Insurance insurance violation 2018 TX-INS $100,000
Permanent General Assurance Corporation American Family Insurance insurance violation 2018 TX-INS $70,000
American Family Mutual Insurance Company American Family Insurance insurance violation 2018 UT-INS $39,400
HOMESITE INSURANCE COMPANY American Family Insurance insurance violation 2010 VA-INS $126,252
HOMESITE INSURANCE COMPANY American Family Insurance insurance violation 2016 VA-INS $94,986
THE GENERAL AUTOMOBILE INSURANCE CO. American Family Insurance insurance violation 2018 VA-INS $66,996
General Automobile Insurance Company, Inc American Family Insurance insurance violation 2019 VA-INS $27,624
Permanent General Assurance Corporation American Family Insurance insurance violation 2019 VT-FIN $11,000
Homesite Insurance Company American Family Insurance insurance violation 2020 VT-FIN $31,000
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
Homesite Insurance Company Of The Midwest American Family Insurance insurance violation 2011 WA-INS $12,000
American Family Mutual Insurance Company S.I. American Family Insurance insurance violation 2011 WA-INS $20,000
Homesite Insurance Company Of The Midwest American Family Insurance insurance violation 2012 WA-INS $30,000
American Family Mutual Insurance Company S.I. American Family Insurance insurance violation 2013 WA-INS $10,000
American Family Mutual Insurance Company S.I. American Family Insurance insurance violation 2015 WA-INS $10,000
American Family Mutual Insurance Company S.I. American Family Insurance insurance violation 2016 WA-INS $15,000
American Family Connect Property And Casualty Insurance Company American Family Insurance insurance violation 2016 WA-INS $10,000
Permanent General Assurance Corporation American Family Insurance insurance violation 2016 WA-INS $5,000
American Family Mutual Insurance Company S.I. American Family Insurance insurance violation 2018 WA-INS $10,000
Homesite Insurance Company Of The Midwest American Family Insurance insurance violation 2019 WA-INS $15,000
American Family Connect Property And Casualty Insurance Company American Family Insurance insurance violation 2019 WA-INS $7,500
Austin Mutual Insurance Co. American Family Insurance insurance violation 2007 WI-INS $8,000
Homesite Insurance Group American Family Insurance insurance violation 2016 MULTI-FIN $500,000
AMERICAN FAMILY INSURANCE American Family Insurance workplace safety or health violation 2012 OSHA $12,500
Permanent General Assurance Corp. American Family Insurance insurance violation 2020 MO-INS $15,000
Brothers Property Corporation American Financial Group wage and hour violation 2006 WHD $29,273
Great American Insurance Co. American Financial Group insurance violation 2009 MA-AG $176,000
Great American Life American Financial Group insurance violation 2016 MULTI-AG $400,000
Great American Life Insurance Company American Financial Group insurance violation 2009 MN-AG $50,000,000
Great American Financial Resources, Inc. American Financial Group wage and hour violation 2019 private lawsuit-federal $1,250,000
GREAT AMERICAN ALLIANCE INSURANCE COMPANY American Financial Group insurance violation 2001 FL-OFR $5,500
GREAT AMERICAN ASSURANCE COMPANY American Financial Group insurance violation 2001 FL-OFR $12,500
Great American Insurance Co. American Financial Group insurance violation 2017 KS-INS $13,000
National Interstate Insurance Co. American Financial Group insurance violation 2011 MO-INS $43,000
Great American Alliance Insurance Co. American Financial Group insurance violation 2014 MO-INS $33,000
Great American Insurance Company of New York American Financial Group insurance violation 2014 MO-INS $23,000
National Interstate Insurance Company American Financial Group insurance violation 2015 NY-DFS $90,000
Great American Life Insurance Company American Financial Group insurance violation 2002 OR-FIN $10,000
Great American Insurance Company of New York American Financial Group insurance violation 2005 OR-FIN $5,000
Great American Alliance Insurance Company American Financial Group insurance violation 2004 PA-INS $16,000
Great American Assurance Company American Financial Group insurance violation 2004 PA-INS $25,000
Great American Insurance Company of New York American Financial Group insurance violation 2004 PA-INS $17,500
Great American Insurance Company American Financial Group insurance violation 2004 PA-INS $20,000
Great American Spirit Insurance Company American Financial Group insurance violation 2004 PA-INS $25,000
Great American Insurance Company American Financial Group insurance violation 2005 PA-INS $150,000
Great American Assurance Co. et al. American Financial Group insurance violation 2011 TX-INS $195,000
National Interstate Insurance Company American Financial Group insurance violation 2013 TX-INS $23,000
Great American Alliance Insurance Company American Financial Group insurance violation 2014 TX-INS $7,500
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