« Return to search form

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
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
National Interstate Insurance Company American Financial Group insurance violation 2014 TX-INS $5,000
National Interstate Insurance Company American Financial Group insurance violation 2015 TX-INS $15,000
National Interstate Insurance Company American Financial Group insurance violation 2016 TX-INS $17,000
National Interstate Insurance Company American Financial Group insurance violation 2017 TX-INS $6,000
National Interstate Insurance Company American Financial Group insurance violation 2018 TX-INS $10,000
GREAT AMERICAN INSURANCE COMPANY ET AL American Financial Group insurance violation 2006 VA-INS $7,200
GREAT AMERICAN INSURANCE COMPANY ET AL American Financial Group insurance violation 2006 VA-INS $7,200
Great American Insurance Co. American Financial Group insurance violation 2004 WI-INS $5,000
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
AIG Federal Savings Bank and Wilmington Finance Inc. American International Group discriminatory practices (non-employment) 2010 DOJ_RIGHTS $6,100,000
AMERICAN INTERNATIONAL GROUP INC GROUP LIFE & MEDICAL INSURANCE PLAN American International Group benefit plan administrator violation 2005 EBSA $50,001
American International Group American International Group economic sanction violation 2017 OFAC $148,698
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 American International Group wage and hour violation 2009 MA-AG $900,000
American International Group American International Group False Claims Act and related 2008 MA-AG $218,920
American International Group American International Group False Claims Act and related 2007 MA-AG $58,500,000
American International Group American International Group price-fixing or anti-competitive practices 2006 NY-AG (*) $1,619,000,000
American International Group American International Group investor protection violation 2010 OH-AG $725,000,000
American International Group American International Group price-fixing or anti-competitive practices 2010 OH-AG $9,000,000
American International Group Inc. American International Group investor protection violation 2010 OR-AG $8,000,000
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
Insurance Company of the State of Pennsylvania American International Group False Claims Act and related 2016 NV-AG $300,000
The Insurance Company of the State of Pennsylvania American International Group consumer protection violation 2015 MA-AG $430,000
United States Life Insurance Company in the City of New York American International Group consumer protection violation 2011 MA-AG $760,000
American International Group, Inc. American International Group economic sanction violation 2014 OFAC $279,038
American General Life Insurance Company American International Group insurance violation 2020 MA-AG $363,000
American International Group et al. American International Group insurance violation 2002 CA-INS $411,500
New Hampshire Insurance Co. American International Group insurance violation 2012 CA-INS $142,500
National Union Fire Insurance Co. American International Group insurance violation 2013 CA-INS $5,991,132
Commerce and Industry Insurance Co. American International Group insurance violation 2005 CO-INS $6,000
AIG Property Casualty Co. American International Group insurance violation 2019 CT-INS $120,000
American General Life Insurance Co. American International Group insurance violation 2019 DE-INS $85,000
COMMERCE AND INDUSTRY INSURANCE COMPANY American International Group insurance violation 2001 FL-OFR $11,500
New Hampshire Insurance Co. American International Group insurance violation 2002 FL-OFR $5,400
American International Insurance Co. and AIG National Insurance Company, Inc. American International Group insurance violation 2003 FL-OFR $66,750
Illinois National Insurance Co. American International Group insurance violation 2003 FL-OFR $5,000
National Union Fire Insurance Company of Pittsburgh, PA American International Group insurance violation 2003 FL-OFR $62,250
American General Life and Accident Insurance Co. American International Group insurance violation 2006 FL-OFR $1,568,324
National Union Fire Insurance Company of Pittsburgh, PA American International Group insurance violation 2006 FL-OFR $12,100
American Home Assurance Co. American International Group insurance violation 2007 FL-OFR $25,500
National Union Fire Insurance Company of Pittsburgh, PA American International Group insurance violation 2007 FL-OFR $240,000
American General Life Insurance Co. American International Group insurance violation 2008 FL-OFR $260,000
American General Life Insurance Co. American International Group insurance violation 2018 FL-OFR $210,000
National Union Fire Insurance Company of Pittsburgh, Pa. American International Group insurance violation 2009 ID-INS $5,000
National Union Fire Insurance Company of Pittsburgh, Pa. American International Group insurance violation 2010 ID-INS $15,000
National Union Fire Insurance Company of Pittsburgh, PA American International Group insurance violation 2010 IN-INS $200,000
American General Life and Accident Insurance Co. American International Group insurance violation 2000 KS-INS $23,400
New Hampshire Insurance Co. American International Group insurance violation 2000 KS-INS $10,375
National Union Fire Insurance Company of Pittsburgh, Pennsylvania American International Group insurance violation 2000 KS-INS $10,375
American General Life Insurance Co. American International Group insurance violation 2016 KS-INS $15,000
AIG Claims, Inc. American International Group insurance violation 2018 LA-INS $11,000
New Hampshire Insurance Company American International Group insurance violation 2002 MA-INS $639,576
Insurance Company of the State of PA American International Group insurance violation 2002 MA-INS $124,532
AIU Insurance Company American International Group insurance violation 2002 MA-INS $365,615
American Home Assurance Company American International Group insurance violation 2002 MA-INS $64,546
American Home Assurance Company American International Group insurance violation 2003 MA-INS $12,500
American General Life and Accident Insurance Co. American International Group insurance violation 2011 MD-INS $7,000
United States Life Insurance Company In the City of New York American International Group insurance violation 2011 MD-INS $5,000
The United States Life Insurance Company In the City of New York American International Group insurance violation 2012 MD-INS $75,000
United States Life Insurance Company In the City of New York American International Group insurance violation 2014 MD-INS $25,000
AIG Property Casualty Co. American International Group insurance violation 2015 MD-INS $22,500
National Union Fire Insurance Company of Pittsburgh, PA American International Group insurance violation 2015 MD-INS $20,000
National Union Fire Insurance Company of Pittsburgh, PA American International Group insurance violation 2016 MD-INS $18,000
National Union Fire Insurance Company of Pittsburgh, Pennsylvania et al. American International Group insurance violation 2020 MD-INS $20,000
AIU Insurance Co. American International Group insurance violation 2010 ME-INS $11,111
American Home Assurance Co. American International Group insurance violation 2010 ME-INS $11,111
Commerce and Industry Insurance Co. American International Group insurance violation 2010 ME-INS $11,111
Granite State Insurance Co. American International Group insurance violation 2010 ME-INS $11,111
Illinois National Insurance Co. American International Group insurance violation 2010 ME-INS $11,111
The Insurance Company of the State of Pennsylvania American International Group insurance violation 2010 ME-INS $11,111
National Union Fire Insurance Company of Pittsburg, Pa. American International Group insurance violation 2010 ME-INS $11,111
New Hampshire Insurance Co. American International Group insurance violation 2010 ME-INS $11,111
National Union Fire Insurance Company of Pittsburgh, Pa. American International Group insurance violation 2001 MN-FIN $7,500
National Union Fire Insurance Company of Pittsburgh, Pa. American International Group insurance violation 2010 MN-FIN $100,000
National Union Fire Insurance Company of Pittsburgh, Pa. American International Group insurance violation 2012 MN-FIN $2,731,385
American General Life Insurance Co. American International Group insurance violation 2015 MN-FIN $10,000
American Home Assurance Co. et al. American International Group insurance violation 2015 MO-INS $1,250,000
New Hampshire Insurance Co. American International Group insurance violation 2018 MO-INS $11,000
National Union Fire Insurance Company of Pittsburgh, PA American International Group insurance violation 2010 NH-INS $100,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)