Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$332,924,888,663
Number of Records: 
6,731
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$82,885,116,051259
JPMorgan Chase$35,851,377,155190
Citigroup$25,535,002,360154
Wells Fargo$21,428,596,719217
Deutsche Bank$18,341,457,30276
UBS$16,845,624,16097
Goldman Sachs$16,381,931,83964
NatWest Group PLC$13,477,129,00031
BNP Paribas$12,147,863,95019
Credit Suisse$10,447,392,62644


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
AIU INSURANCE COMPANY ET AL. American International Group insurance violation 2008 VA-INS $100,000
AIG CASUALTY INSURANCE CO., ET AL. American International Group insurance violation 2008 VA-INS $10,000
NATIONAL UNION FIRE INSURANCE American International Group insurance violation 2011 VA-INS $40,000
National Union Fire Insurance Company of Pittsburgh, PA American International Group insurance violation 2011 VA-INS $10,000
National Union Fire Insurance Company of Pittsburgh, PA American International Group insurance violation 2011 VA-INS $10,000
GRANITE STATE INSURANCE CO. American International Group insurance violation 2012 VA-INS $19,560
COMMERCE & INDUSTRY INSURANCE American International Group insurance violation 2012 VA-INS $44,518
AIU INSURANCE COMPANY American International Group insurance violation 2012 VA-INS $31,900
AMERICAN HOME ASSURANCE CO. American International Group insurance violation 2012 VA-INS $15,000
NATIONAL UNION FIRE INSURANCE American International Group insurance violation 2014 VA-INS $8,000
GRANITE STATE INSURANCE CO. American International Group insurance violation 2018 VA-INS $152,318
National Union Fire Insurance Company of Pittsburgh, Pennsylvania American International Group insurance violation 2019 VA-INS $28,806
National Union Fire Insurance Company Of Pittsburgh, Pa American International Group insurance violation 2010 WA-INS $100,000
National Union Fire Insurance Company Of Pittsburgh, Pa American International Group insurance violation 2010 WA-INS $40,000
National Union Fire Insurance Company Of Pittsburgh, Pa American International Group insurance violation 2010 WA-INS $55,000
National Union Fire Insurance Company Of Pittsburgh, Pa American International Group insurance violation 2015 WA-INS $300,000
National Union Fire Insurance Company Of Pittsburgh, Pa American International Group insurance violation 2015 WA-INS $110,000
National Union Fire Insurance Company Of Pittsburgh, Pa American International Group insurance violation 2015 WA-INS $200,000
AIG Assurance Company et al. American International Group insurance violation 2017 WA-INS $25,000
American General Life Insurance Company American International Group insurance violation 2020 WA-INS $10,000
AIG Warranty Guard, Inc. American International Group insurance violation 2000 WI-INS $100,000
National Union Fire Insurance Company of Pittsburgh, PA American International Group insurance violation 2000 WI-INS $15,000
AIG Warranty Guard, Inc. American International Group insurance violation 2003 WI-INS $50,000
National Union Fire Ins Co. of Pittsburgh American International Group insurance violation 2003 WI-INS $10,000
National Union Fire Ins Co. of Pittsburgh American International Group insurance violation 2003 WI-INS $5,000
National Union Fire Ins Co. of Pittsburgh American International Group insurance violation 2003 WI-INS $10,000
American General Life Insurance Company of Delaware American International Group insurance violation 2012 WI-INS $40,000
American General American International Group insurance violation 2000 MULTI-FIN $7,500,000
American International Group American International Group insurance violation 2010 MULTI-FIN $146,500,000
American International Group American International Group insurance violation 2012 MULTI-FIN $11,000,000
National Union Fire Insurance Company of Pittsburgh, PA American International Group insurance violation 2012 MULTI-FIN $39,000,000
National Union Fire Insurance Company of Pittsburgh, PA American International Group insurance violation 2020 CT-INS $106,000
VALIC Financial Advisors Inc. American International Group investor protection violation 2020 SEC $39,900,000
New Hampshire Insurance Co. American International Group insurance violation 2020 TX-INS $7,000
New Hampshire Insurance Co. American International Group insurance violation 2020 TX-INS $16,500
New Hampshire Insurance Co. American International Group insurance violation 2020 TX-INS $9,500
New Hampshire Insurance Co. American International Group insurance violation 2020 TX-INS $5,500
National Union Fire Insurance Company of Pittsburgh, PA. et al. American International Group insurance violation 2020 WA-INS $20,000
American General Life Insurance American International Group discriminatory practices (non-employment) 2000 private lawsuit-federal $214,000,000
AIG Property Casualty Company American International Group insurance violation 2020 NY-DFS $583,900
NEW HAMPSHIRE INSURANCE COMPANY American International Group insurance violation 2020 WA-INS $15,000
American International Group American International Group insurance violation 2021 NY-DFS $12,000,000
VALIC Financial Advisors, Inc. American International Group investor protection violation 2016 FINRA $1,750,000
SunAmerica Securities, Inc. American International Group investor protection violation 2009 FINRA $300,000
SunAmerica Securities, Inc. American International Group investor protection violation 2005 FINRA $2,500,000
SunAmerica Securities, Inc. American International Group investor protection violation 2004 FINRA $100,000
American General Life Insurance Company American International Group insurance violation 2020 CT-INS $10,000
AMERICAN INTERNATIONAL GROUP American International Group workplace safety or health violation 2003 OSHA $5,900
American National Insurance Co. American National Insurance consumer protection violation 2007 TX-AG $6,500,000
American National Insurance Co. American National Insurance insurance violation 2017 DE-INS $8,000
American National Property & Casualty Co. American National Insurance insurance violation 2005 FL-OFR $7,500
American National Life Insurance Company of Texas American National Insurance insurance violation 2011 MD-INS $8,000
American National Property and Casualty Co. American National Insurance insurance violation 2017 MN-FIN $5,000
American National Insurance Company American National Insurance insurance violation 2015 ND-INS $275,000
Standard Life and Accident Insurance Company American National Insurance insurance violation 2015 NE-DOI $5,000
Standard Life & Accident Insurance Company American National Insurance insurance violation 2016 SD-INS $10,000
AMERICAN NATIONAL INSURANCE CO. et al. American National Insurance insurance violation 2002 VA-INS $103,200
AMERICAN NATIONAL INSURANCE American National Insurance insurance violation 2006 VA-INS $22,000
American National General Insurance Company American National Insurance insurance violation 2012 WA-INS $10,000
American National Insurance Company American National Insurance insurance violation 2004 MULTI-FIN $250,000
American National Property and Casualty Co. American National Insurance insurance violation 2020 OR-FIN $20,000
AMERICAN NATIONAL PROPERTY AND CASUALTY COMPANY American National Insurance insurance violation 2021 WA-INS $5,000
American-Amicable Life Insurance Company American-Amicable Group insurance violation 2006 MULTI-FIN $60,000,000
Allied Home Mortgage Capital Corporation Americus Mortgage consumer protection violation 2003 HUD $370,000
Allied Home Mortgage Capital Corporation Americus Mortgage wage and hour violation 2006 WHD $14,479
Allied Home Mortgage Capital Corporation Americus Mortgage wage and hour violation 2006 WHD $1,800,282
Allied Home Mortgage Capital Corporation Americus Mortgage wage and hour violation 2006 WHD $30,928
Allied Home Mortgage Capital Corporation Americus Mortgage wage and hour violation 2005 WHD $9,830
Allied Home Mortgage Americus Mortgage wage and hour violation 2004 WHD $14,037
Allied Home Mortgage Americus Mortgage fraud 2017 USAO $296,298,325
Allied Home Mortgage Capital Corp. Americus Mortgage investor protection violation 2009 AR-SEC $10,000
Allied Home Mortgage Corp. Americus Mortgage consumer protection violation 2012 IL-BKG $7,500
Allied Home Mortgage Capital Corp. Americus Mortgage consumer protection violation 2009 KY-FIN $5,740
Allied Home Mortgage Capital Corporation Americus Mortgage consumer protection violation 2009 NY-DFS $10,000
Allied Home Mortgage Capital Corporation Americus Mortgage consumer protection violation 2009 PA-BKG $8,000
Allied Home Mortgage Corporation et al. Americus Mortgage consumer protection violation 2012 PA-BKG $10,000
ALLIED HOME MORTGAGE CAPITAL Americus Mortgage consumer protection violation 2008 VA-FIN $5,000
ALLIED HOME MORTGAGE CAPITAL Americus Mortgage consumer protection violation 2010 VA-FIN $25,000
Investment Professionals Inc. Ameriprise Financial investor protection violation 2014 SEC $67,800
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2009 SEC $17,300,000
Ameriprise Financial, Inc. Ameriprise Financial investor protection violation 2005 SEC $15,000,000
Ameriprise Financial, Inc. Ameriprise Financial investor protection violation 2005 SEC $30,000,000
Columbia Management Advisors Inc. and Columbia Funds Distributor Inc. Ameriprise Financial investor protection violation 2005 SEC $140,000,000
American Express Financial Advisors Inc. Ameriprise Financial investor protection violation 2004 SEC $3,706,693
Ameriprise Financial, Inc. Ameriprise Financial employment discrimination 2016 OFCCP $128,200
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2017 SEC $8,750,000
Columbia Management Investment Services Corp. Ameriprise Financial investor protection violation 2017 SEC $250,000
Ameriprise Financial Services Ameriprise Financial investor protection violation 2018 SEC $230,000
Ameriprise Financial Ameriprise Financial wage and hour violation 2011 private lawsuit-federal $185,000
Ameriprise Financial Services Inc. Ameriprise Financial investor protection violation 2018 SEC $4,500,000
American Express Financial Advisors Ameriprise Financial employment discrimination 2002 private lawsuit-federal $31,000,000
Ameriprise Financial, Inc. Ameriprise Financial benefit plan administrator violation 2015 private lawsuit-federal $27,500,000
American Express Financial Advisors Inc. Ameriprise Financial investor protection violation 2005 NJ-AG $5,000,000
Ameriprise Financial Services, Inc. Ameriprise Financial consumer protection violation 2009 MA-AG $200,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2018 NJ-AG $375,000
Ameriprise Group Ameriprise Financial insurance violation 2017 MULTI-AG $1,500,000
American Express Financial Advisors Ameriprise Financial investor protection violation 2000 AZ-SEC $125,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2005 AZ-SEC $1,000,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2006 AZ-SEC $1,250,000
RiverSource Life Insurance Co. Ameriprise Financial insurance violation 2015 CA-INS $800,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2018 CA-DFPI $115,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)