Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$323,889,987,491
Number of Records: 
5,839
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$82,695,676,034210
JPMorgan Chase$34,517,828,993151
Citigroup$25,045,655,764120
Wells Fargo$21,139,073,231172
Deutsche Bank$17,995,700,77855
UBS$16,782,800,91082
Royal Bank of Scotland$13,455,904,00027
Goldman Sachs$13,140,380,98740
BNP Paribas$12,132,332,95016
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.
Download results as CSV or XML
Company Parentsort icon Primary Offense Type Year Agency Penalty Amount
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-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-DBO $115,000
RiverSource Life Insurance Co. Ameriprise Financial insurance violation 2018 DE-INS $75,000
RiverSource Life Insurance Co. Ameriprise Financial insurance violation 2011 FL-OFR $10,500
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2008 IL-SEC $1,449,384
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2009 KY-FIN $983,984
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2013 MA-SEC $400,000
Investment Professionals, Inc. Ameriprise Financial investor protection violation 2017 MA-SEC $100,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2013 MD-SEC $50,000
American Express Financial Advisors, Inc. Ameriprise Financial investor protection violation 2002 MN-FIN $5,000
American Express Financial Advisors, Inc. Ameriprise Financial investor protection violation 2005 MN-FIN $2,000,000
Investment Professionals, Inc. Ameriprise Financial investor protection violation 2009 MO-SEC $52,500
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2008 MS-SEC $150,000
Ameriprise Financial Services Inc. Ameriprise Financial consumer protection violation 2013 NE-DBF $10,000
American Express Financial Advisors Inc. Ameriprise Financial investor protection violation 2005 NH-BSR $7,375,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2008 NH-BSR $3,400,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2014 NH-BSR $90,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2016 NH-BSR $30,800
Investment Professionals Inc. Ameriprise Financial insurance violation 2014 NY-DFS $10,000
Ameriprise Advisor Services Inc. Ameriprise Financial investor protection violation 2009 RI-FIN $48,411
Ameriprise Financial Services Inc. Ameriprise Financial investor protection violation 2018 SC-SEC $650,000
American Express Financial Advisors Inc. Ameriprise Financial investor protection violation 2000 TX-SEC $9,000
AMERIPRISE FINANCIAL SERVICES Ameriprise Financial investor protection violation 2008 VA-SEC $780,000
AMERIPRISE FINANCIAL SERVICES, INC. Ameriprise Financial investor protection violation 2016 VA-SEC $14,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2016 WA-FIN $55,000
Ameriprise Financial Services Inc. Ameriprise Financial investor protection violation 2009 MULTI-FIN $720,000
RiverSource Life Insurance Company Ameriprise Financial insurance violation 2016 MULTI-FIN $1,500,000
Amerisave Mortgage Corporation and Novo Appraisal Management Company AmeriSave Mortgage consumer protection violation 2014 CFPB $19,300,000
Amerisave Mortgage Corp. AmeriSave Mortgage consumer protection violation 2017 CA-DBO $50,000
AmeriSave Mortgage Corp. AmeriSave Mortgage consumer protection violation 2009 KY-FIN $18,000
AmeriSave Mortgage Corp. AmeriSave Mortgage consumer protection violation 2019 KY-FIN $5,000
AmeriSave Mortgage Corp. AmeriSave Mortgage consumer protection violation 2010 MA-BKG $25,000
Amerisave Mortgage Corporation AmeriSave Mortgage consumer protection violation 2009 PA-BKG $50,000
Amerisave Mortgage Corporation AmeriSave Mortgage investor protection violation 2013 MULTI-FIN $2,300,000
Ameritas Investment Corp. Ameritas Mutual Holding Company investor protection violation 2015 SEC $200,000
Ameritas Life Insurance Corp Ameritas Mutual Holding Company wage and hour violation 2017 WHD $9,019
Ameritas Investment Corp. Ameritas Mutual Holding Company investor protection violation 2019 SEC $3,389,174
Ameritas Investment Corp. Ameritas Mutual Holding Company insurance violation 2019 CA-INS $15,000
Ameritas Life Insurance Corp. Ameritas Mutual Holding Company insurance violation 2019 CT-INS $5,000
Ameritas Investment Corp. Ameritas Mutual Holding Company investor protection violation 2014 IA-INS $10,000
Ameritas Investment Corp. Ameritas Mutual Holding Company investor protection violation 2008 NE-DBF $11,000
Ameritas Life Insurance Corp. Ameritas Mutual Holding Company insurance violation 2015 NJ-DBI $2,524,290
Ameritas Life Insurance Corp. of New York Ameritas Mutual Holding Company insurance violation 2015 NY-DFS $72,975
Ameritas Life Insurance Corp. Ameritas Mutual Holding Company insurance violation 2006 OR-FIN $5,000
Ameritas Investment Corporation Ameritas Mutual Holding Company investor protection violation 2003 TX-SEC $25,000
AMERITAS LIFE INSURANCE CORP Ameritas Mutual Holding Company insurance violation 2001 VA-INS $9,000
Ameritas Life Insurance Corp Ameritas Mutual Holding Company insurance violation 2017 WA-INS $10,000
Ameritas Life Insurance Corp Ameritas Mutual Holding Company insurance violation 2019 WA-INS $50,000
Amica Mutual Insurance Co. Amica Mutual Insurance consumer protection violation 2012 MA-AG $837,384
Amica Mutual Insurance Co. Amica Mutual Insurance insurance violation 2007 MA-INS $12,000
Amica Mutual Insurance Co. Amica Mutual Insurance insurance violation 2016 MD-INS $7,500
Amica Mutual Insurance Company Amica Mutual Insurance insurance violation 2018 NY-DFS $20,000
Download results as CSV or XML