« Return to search form

Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$333,568,388,571
Number of Records: 
6,826
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$82,896,776,051261
JPMorgan Chase$35,851,437,155191
Citigroup$25,535,002,360154
Wells Fargo$21,678,596,719218
Deutsche Bank$18,341,457,30276
UBS$16,853,736,33498
Goldman Sachs$16,381,931,83964
NatWest Group PLC$13,477,129,00031
BNP Paribas$12,147,863,95019
Credit Suisse$10,448,892,62645


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
Arch Insurance Company Arch Capital consumer protection violation 2010 MD-AG $460,000
Arch Insurance Co. Arch Capital insurance violation 2019 ID-INS $5,000
Arch Insurance Co. Arch Capital insurance violation 2016 MO-INS $145,000
Arch Insurance Co. Arch Capital insurance violation 2013 MT-INS $29,075
Arch Insurance Company Arch Capital insurance violation 2019 NY-DFS $5,000,000
Arch Insurance Company Arch Capital insurance violation 2010 TX-INS $14,000
Arch Insurance Company Arch Capital insurance violation 2012 TX-INS $26,500
Arch Insurance Company Arch Capital insurance violation 2014 TX-INS $40,143
Arch Insurance Company Arch Capital insurance violation 2014 TX-INS $10,000
Arch Insurance Company Arch Capital insurance violation 2015 TX-INS $19,000
Arch Insurance Company Arch Capital insurance violation 2016 TX-INS $32,500
Arch Insurance Company Arch Capital insurance violation 2017 TX-INS $5,000
Arch Insurance Company Arch Capital insurance violation 2018 TX-INS $7,000
Arch Indemnity Insurance Company Arch Capital insurance violation 2019 TX-INS $10,250
Arch Insurance Company Arch Capital insurance violation 2019 VA-INS $26,447
Arch Insurance Company Arch Capital insurance violation 2011 WA-INS $20,000
Arch Insurance Company Arch Capital insurance violation 2017 MULTI-FIN $1,017,000
Arch Insurance Co. Arch Capital insurance violation 2020 WA-INS $10,000
Arch Insurance Co. Arch Capital insurance violation 2021 TX-INS $6,000
Arch Insurance Co. Arch Capital insurance violation 2021 TX-INS $69,000
Friedman, Billings, Ramsey & Co., Inc. Arlington Asset Investment Corp. insider trading 2006 SEC $3,755,839
Friedman, Billings, Ramsey & Co., Inc. Arlington Asset Investment Corp. investor protection violation 2004 SEC $125,000
First NLC Arlington Asset Investment Corp. wage and hour violation 2007 private lawsuit-federal $14,000,000
Friedman, Billings, Ramsey & Co., Inc. Arlington Asset Investment Corp. investor protection violation 2008 FINRA $50,000
Friedman, Billings, Ramsey & Co., Inc. Arlington Asset Investment Corp. investor protection violation 2006 FINRA $4,000,000
Arthur J. Gallagher Arthur J. Gallagher & Co. wage and hour violation 2011 private lawsuit-federal $3,900,000
Arthur J. Gallagher & Co. Arthur J. Gallagher & Co. consumer protection violation 2005 IL-AG $27,000,000
Gallagher Benefit Services, Inc. Arthur J. Gallagher & Co. insurance violation 2014 NJ-DBI $5,000
Arthur J. Gallagher Risk Management Services, Inc. Arthur J. Gallagher & Co. insurance violation 2018 TX-INS $6,300
Arthur J. Gallagher Risk Management Services, Inc. Arthur J. Gallagher & Co. insurance violation 2020 TX-INS $7,025
Arthur J. Gallagher Risk Management Services, Inc. Arthur J. Gallagher & Co. insurance violation 2020 TX-INS $9,675
Arthur J. Gallagher Risk Management Services, Inc. Arthur J. Gallagher & Co. insurance violation 2020 NY-DFS $300,800
Arthur J. Gallagher Risk Management Services, Inc. Arthur J. Gallagher & Co. insurance violation 2020 NY-DFS $39,750
Generali U.S. Branch Assicurazioni Generali insurance violation 2017 MULTI-FIN $492,000
Associated Bank, N.A. Associated Banc-Corp discriminatory practices (non-employment) 2015 HUD $200,000,000
Associated Banc-Corp Associated Banc-Corp wage and hour violation 2012 private lawsuit-federal $1,275,000
Assurant Inc. Assurant accounting fraud or deficiencies 2010 SEC $3,500,000
American Bankers Insurance Co. Assurant consumer protection violation 2006 MA-AG $20,000
American Security Insurance Co. Assurant consumer protection violation 2017 MA-AG $6,300,000
American Security Insurance Co. Assurant consumer protection violation 2015 MA-AG $565,000
American Security Insurance Co. Assurant consumer protection violation 2019 MS-AG $767,394
Union Security Insurance Company Assurant consumer protection violation 2007 MA-AG $28,000
Union Security Life Insurance Co Assurant consumer protection violation 2000 MA-AG $1,000,000
American Security Insurance Company Assurant employment discrimination 2020 EEOC $49,000
American Bankers Insurance Company of Florida Assurant insurance violation 2011 AZ-INS $36,000
John Alden Life Insurance Co. Assurant insurance violation 2013 AZ-INS $90,000
Union Security Insurance Co. Assurant insurance violation 2013 AZ-INS $40,000
American Bankers Insurance Company of Florida et al. Assurant insurance violation 2004 CA-INS $150,000
American Bankers Insurance Company of Florida et al. Assurant insurance violation 2005 CA-INS $250,000
American Bankers Life Assurance Company of Florida et al. Assurant insurance violation 2008 CA-INS $750,000
John Alden Life Insurance Co. Assurant insurance violation 2012 CO-INS $86,500
Assurant Health Assurant insurance violation 2008 CT-INS $2,100,000
American Bankers Insurance Company of Florida Assurant insurance violation 2020 CT-INS $198,000
STANDARD GUARANTY INSURANCE COMPANY Assurant insurance violation 2001 FL-OFR $6,000
Fortis Insurance Co. Assurant insurance violation 2007 FL-OFR $11,000
American Bankers Life Assurance Company of Florida Assurant insurance violation 2011 IL-INS $15,000
American Bankers Insurance Company of Florida Assurant insurance violation 2007 IN-INS $87,500
American Bankers Insurance Company of Florida Assurant insurance violation 2001 MA-INS $65,000
American Security Insurance Co. et al. Assurant insurance violation 2017 MD-INS $25,000
John Alden Life Insurance Co. Assurant insurance violation 2004 ME-INS $5,000
John Alden Life Insurance Co. Assurant insurance violation 2004 ME-INS $5,000
John Alden Life Insurance Co. Assurant insurance violation 2004 ME-INS $20,000
Fortis Insurance Co. and Fortis Benefits Insurance Co. Assurant insurance violation 2001 MN-FIN $5,000
Fortis Insurance Co. and John Alden Life Insurance Co. Assurant insurance violation 2002 MN-FIN $10,000
Fortis Insurance Co. and John Alden Life Insurance Co. Assurant insurance violation 2002 MN-FIN $75,000
American Bankers Insurance Company of Florida Assurant insurance violation 2003 MN-FIN $100,000
American Bankers Life Assurance Company of Florida Assurant insurance violation 2003 MN-FIN $100,000
Fortis Insurance Co. Assurant insurance violation 2004 MN-FIN $5,000
John Alden Life Insurance Co. Assurant insurance violation 2004 MN-FIN $5,000
Fortis Insurance Co. Assurant insurance violation 2005 MN-FIN $7,500
Fortis Insurance Co. Assurant insurance violation 2005 MN-FIN $10,000
American Security Insurance Company Assurant insurance violation 2013 MN-FIN $5,000
American Security Insurance Company et al. Assurant insurance violation 2016 MN-FIN $5,000,000
American Bankers Life Assurance Company of Florida Assurant insurance violation 2018 MO-INS $37,500
American Bankers Insurance Company of Florida Assurant insurance violation 2018 MO-INS $37,500
Fortis Insurance Co. et al. Assurant insurance violation 2004 MT-INS $70,000
Fortis Insurance Co. Assurant insurance violation 2004 MT-INS $65,000
John Alden Life Insurance Co. Assurant insurance violation 2010 MT-INS $175,000
John Alden Life Insurance Co. and Time Insurance Co. Assurant insurance violation 2015 MT-INS $1,699,709
John Alden Life Insurance Company Assurant insurance violation 2008 NH-INS $450,000
Virginia Surety Company Inc. Assurant insurance violation 2010 NH-INS $20,000
American Security Insurance Co. et al. Assurant insurance violation 2005 NJ-DBI $1,775,000
Assurant, Inc. Assurant insurance violation 2013 NY-DFS $14,000,000
Virginia Surety Company, Inc. Assurant insurance violation 2015 NY-DFS $10,000
Fortis Insurance Company Assurant insurance violation 2002 OR-FIN $42,500
American Bankers Insurance Company of Florida Assurant insurance violation 2002 OR-FIN $30,000
Fortis Insurance Company Assurant insurance violation 2003 OR-FIN $20,000
John Alden Life Insurance Company Assurant insurance violation 2007 OR-FIN $10,000
Virginia Surety Company, Inc. Assurant insurance violation 2007 OR-FIN $6,100
Virginia Surety Company, Inc. Assurant insurance violation 2008 OR-FIN $25,000
Virginia Surety Company, Inc. Assurant insurance violation 2009 OR-FIN $10,000
Union Security Insurance Company Assurant insurance violation 2015 SD-INS $7,500
American Memorial Life Insurance Company Assurant insurance violation 2016 SD-INS $5,000
Union Security Insurance Company Assurant insurance violation 2016 SD-INS $35,000
Virginia Surety Company, Inc. Assurant insurance violation 2008 TX-INS $7,000
Virginia Surety Company Inc. Assurant insurance violation 2011 TX-INS $200,000
American Bankers Insurance Company of Florida Assurant insurance violation 2017 TX-INS $35,000
AMERICAN BANKERS LIFE ASSURANCE OF FLORIDA Assurant insurance violation 2001 VA-INS $15,000
FORTIS INSURANCE COMPANY Assurant insurance violation 2001 VA-INS $57,000
FORTIS INSURANCE CO., ET AL. Assurant insurance violation 2002 VA-INS $27,000
AMERICAN BANKERS INSURANCE Assurant insurance violation 2006 VA-INS $45,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)