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
AMERICAN BANKERS LIFE Assurant insurance violation 2007 VA-INS $97,000
UNION SECURITY LIFE INSURANCE Assurant insurance violation 2007 VA-INS $27,000
Virginia Surety Company Inc Assurant insurance violation 2010 WA-INS $12,000
American Bankers Insurance Company Of Florida Assurant insurance violation 2011 WA-INS $170,000
American Bankers Insurance Group Inc. Assurant insurance violation 2001 MULTI-FIN $3,000,000
Assurant Inc. Assurant insurance violation 2016 MULTI-FIN $80,217,000
Virginia Surety Company Inc. Assurant insurance violation 2013 MULTI-FIN $200,000
The Signal, LP, an Assurant Company Assurant insurance violation 2020 NY-DFS $2,800,000
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
Generali U.S. Branch Assicurazioni Generali insurance violation 2017 MULTI-FIN $492,000
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
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
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
Arab Banking Corp. Arab Banking Corp. economic sanction violation 2004 OFAC $5,500
Aon Corporation Aon Foreign Corrupt Practices Act 2011 DOJ_CRIMINAL $1,760,000
Aon Corporation Aon Foreign Corrupt Practices Act 2011 SEC $14,545,020
Hewitt Associates LLC Aon wage and hour violation 2010 WHD $48,103
AON Consulting Corporation Inc Aon wage and hour violation 2004 WHD $47,131
Aon Aon wage and hour violation 2011 private lawsuit-state $10,500,000
Hewitt Associates Aon wage and hour violation 2009 private lawsuit-federal $4,900,000
Aon Corporation Aon benefit plan administrator violation 2010 private lawsuit-federal $1,800,000
Aon Corp. Aon consumer protection violation 2008 FL-AG $4,000,000
Aon Corporation Aon price-fixing or anti-competitive practices 2005 MULTI-AG $190,000,000
AON SERVICE CORPORATION Aon wage and hour violation 2017 WHD $7,406
Aon Risk Services Inc. of Washington Aon insurance violation 2002 AK-INS $5,000
Aon Risk Services Inc. of Pennsylvania Aon insurance violation 2005 MA-INS $19,000
Aon Risk Services Northeast Aon insurance violation 2014 MA-INS $15,000
AON Risk Services Inc Aon insurance violation 2004 NJ-DBI $10,000
Affinity Insurance Services Inc. Aon insurance violation 2004 PA-INS $5,000
Affinity Insurance Services Inc. Aon insurance violation 2006 PA-INS $40,000
Aon Risk Services Central Inc. Aon insurance violation 2008 PA-INS $5,000
Aon Hewitt Health Market Insurance Solutions, Inc. Aon wage and hour violation 2021 private lawsuit-federal $1,250,000
AmTrust Financial Services Inc. AmTrust Financial Services investor protection violation 2020 SEC $10,300,000
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
Amica Mutual Insurance Company Amica Mutual Insurance insurance violation 2018 TX-INS $10,000
AMICA MUTUAL INSURANCE COMPANY Amica Mutual Insurance insurance violation 2002 VA-INS $14,000
Amica Mutual Insurance Company Amica Mutual Insurance insurance violation 2018 WA-INS $20,000
Amica Mutual Insurance Co. Amica Mutual Insurance insurance violation 2020 TX-INS $120,000
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
Ameritas Investment Company LLC Ameritas Mutual Holding Company investor protection violation 2020 PA-BKG $100,000
Ameritas Life Insurance Corp. Ameritas Mutual Holding Company insurance violation 2020 TN-INS $30,000
Ameritas Investment Corp. Ameritas Mutual Holding Company investor protection violation 2015 FINRA $278,544
Ameritas Investment Corp. Ameritas Mutual Holding Company investor protection violation 2009 FINRA $100,000
Ameritas Investment Corp. Ameritas Mutual Holding Company investor protection violation 2021 SD-SEC $20,000
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-DFPI $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
AmeriSave Mortgage Corporation AmeriSave Mortgage privacy violation 2020 private lawsuit-federal $6,250,000
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
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)