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
New Hampshire Insurance Company American International Group insurance violation 2014 TX-INS $89,000
Illinois National Insurance Company American International Group insurance violation 2015 TX-INS $8,000
AIG Property Casualty Company American International Group insurance violation 2015 TX-INS $8,500
Commerce and Industry Insurance Company American International Group insurance violation 2015 TX-INS $34,000
New Hampshire Insurance Company American International Group insurance violation 2015 TX-INS $19,500
American Home Assurance Company American International Group insurance violation 2015 TX-INS $90,000
New Hampshire Insurance Company American International Group insurance violation 2015 TX-INS $34,000
New Hampshire Insurance Company American International Group insurance violation 2015 TX-INS $7,000
New Hampshire Insurance Company American International Group insurance violation 2015 TX-INS $8,500
Commerce and Industry Insurance Company American International Group insurance violation 2015 TX-INS $15,000
New Hampshire Insurance Company American International Group insurance violation 2016 TX-INS $12,500
American Home Assurance Company American International Group insurance violation 2016 TX-INS $20,000
Commerce and Industry Insurance Company American International Group insurance violation 2016 TX-INS $12,500
The Insurance Company of the State of Pennsylvania American International Group insurance violation 2016 TX-INS $18,000
Granite State Insurance Company American International Group insurance violation 2016 TX-INS $10,200
Illinois National Insurance Co American International Group insurance violation 2016 TX-INS $24,250
AIG Assurance Company American International Group insurance violation 2016 TX-INS $51,750
AIG Property Casualty Company American International Group insurance violation 2016 TX-INS $55,800
AIU Insurance Company American International Group insurance violation 2016 TX-INS $27,180
American Home Assurance Company American International Group insurance violation 2016 TX-INS $9,000
New Hampshire Insurance Company American International Group insurance violation 2016 TX-INS $6,000
New Hampshire Insurance Company American International Group insurance violation 2017 TX-INS $5,000
The Insurance Company of the State of Pennsylvania American International Group insurance violation 2017 TX-INS $44,000
The Insurance Company of the State of Pennsylvania American International Group insurance violation 2017 TX-INS $5,300
New Hampshire Insurance Company American International Group insurance violation 2017 TX-INS $38,000
Insurance Company of the State of Pennsylvania American International Group insurance violation 2018 TX-INS $8,500
Granite State Insurance Company American International Group insurance violation 2018 TX-INS $22,000
Commerce and Industry Insurance Company American International Group insurance violation 2018 TX-INS $20,000
The Insurance Company of the State of Pennsylvania American International Group insurance violation 2018 TX-INS $8,400
New Hampshire Insurance Company American International Group insurance violation 2019 TX-INS $7,500
New Hampshire Insurance Company American International Group insurance violation 2019 TX-INS $30,000
The Insurance Company of the State of Pennsylvania American International Group insurance violation 2019 TX-INS $9,000
AMERICAN GENERAL LIFE American International Group insurance violation 2001 VA-INS $14,000
SUNAMERICA SECURITIES, INC. American International Group investor protection violation 2006 VA-SEC $10,000
AMERICAN HOME ASSURANCE ET AL. American International Group insurance violation 2007 VA-INS $5,000
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
National Union Fire Insurance Company of Pittsburgh, Pa American International Group insurance violation 2021 KS-INS $5,000
New Hampshire Insurance Co. American International Group insurance violation 2021 TX-INS $6,200
New Hampshire Insurance Co. American International Group insurance violation 2021 TX-INS $7,500
Insurance Company of the State of Pennsylvania American International Group insurance violation 2021 TX-INS $9,000
New Hampshire Insurance Co. American International Group insurance violation 2021 TX-INS $15,000
New Hampshire Insurance Co. American International Group insurance violation 2021 TX-INS $6,000
AMERICAN INTERNATIONAL GROUP American International Group workplace safety or health violation 2003 OSHA $5,900
Brothers Property Corporation American Financial Group wage and hour violation 2006 WHD $29,273
Great American Insurance Co. American Financial Group insurance violation 2009 MA-AG $176,000
Great American Financial Resources, Inc. American Financial Group wage and hour violation 2019 private lawsuit-federal $1,250,000
GREAT AMERICAN ALLIANCE INSURANCE COMPANY American Financial Group insurance violation 2001 FL-OFR $5,500
GREAT AMERICAN ASSURANCE COMPANY American Financial Group insurance violation 2001 FL-OFR $12,500
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 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
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)