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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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 Current Parent CompaniesTotal Penalty $Number of Records
Bank of America$87,286,650,890328
JPMorgan Chase$39,340,688,209275
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,780,502,443203
BNP Paribas$10,363,464,66623

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.

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CompanyCurrent Parent sort iconPrimary Offense TypeYearAgencyPenalty Amount
XL Insurance America Inc.AXAinsurance violation2022TX-INS$5,000
XL Specialty Insurance CompanyAXAinsurance violation2022TX-INS$10,500
XL Specialty Insurance CompanyAXAinsurance violation2023TX-INS$22,500
XL Specialty Insurance CompanyAXAinsurance violation2023TX-INS$9,500
XL Insurance America Inc.AXAinsurance violation2023TX-INS$24,000
T.H.E. Insurance CompanyAXAinsurance violation2024TX-INS$10,000
Auto-Owners Insurance Co.Auto-Owners Insuranceinsurance violation2007CO-INS$5,000
Auto Owners Insurance Co.Auto-Owners Insuranceinsurance violation2017CO-INS$25,875
Auto-Owners (Mutual) Insurance Co. and Owners Insurance Co.Auto-Owners Insuranceinsurance violation2019KS-INS$10,000
Auto-Owners Insurance Co.Auto-Owners Insuranceinsurance violation2000MN-FIN$15,000
Auto-Owners Insurance Co.Auto-Owners Insuranceinsurance violation2003MN-FIN$5,000
Auto-Owners Insurance Co.Auto-Owners Insuranceinsurance violation2016MN-FIN$10,000
Auto-Owners Insurance Co. and Owners Insurance Co.Auto-Owners Insuranceinsurance violation2019MN-FIN$35,000
Auto-Owners Insurance Co. and Owners Insurance Co.Auto-Owners Insuranceinsurance violation2007MO-INS$28,704
Auto-Owners Insurance Co.Auto-Owners Insuranceinsurance violation2015MO-INS$39,600
Auto-Owners Insurance CompanyAuto-Owners Insuranceinsurance violation2016SC-INS$7,356
Auto-Owners Insurance Company and Owners Insurance CompanyAuto-Owners Insuranceinsurance violation2011VA-INS$10,000
AUTO OWNERS INSURANCE COMPANYAuto-Owners Insuranceinsurance violation2015VA-INS$114,217
Auto-Owners Insurance Co.Auto-Owners Insuranceinsurance violation2004WI-INS$5,000
Auto-Owners (Mutual) Insurance CompanyAuto-Owners Insuranceconsumer protection violation2022private lawsuit-federal$8,880,000
Australia and New Zealand Banking Group Ltd.Australia and New Zealand Banking Groupinvestor protection violation2015CFTC$150,000
Australia and New Zealand Banking Group Ltd.Australia and New Zealand Banking Groupinvestor protection violation2012CFTC$350,000
Australia and New Zealand Bank Group, Ltd.Australia and New Zealand Banking Groupeconomic sanction violation2009OFAC$5,750,000
Australia and New Zealand Banking Group Ltd.Australia and New Zealand Banking Groupprice-fixing or anti-competitive practices2022private lawsuit-federal$35,500,000
Australia and New Zealand Banking Group, Ltd.Australia and New Zealand Banking Groupprice-fixing or anti-competitive practices2022private lawsuit-federal$7,000,000
Cadaret, Grant & Co. Inc.Atria Wealth Solutionsinvestor protection violation2018SEC$513,194
Sorrento Pacific Financial, LLCAtria Wealth Solutionsinvestor protection violation2019SEC$49,162
CUSO Financial Services, L.P.Atria Wealth Solutionsinvestor protection violation2019SEC$296,750
Next Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2019SEC$1,405,349
Next Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2012AL-SEC$60,000
Next Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2019MA-SEC$150,000
NEXT Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2010MT-FIN$5,000
Cadaret, Grant & Co., Inc.Atria Wealth Solutionsinvestor protection violation2008NE-DBF$10,000
NEXT Financial Group, IncAtria Wealth Solutionsinvestor protection violation2014NH-BSR$140,000
NEXT Financial Group, IncAtria Wealth Solutionsinvestor protection violation2019NH-BSR$325,000
Cadaret Grant & Co. Inc.Atria Wealth Solutionsinvestor protection violation2019PA-BKG$90,000
Next Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2020TX-SEC$600,000
NEXT FINANCIAL GROUP, INC.Atria Wealth Solutionsinvestor protection violation2015VA-SEC$18,000
NEXT FINANCIAL GROUP, INC.Atria Wealth Solutionsinvestor protection violation2017VA-SEC$60,000
Next Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2020VA-SEC$5,000
NEXT Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2011FINRA$2,050,000
NEXT Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2009FINRA$1,000,000
CompuCredit CorporationAtlanticus Holdingsbanking violation2008FDIC$116,400,000
CompuCredit CorporationAtlanticus Holdingsconsumer protection violation2008FTC$114,000,000
CompuCredit CorporationAtlanticus Holdingsbanking violation2008FDIC$806,000
CompuCredit CorporationAtlanticus Holdingsbanking violation2008FDIC$558,000
Bank of Hampton RoadsAtlantic Union Banksharesbanking violation2011FED$33,600
Hampton Roads BanksharesAtlantic Union Banksharesaccounting fraud or deficiencies2014SEC$200,000
Asurion, LLCAsurionemployment discrimination2019EEOC$50,000
Asurion Insurance Services, Inc. and Asurion Protection Services LLCAsurioninsurance violation2020NY-DFS$4,000,000
Asurion Warranty Services, Inc.Asurioninsurance violation2007WI-INS$5,000
Asurion LLCAsurionemployment discrimination2023DOJ_RIGHTS$13,395
ASURION, LLC.Asurionworkplace safety or health violation2020OSHA$5,783
Assurant Inc.Assurantaccounting fraud or deficiencies2010SEC$3,500,000
American Bankers Insurance Co.Assurantconsumer protection violation2006MA-AG$20,000
American Security Insurance Co.Assurantconsumer protection violation2017MA-AG$6,300,000
American Security Insurance Co.Assurantconsumer protection violation2015MA-AG$565,000
American Security Insurance Co.Assurantconsumer protection violation2019MS-AG$767,394
Resource Life Insurance Co.Assurantconsumer protection violation2010TX-AG$2,600,000
Union Security Insurance CompanyAssurantconsumer protection violation2007MA-AG$28,000
Union Security Life Insurance CoAssurantconsumer protection violation2000MA-AG$1,000,000
American Security Insurance CompanyAssurantemployment discrimination2020EEOC$49,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2011AZ-DIFI$36,000
John Alden Life Insurance Co.Assurantinsurance violation2013AZ-DIFI$90,000
Union Security Insurance Co.Assurantinsurance violation2013AZ-DIFI$40,000
American Bankers Insurance Company of Florida et al.Assurantinsurance violation2004CA-INS$150,000
American Bankers Insurance Company of Florida et al.Assurantinsurance violation2005CA-INS$250,000
American Bankers Life Assurance Company of Florida et al.Assurantinsurance violation2008CA-INS$750,000
John Alden Life Insurance Co.Assurantinsurance violation2012CO-INS$86,500
Assurant HealthAssurantinsurance violation2008CT-INS$2,100,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2020CT-INS$198,000
STANDARD GUARANTY INSURANCE COMPANYAssurantinsurance violation2001FL-OFR$6,000
Fortis Insurance Co.Assurantinsurance violation2007FL-OFR$11,000
American Bankers Life Assurance Company of FloridaAssurantinsurance violation2011IL-INS$15,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2007IN-INS$87,500
American Bankers Insurance Company of FloridaAssurantinsurance violation2001MA-INS$65,000
American Security Insurance Co. et al.Assurantinsurance violation2017MD-INS$25,000
John Alden Life Insurance Co.Assurantinsurance violation2004ME-INS$5,000
John Alden Life Insurance Co.Assurantinsurance violation2004ME-INS$5,000
John Alden Life Insurance Co.Assurantinsurance violation2004ME-INS$20,000
Fortis Insurance Co. and Fortis Benefits Insurance Co.Assurantinsurance violation2001MN-FIN$5,000
Fortis Insurance Co. and John Alden Life Insurance Co.Assurantinsurance violation2002MN-FIN$10,000
Fortis Insurance Co. and John Alden Life Insurance Co.Assurantinsurance violation2002MN-FIN$75,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2003MN-FIN$100,000
American Bankers Life Assurance Company of FloridaAssurantinsurance violation2003MN-FIN$100,000
Fortis Insurance Co.Assurantinsurance violation2004MN-FIN$5,000
John Alden Life Insurance Co.Assurantinsurance violation2004MN-FIN$5,000
Fortis Insurance Co.Assurantinsurance violation2005MN-FIN$7,500
Fortis Insurance Co.Assurantinsurance violation2005MN-FIN$10,000
American Security Insurance CompanyAssurantinsurance violation2013MN-FIN$5,000
American Security Insurance Company et al.Assurantinsurance violation2016MN-FIN$5,000,000
American Bankers Life Assurance Company of FloridaAssurantinsurance violation2018MO-INS$37,500
American Bankers Insurance Company of FloridaAssurantinsurance violation2018MO-INS$37,500
Fortis Insurance Co. et al.Assurantinsurance violation2004MT-FIN$70,000
Fortis Insurance Co.Assurantinsurance violation2004MT-FIN$65,000
John Alden Life Insurance Co.Assurantinsurance violation2010MT-FIN$175,000
John Alden Life Insurance Co. and Time Insurance Co.Assurantinsurance violation2015MT-FIN$1,699,709
John Alden Life Insurance CompanyAssurantinsurance violation2008NH-INS$450,000
Virginia Surety Company Inc.Assurantinsurance violation2010NH-INS$20,000
American Security Insurance Co. et al.Assurantinsurance violation2005NJ-DBI$1,775,000
Assurant, Inc.Assurantinsurance violation2013NY-DFS$14,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.