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Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$331,558,339,161
Number of Records: 
6,166
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$82,764,013,078219
JPMorgan Chase$35,819,302,225162
Citigroup$25,454,366,764125
Wells Fargo$21,358,750,745184
Deutsche Bank$18,286,625,30261
UBS$16,792,860,91083
Goldman Sachs$16,365,468,98744
Royal Bank of Scotland$13,473,904,00028
BNP Paribas$12,132,582,95017
Credit Suisse$10,410,557,62632


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 Parent Primary Offense Type Yearsort icon Agency Penalty Amount
CareFirst BlueChoice, Inc. CareFirst of Maryland insurance violation 2018 MD-INS $20,250
Progressive Direct Insurance Co. Progressive insurance violation 2018 MD-INS $70,000
Bankers Life and Casualty Co. CNO Financial insurance violation 2018 MD-INS $14,100
Elephant Insurance Co. Admiral Group insurance violation 2018 MD-INS $75,000
Allstate Insurance Co. Allstate insurance violation 2018 MD-INS $32,500
Travelers Casualty and Surety Co. Travelers insurance violation 2018 MD-INS $67,500
Nationwide General Insurance Co. et al. Nationwide insurance violation 2018 MD-INS $33,000
CareFirst BlueChoice, Inc. CareFirst of Maryland insurance violation 2018 MD-INS $25,000
CareFirst BlueChoice, Inc. CareFirst of Maryland insurance violation 2018 MD-INS $5,000
Progressive Casualty Insurance Co. Progressive insurance violation 2018 MD-INS $81,520
Mutual of Omaha Insurance Co. Mutual of Omaha insurance violation 2018 MD-INS $6,600
Crum & Forster Indemnity Co. Fairfax Financial Holdings insurance violation 2018 MD-INS $20,000
United States Fire Insurance Co. Fairfax Financial Holdings insurance violation 2018 MD-INS $7,500
Bankers Life and Casualty Co. and Colonial Penn Life Insurance Co. CNO Financial insurance violation 2018 MN-FIN $10,000
Transamerica Premier Life Insurance Co. Aegon insurance violation 2018 MN-FIN $40,000
Nationwide Insurance Company of America et al. Nationwide insurance violation 2018 MN-FIN $25,000
Liberty Insurance Corp. et al. Liberty Mutual Insurance insurance violation 2018 MN-FIN $30,000
Progressive Casualty Insurance Co. et al. Progressive insurance violation 2018 MN-FIN $40,000
Praetorian Insurance Co. QBE Insurance insurance violation 2018 MO-INS $28,120
Sentry Insurance a Mutual Company Sentry Insurance insurance violation 2018 MO-INS $15,000
Commonwealth Land Title Insurance Co. Fidelity National Financial insurance violation 2018 MO-INS $22,500
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
New Hampshire Insurance Co. American International Group insurance violation 2018 MO-INS $11,000
Accident Fund General Insurance Co. AF Group insurance violation 2018 MO-INS $5,000
Accident Fund National Insurance Co. AF Group insurance violation 2018 MO-INS $5,000
Accident Fund Insurance Company of America AF Group insurance violation 2018 MO-INS $5,000
United Wisconsin Insurance Co. AF Group insurance violation 2018 MO-INS $5,000
LPL Financial LLC LPL Financial investor protection violation 2018 MS-SEC $40,000
Federal Insurance Co. Chubb Limited insurance violation 2018 MT-INS $20,000
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go CNG Financial consumer protection violation 2018 NE-DBF $9,000
American Family Insurance Company American Family Insurance insurance violation 2018 NE-DOI $15,000
United States Fire Insurance Company Fairfax Financial Holdings insurance violation 2018 NE-DOI $7,500
State Street Bank and Trust Company State Street Corp. investor protection violation 2018 NH-BSR $325,000
Morgan Stanley Smith Barney, LLC Morgan Stanley investor protection violation 2018 NH-BSR $983,284
Santander Securities, LLC Banco Santander investor protection violation 2018 NH-BSR $31,562
Tokio Marine Kiln Syndicates Limited et al. Tokio Marine insurance violation 2018 NJ-DBI $60,000
Mercury Indemnity Company of America Mercury General Corporation insurance violation 2018 NJ-DBI $25,000
Oscar Garden State Insurance Corporation Mulberry Health insurance violation 2018 NJ-DBI $500,000
Western Union Western Union anti-money-laundering deficiencies 2018 NY-DFS $60,000,000
Amica Mutual Insurance Company Amica Mutual Insurance insurance violation 2018 NY-DFS $20,000
QBE Insurance Corp. QBE Insurance insurance violation 2018 NY-DFS $750,000
AIG Claims Inc. American International Group insurance violation 2018 NY-DFS $177,500
Nationstar Mortgage LLC Mr. Cooper Group consumer protection violation 2018 NY-DFS $17,000,000
J P Morgan Securities LLC JPMorgan Chase insurance violation 2018 NY-DFS $11,750
Marsh USA Inc Marsh & McLennan insurance violation 2018 NY-DFS $12,950
Goldman Sachs Group Inc. Goldman Sachs foreign exchange market manipulation 2018 NY-DFS $54,750,000
Chubb Ltd. Chubb Limited insurance violation 2018 NY-DFS $1,300,000
Deutsche Bank AG Deutsche Bank foreign exchange market manipulation 2018 NY-DFS $205,000,000
Athene Life Insurance Company of New York Athene Holding insurance violation 2018 NY-DFS $15,000,000
American Family Life Assurance Company of New York (AFLAC) Aflac insurance violation 2018 NY-DFS $1,138,368
Transamerica Financial Life Insurance Company Aegon insurance violation 2018 NY-DFS $1,345,136
Sentinel Insurance Company Hartford Financial Services insurance violation 2018 NY-DFS $1,816,596
Selective Insurance Companies Selective Insurance Group insurance violation 2018 NY-DFS $4,666,268
HealthNow New York, Inc. Highmark Inc. insurance violation 2018 NY-DFS $118,583
Societe Generale SA Societe Generale economic sanction violation 2018 NY-DFS $420,000,000
National Integrity Life Insurance Company Western & Southern Financial Group insurance violation 2018 NY-DFS $240,000
Oscar Insurance Corp. Mulberry Health insurance violation 2018 NY-DFS $576,950
Barclays Bank PLC Barclays workplace whistleblower retaliation 2018 NY-DFS $15,000,000
John Hancock Life Insurance Company (U.S.A.) Manulife Financial insurance violation 2018 OR-FIN $49,000
LifeWise Health Plan of Oregon Premera Blue Cross insurance violation 2018 OR-FIN $788,000
United Services Automobile Association USAA insurance violation 2018 OR-FIN $6,200
USAA General Indemnity Company USAA insurance violation 2018 OR-FIN $5,000
Standard Fire Insurance Company Travelers insurance violation 2018 OR-FIN $71,200
Esurance Property and Casualty Insurance Company Allstate insurance violation 2018 RI-FIN $233,963
Morgan Stanley Smith Barney LLC Morgan Stanley investor protection violation 2018 RI-FIN $175,000
Allstate Fire & Casualty Insurance Company Allstate insurance violation 2018 RI-FIN $60,000
Allstate Vehicle and Property Insurance Company Allstate insurance violation 2018 SC-INS $10,000
Guardian Life Insurance Company of America Guardian Life Insurance insurance violation 2018 SC-INS $10,000
Ameriprise Financial Services Inc. Ameriprise Financial investor protection violation 2018 SC-SEC $650,000
Hartford Life and Accident Insurance Company Hartford Financial Services insurance violation 2018 SD-INS $10,000
Transamerica Life Insurance Company Aegon insurance violation 2018 SD-INS $10,000
The General Automobile Insurance Company Inc. American Family Insurance insurance violation 2018 TX-INS $100,000
Permanent General Assurance Corporation American Family Insurance insurance violation 2018 TX-INS $70,000
American Zurich Insurance Company Zurich Insurance insurance violation 2018 TX-INS $53,750
Zurich American Insurance Company Zurich Insurance insurance violation 2018 TX-INS $42,000
Security National Insurance Company Zurich Insurance insurance violation 2018 TX-INS $40,000
Accident Fund Insurance Company of America AF Group insurance violation 2018 TX-INS $13,500
Liberty Insurance Corporation Liberty Mutual Insurance insurance violation 2018 TX-INS $19,500
Safety National Casualty Corporation Tokio Marine insurance violation 2018 TX-INS $23,500
Insurance Company of the State of Pennsylvania American International Group insurance violation 2018 TX-INS $8,500
Ace American Insurance Company Chubb Limited insurance violation 2018 TX-INS $22,000
Granite State Insurance Company American International Group insurance violation 2018 TX-INS $22,000
Trumbull Insurance Company Hartford Financial Services insurance violation 2018 TX-INS $20,000
XL Insurance America, Inc. AXA insurance violation 2018 TX-INS $32,000
Federal Insurance Company Chubb Limited insurance violation 2018 TX-INS $7,000
Hartford Underwriters Insurance Company Hartford Financial Services insurance violation 2018 TX-INS $9,000
Liberty Insurance Corporation Liberty Mutual Insurance insurance violation 2018 TX-INS $5,000
Commerce and Industry Insurance Company American International Group insurance violation 2018 TX-INS $20,000
The Standard Fire Insurance Company Travelers insurance violation 2018 TX-INS $27,855
Travelers Casualty and Surety Company Travelers insurance violation 2018 TX-INS $11,000
Amica Mutual Insurance Company Amica Mutual Insurance insurance violation 2018 TX-INS $10,000
Time Insurance Company Haven Holdings insurance violation 2018 TX-INS $125,000
Arch Insurance Company Arch Capital insurance violation 2018 TX-INS $7,000
Employer's Insurance Company of Wausau Liberty Mutual Insurance insurance violation 2018 TX-INS $12,000
Chubb Lloyds Insurance Company of Texas Chubb Limited insurance violation 2018 TX-INS $55,000
Unitrin County Mutual Insurance Company Kemper insurance violation 2018 TX-INS $25,000
Time Insurance Company Haven Holdings insurance violation 2018 TX-INS $15,000
United Services Automobile Association et al. USAA insurance violation 2018 TX-INS $40,000
Esurance Property and Casualty Insurance Company Allstate insurance violation 2018 TX-INS $12,500
Accident Fund General Insurance Company AF Group insurance violation 2018 TX-INS $75,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)