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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 ParentPrimary Offense TypeYear sort iconAgencyPenalty Amount
ING Life Insurance and Annuity CompanyVoya Financialinvestor protection violation2006NH-BSR$3,000,000
Progressive Northern Insurance CompanyProgressiveinsurance violation2006NH-INS$5,000
Israel Discount Bank of New YorkIsrael Discount Bankanti-money-laundering deficiencies2006NY-DFS$6,000,000
Ameritas Life Insurance Corp.Ameritas Mutual Holding Companyinsurance violation2006OR-FIN$5,000
Hartford Life and Accident Insurance CompanyHartford Financial Servicesinsurance violation2006OR-FIN$17,500
Combined Insurance Company of AmericaChubb Limitedinsurance violation2006OR-FIN$9,000
Fidelity National Title Company of OregonFidelity National Financialinsurance violation2006OR-FIN$6,000
ACE American Reinsurance CompanyChubb Limitedinsurance violation2006OR-FIN$8,300
AIG Life Insurance CompanyAmerican International Groupinsurance violation2006OR-FIN$10,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2006OR-FIN$30,000
United States Life Insurance Company in the City of New YorkAmerican International Groupinsurance violation2006OR-FIN$20,000
Progressive Northern Insurance CompanyProgressiveinsurance violation2006OR-FIN$10,000
Affinity Insurance Services Inc.Aoninsurance violation2006PA-INS$40,000
Empire Fire & Marine Insurance CompanyZurich Insuranceinsurance violation2006PA-INS$20,000
Northwestern Mutual Investment ServicesNorthwestern Mutualinsurance violation2006PA-INS$10,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2006RI-FIN$10,250
LIFE INVESTORS INSURANCE COMPANY OF AMERICAAegoninsurance violation2006VA-INS$29,000
United Services Automobile AssociationUSAAinsurance violation2006VA-INS$5,000
COMMONWEALTH LAND TITLE INSURANCE CO. ET AL.Fidelity National Financialinsurance violation2006VA-INS$300,000
MINNESOTA LIFE INSURANCE CO.Securian Financialinsurance violation2006VA-INS$18,000
RESOURCE LIFE INSURANCE CO.Assurantinsurance violation2006VA-INS$18,000
NATIONWIDE MUTUAL INSURANCE ET AL.Nationwideinsurance violation2006VA-INS$45,000
GREAT AMERICAN INSURANCE COMPANY ET ALAmerican Financial Groupinsurance violation2006VA-INS$7,200
GREAT AMERICAN INSURANCE COMPANY ET ALAmerican Financial Groupinsurance violation2006VA-INS$7,200
HARTFORD INSURANCE COMPANY OF THE MIDWESTHartford Financial Servicesinsurance violation2006VA-INS$42,800
BRISTOL WEST INSURANCE COMPANYZurich Insuranceinsurance violation2006VA-INS$20,000
Universal Underwriters Life Insurance CompanyZurich Insuranceinsurance violation2006VA-INS$24,000
SUNAMERICA SECURITIES, INC.American International Groupinvestor protection violation2006VA-SEC$10,000
MARSH USA, INC.Marsh & McLennaninsurance violation2006VA-INS$150,000
AMERICAN BANKERS INSURANCEAssurantinsurance violation2006VA-INS$45,000
AMERICAN SECURITY INSURANCE COAssurantinsurance violation2006VA-INS$45,000
STANDARD GUARANTY INSURANCE COAssurantinsurance violation2006VA-INS$45,000
Brown & Brown Insurance Agency of Virginia, Inc.Brown & Browninsurance violation2006VA-INS$5,000
AMERICAN HERITAGE LIFE INSURANCE COAllstateinsurance violation2006VA-INS$18,000
GENWORTH LIFE AND ANNUITY INSURANCE COGenworth Financialinsurance violation2006VA-INS$12,000
Life Insurance Company of the SouthwestNational Life Groupinsurance violation2006VA-INS$5,000
GENERAL AMERICAN LIFE INSURANCEMetLifeinsurance violation2006VA-INS$10,000
Merrill Lynch, Pierce, Fenner & Smith, IncorporatedBank of Americainvestor protection violation2006VA-SEC$75,000
NATIONWIDE LIFE INSURANCE CO.Nationwideinsurance violation2006VA-INS$40,000
Property & Casualty Insurance Company of HartfordHartford Financial Servicesinsurance violation2006VA-INS$5,000
Merrill Lynch, Pierce, Fenner & Smith, IncorporatedBank of Americainvestor protection violation2006VA-SEC$33,000
XL LIFE INSURANCE AND ANNUITYAXAinsurance violation2006VA-INS$10,000
American-Amicable Life Insurance CompanyAmerican-Amicable Groupinsurance violation2006MULTI-FIN$60,000,000
Liberty National Life Insurance CompanyGlobe Life Inc.discriminatory practices (non-employment)2006private lawsuit-federal$9,350,000
WHEELABRATOR FALLS INCMacquarieenvironmental violation2006PA-ENV$21,079
GlencoreGlencoreenvironmental violation2006CA-ARB$10,000
LOUIS DREYFUS CITRUS, INC.Louis Dreyfusenvironmental violation2006FL-DEP$7,200
THE FIFTH THIRD BANKFifth Third Bancorpenvironmental violation2006FL-DEP$16,000
GM ACCEPTANCE CORP TRUCK & BUS GRPAlly Financialenvironmental violation2006IN-ENV$57,750
RR DONNELLEY & SONS COChatham Asset Managementenvironmental violation2006IN-ENV$9,563
BUCKEYE PENNSAUKEN TERMINAL LLCIFM Investorsenvironmental violation2006NJ-ENV$28,200
BUCKEYE PORT READING TERMINAL LLCIFM Investorsenvironmental violation2006NJ-ENV$20,005
Buckeye Pipline Co.IFM Investorsenvironmental violation2006PA-ENV$150,000
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.investor protection violation2006FINRA$4,000,000
USAllianz SecuritiesAllianzinvestor protection violation2006FINRA$5,000,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2006FINRA$250,000
RBC Dain Rauscher Inc.Royal Bank of Canadainvestor protection violation2006FINRA$250,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2006FINRA$100,000
Chase Investment Services CorporationJPMorgan Chaseinvestor protection violation2006FINRA$500,000
MetLife Securities, IncMetLifeinvestor protection violation2006FINRA$500,000
CCO Investment Services Corp.Citizens Financial Groupinvestor protection violation2006FINRA$850,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2006FINRA$800,000
MetLife, Inc.MetLifeinvestor protection violation2006FINRA$5,000,000
Morgan StanleyMorgan Stanleyinvestor protection violation2006FINRA$2,900,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2006FINRA$1,115,000
ING America Insurance Holdings Inc.Voya Financialinvestor protection violation2006FINRA$7,000,000
BRUT LLCNasdaq Inc.investor protection violation2006FINRA$2,200,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2006FINRA$350,000
Credit Suisse Securities (USA), LLCUBSinvestor protection violation2006FINRA$225,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyinvestor protection violation2006FINRA$200,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2006FINRA$5,000,000
Sanford C. Bernstein & Co.Equitable Holdingsinvestor protection violation2006FINRA$350,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2006FINRA$250,000
First American TitleFirst American Financialenvironmental violation2006CA-SCAQMD$38,211
Mercury Air CentersMacquarieenvironmental violation2006CA-SCAQMD$11,750
Wheelabrator Norwalk Energy Co. Inc.Macquarieenvironmental violation2006CA-SCAQMD$9,000
Wedbush Morgan SecuritiesWedbush Securitiesenvironmental violation2006CA-SCAQMD$5,000
Mercury Air CentersMacquarieenvironmental violation2006CA-SCAQMD$10,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2006TX-PUC$27,000
GMAC Mortgage Group, Inc.Ally FinancialWARN Act violation2006private lawsuit-federal$135,000
Chicago Board Options ExchangeCBOE Holdingsprice-fixing or anti-competitive practices2006private lawsuit-federal$2,468,410
Goldman Sachs Execution & Clearing L.P.Goldman Sachsprice-fixing or anti-competitive practices2006private lawsuit-federal$2,468,410
IFCO SYSTEMS N.A., INC.Triton Investments Advisersworkplace safety or health violation2006OSHA$20,000
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2006OSHA$11,000
IFCO SYSTEMS DBA VALLEY WOOD PRODUCTS, INC.Triton Investments Advisersworkplace safety or health violation2006OSHA$5,226
BOWNE & COMPANY, INC.Chatham Asset Managementworkplace safety or health violation2006OSHA$5,250
IFCO SYSTEMSTriton Investments Advisersworkplace safety or health violation2006OSHA$9,450
LOUIS DREYFUS CITRUS INC.Louis Dreyfusworkplace safety or health violation2006OSHA$9,800
Merrill Lynch Investment Managers, LLC and Merrill Lynch Alternative Investments, LLCBank of Americadata submission deficiencies2007CFTC$500,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2007CFTC$175,000
GOODRICH AVIATION TECHNICAL SERVICES INCMacquarieaviation safety violation2007FAA$7,000
Cleco Power, LLCMacquarieenergy market violation2007FERC$2,000,000
Capital City BankCapital City Bank Groupbanking violation2007FED$85,045
Hanmi BankHanmi Financial Corp.banking violation2007FED$8,835
East West BankEast West Bancorpbanking violation2007FED$16,245
Mellon Bank, N.A.Bank of New York MellonFalse Claims Act and related2007DOJ_CIVIL$16,500,000
Compass BankPNC Financial Servicesdiscriminatory practices (non-employment)2007DOJ_RIGHTS$1,750,000
Union Bank of California, N.A.U.S. Bancorpanti-money-laundering deficiencies2007DOJ_CRIMINAL$21,600,000
American Express Bank InternationalAmerican Expressanti-money-laundering deficiencies2007DOJ_CRIMINAL$55,000,000
BB&TTruist Financialeconomic sanction violation2007OFAC$10,000
American Express Travel Related Services Co., Inc.American Expresseconomic sanction violation2007OFAC$16,625
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.