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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
JPMorgan Chase BankJPMorgan Chasediscriminatory practices (non-employment)2021HUD$50,000
New York Life Insurance & Annuity CorporationNew York Life Insuranceconsumer protection violation2021NY-DFS$10,929,000
First American Title Co.First American Financialinsurance violation2021CA-INS$50,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2021CA-MHC$75,000
John Hancock Life Insurance Co.Manulife Financialinsurance violation2021DE-INS$5,000
Deutsche BankDeutsche BankForeign Corrupt Practices Act2021DOJ_CRIMINAL$87,091,424
Capital One, National AssociationCapital One Financialanti-money-laundering deficiencies2021FINCEN$290,000,000
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2021MN-FIN$10,000
CitibankCitigroupconsumer protection violation2021MULTI-AG$4,200,000
E*Trade Securities LLCMorgan Stanleyinvestor protection violation2021NH-BSR$5,000
BUCKEYE PIPE LINE COIFM Investorsenvironmental violation2021NJ-ENV$16,000
American International GroupAmerican International Groupinsurance violation2021NY-DFS$12,000,000
Liberty Northwest Insurance Corp.Liberty Mutual Insuranceinsurance violation2021OR-FIN$5,000
Safeco Insurance Company of OregonLiberty Mutual Insuranceinsurance violation2021OR-FIN$5,000
Deutsche Bank AGDeutsche BankForeign Corrupt Practices Act2021SEC$43,000,000
Nationwide Mutual Insurance Company et al.Nationwideinsurance violation2021TX-INS$75,000
Farmers Insurance Exchange and Truck Insurance ExchangeFarmers Insurance Exchangeinsurance violation2021VA-INS$15,950
CMFG Life Insurance CompanyCUNA Mutualinsurance violation2021VA-INS$7,500
Northwestern Mutual Life Insurance Co.Northwestern Mutualinsurance violation2021VT-FIN$287,000
Travelers Home and Marine Insurance CompanyTravelersinsurance violation2021WA-INS$10,000
Wells Fargo & Co.Wells Fargoemployment discrimination2021private lawsuit-federal$18,700,000
Aon Hewitt Health Market Insurance Solutions, Inc.Aonwage and hour violation2021private lawsuit-federal$1,250,000
BB&T Equipment Finance LLCTruist Financialconsumer protection violation2021CA-DFPI$75,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2021CA-MHC$10,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2021CA-MHC$30,000
E-Trade Financial Corporate Services, Inc.Morgan Stanleyconsumer protection violation2021CT-BKG$10,000
Prudential Retirement Insurance and Annuity CompanyPrudential Financialinsurance violation2021CT-INS$300,000
AMERICAN HEALTH AND LIFE INSURANCE COMPANYOneMain Holdingsinsurance violation2021MO-INS$7,500
TRANSAMERICA LIFE INSURANCE COMPANYAegoninsurance violation2021MO-INS$11,000
FIDELITY NATIONAL TITLE INSURANCE COMPANYFidelity National Financialinsurance violation2021MO-INS$45,900
USAA Casualty Insurance Company et al.USAAinsurance violation2021NH-INS$25,000
First Unum Life Insurance Company of America and Paul Revere Life Insurance CompanyUnumprivacy violation2021NY-DFS$1,800,000
American Family Connect Insurance CompanyAmerican Family Insuranceinsurance violation2021NY-DFS$23,000
Erie Insurance Company of New YorkErie Indemnityinsurance violation2021NY-DFS$22,000
Farmers InsuranceZurich Insuranceinsurance violation2021OK-AG$25,000,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2021SD-SEC$20,000
Ace American Insurance CompanyChubb Limitedinsurance violation2021UT-INS$41,500
Transamerica Premier Life Insurance CompanyAegoninsurance violation2021VT-FIN$84,000
Metropolitan Property and Casualty Insurance CompanyZurich Insuranceinsurance violation2021VT-FIN$13,000
United Services Automobile Association et al.USAAinsurance violation2021VA-INS$10,000
AMERICAN FAMILY INSURANCE COMPANYAmerican Family Insuranceinsurance violation2021WA-INS$50,000
HSBC SECURITIES USA INCHSBCinsurance violation2021WA-INS$10,000
STANDARD FIRE INSURANCE COMPANYTravelersinsurance violation2021WA-INS$5,000
ALLIED PROPERTY AND CASUALTY INSURANCE COMPANY ET AL.Nationwideinsurance violation2021WA-INS$20,000
NATIONAL CASUALTY COMPANYNationwideinsurance violation2021WA-INS$50,000
State Farm Fire & Casualty CoState Farm Insuranceinsurance violation2021WI-INS$10,000
Coinbase Inc.Coinbase Global Inc.investor protection violation2021CFTC$6,500,000
OCWEN FINANCIAL CORPORATIONOcwen Financialbenefit plan administrator violation2021EBSA$50,000
Bank of the WestBank of Montrealbanking violation2021FDIC$281,000
Bryn Mawr Trust CompanyWSFS Financial Corp.banking violation2021FED$105,000
Wells Fargo BankWells Fargodiscriminatory practices (non-employment)2021HUD$125,000
Bank Julius Baer & Co. Ltd.Julius Baer Groupmoney laundering2021DOJ_CRIMINAL$79,000,000
Swiss Life Holding AG et al.Swiss Life Grouptax violations2021DOJ_TAX$77,374,337
State Street CorporationState Street Corp.fraud2021USAO$115,000,000
American Express Travel Related Services Co.American Expresswage and hour violation2021WHD$5,663
First American Title Co.First American Financialinsurance violation2021CA-INS$1,185,000
First American Title Co.First American Financialinsurance violation2021CA-INS$55,000
Jefferson National Life Insurance Co.Nationwideinsurance violation2021CA-INS$165,342
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2021CA-MHC$15,000
Santander Consumer USA, Inc.Banco Santanderconsumer protection violation2021CO-AG$3,065,000
United States Fire Insurance Co.Fairfax Financial Holdingsconsumer protection violation2021CO-AG$50,000
Credit SuisseUBSinvestor protection violation2021CFTC$1,500,000
Provident Life and Accident Insurance Co.Unuminsurance violation2021CT-INS$7,500
UNUM Life Insurance Company of AmericaUnuminsurance violation2021CT-INS$12,500
United Services Automobile AssociationUSAAinsurance violation2021CT-INS$32,500
USAA Casualty Insurance Co.USAAinsurance violation2021CT-INS$36,500
USAA Indemnity Co.USAAinsurance violation2021CT-INS$32,500
GreenSky, LLCGoldman Sachsconsumer protection violation2021CFPB$11,500,000
Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2021DE-INS$91,000
Principal Life Insurance Co.Principal Financialinsurance violation2021DE-INS$23,000
Umpqua BankUmpqua Holdingsbanking violation2021FDIC$1,800,000
LendingClub Corp.LendingClub Corp.consumer protection violation2021FTC$18,000,000
Robinhood Financial LLCRobinhood Marketsinvestor protection violation2021FINRA$69,600,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2021FINRA$11,650,000
Wheelabrator South Broward, Inc.Macquarieenvironmental violation2021FL-DEP$78,000
Coinbase, Inc.Coinbase Global Inc.consumer protection violation2021FL-OFR$6,500
Cadence Bank N.A.Cadence Bankdiscriminatory practices (non-employment)2021DOJ_RIGHTS$5,545,000
National Union Fire Insurance Company of Pittsburgh, PaAmerican International Groupinsurance violation2021KS-INS$5,000
Ace American Insurance Co. and Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2021MD-INS$7,000
Credit Acceptance CorporationCredit Acceptance Corp.consumer protection violation2021MA-AG$27,200,000
U.S. BankU.S. Bancorpconsumer protection violation2021MA-AG$230,000
MML Investors Services, LLCMassachusetts Mutual Life Insuranceinvestor protection violation2021MA-SEC$4,000,000
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceinsurance violation2021MN-FIN$6,000
SantanderBanco Santanderconsumer protection violation2021MS-AG$3,700,000
Companion Life Insurance Co.BlueCross BlueShield of South Carolinainsurance violation2021MULTI-FIN$5,000,000
Scottsdale Insurance Co.Nationwideinsurance violation2021NH-INS$10,579
Old Republic National Title Insurance CompanyOld Republic Internationalwage and hour violation2021NY-AG$1,000,000
TIAA-CREF Individual & Institutional Services, LLCTIAAbenefit plan administrator violation2021NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $97,000,000
Bank of China (UK) LimitedBank of Chinaeconomic sanction violation2021OFAC$2,329,991
Wells Fargo Bank, National AssociationWells Fargobanking violation2021OCC$250,000,000
Cadence Bank, National AssociationCadence Bankbanking violation2021OCC$3,000,000
Foremost Insurance Company Grand Rapids, MichiganZurich Insuranceinsurance violation2021OR-FIN$15,000
Liberty Mutual Group Inc. and Safeco Insurance Company of OregonLiberty Mutual Insuranceinsurance violation2021OR-FIN$120,000
RBC Capital Markets LLCRoyal Bank of Canadainvestor protection violation2021SEC$863,326
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherinvestor protection violation2021SEC$389,425
MML Investors Services, LLCMassachusetts Mutual Life Insuranceinvestor protection violation2021SEC$2,109,458
UBS Financial Services Inc.UBSinvestor protection violation2021SEC$8,112,174
TIAA-CREF Individual & Institutional Services LLCTIAAaccounting fraud or deficiencies2021SEC$97,000,000
Hilltop Securities Inc.Hilltop Holdingsinvestor protection violation2021SEC$340,193
First American Financial CorporationFirst American Financialprivacy violation2021SEC$487,616
XL Specialty Insurance Co.AXAinsurance violation2021TX-INS$15,825
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.