Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$332,924,888,663
Number of Records: 
6,731
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$82,885,116,051259
JPMorgan Chase$35,851,377,155190
Citigroup$25,535,002,360154
Wells Fargo$21,428,596,719217
Deutsche Bank$18,341,457,30276
UBS$16,845,624,16097
Goldman Sachs$16,381,931,83964
NatWest Group PLC$13,477,129,00031
BNP Paribas$12,147,863,95019
Credit Suisse$10,447,392,62644


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
American Bankers Insurance Co. Assurant consumer protection violation 2006 MA-AG $20,000
American International Group American International Group price-fixing or anti-competitive practices 2006 NY-AG (*) $1,619,000,000
American International Group, Inc. American International Group tax violations 2006 MI-AG $5,279,484
Ameriquest Mortgage Citigroup consumer protection violation 2006 MULTI-AG $325,000,000
Bank of America Bank of America discriminatory practices (non-employment) 2006 MA-AG $50,000
BB&T Leasing Corporation Truist Financial consumer protection violation 2006 MULTI-AG $6,000,000
Brown & Brown, Inc. Brown & Brown consumer protection violation 2006 FL-AG $5,800,000
Chase Bank JPMorgan Chase consumer protection violation 2006 MULTI-AG $3,850,000
Chubb Chubb Limited price-fixing or anti-competitive practices 2006 MULTI-AG $17,000,000
Countrywide Home Loans, Inc., Bank of America consumer protection violation 2006 NY-AG $3,200,000
Deutsche Bank AG Deutsche Bank investor protection violation 2006 NY-AG (*) $208,000,000
ING Voya Financial investor protection violation 2006 MULTI-AG $33,000,000
Metropolitan Life Insurance Company MetLife consumer protection violation 2006 NY-AG $19,000,000
National City Commercial Capital Corporation PNC Financial Services consumer protection violation 2006 NY-AG $817,700
PayPal, Inc. PayPal Holdings consumer protection violation 2006 MULTI-AG $1,700,000
Prudential Equity Group Prudential Financial investor protection violation 2006 MULTI-AG (*) $270,000,000
Prudential Equity Group Prudential Financial investor protection violation 2006 NY-AG (*) $270,000,000
St. Paul Travelers Travelers price-fixing or anti-competitive practices 2006 MULTI-AG $77,000,000
The Hartford Financial Services Group Hartford Financial Services investor protection violation 2006 MULTI-AG $20,000,000
UBS Financial Services Inc. UBS investor protection violation 2006 NJ-AG $24,750,000
UnumProvident Corporation Unum consumer protection violation 2006 NY-AG $17,400,000
Wachovia Capital Markets LLC Wells Fargo investor protection violation 2006 MULTI-AG $25,000,000
Waddell & Reed, Inc. Macquarie investor protection violation 2006 NY-AG (*) $75,000,000
Zurich American Insurance Company Zurich Insurance price-fixing or anti-competitive practices 2006 MULTI-AG $171,700,000
Zurich American Insurance Company Zurich Insurance price-fixing or anti-competitive practices 2006 OH-AG $7,000,000
Mellon Bank N.A. Bank of New York Mellon False Claims Act and related 2006 USAO $18,130,405
Bank of America Corp. Bank of America anti-money-laundering deficiencies 2006 NY-MANDA $7,500,000
Zenith Insurance Co. Fairfax Financial Holdings employment discrimination 2006 EEOC $180,000
Morgan Stanley DW Inc. Morgan Stanley investor protection violation 2006 NY-AG $1,040,964
Seabury & Smith, Inc. Marsh & McLennan insurance violation 2006 AK-INS $6,530
Titan Insurance Co. Nationwide insurance violation 2006 AZ-INS $40,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2006 AZ-SEC $1,250,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2006 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2006 CA-MHC $5,000
Farmers Insurance Exchange et al. Farmers Insurance Exchange insurance violation 2006 CA-INS $1,000,000
Mercury Insurance Co. Mercury General Corporation insurance violation 2006 CA-INS $9,000
Zurich American Insurance Co. Zurich Insurance insurance violation 2006 CA-INS $15,000
Commonwealth Land Title Insurance Co. et al. Fidelity National Financial insurance violation 2006 CA-INS $4,499,997
Amex Assurance Co. American Express insurance violation 2006 CA-INS $170,000
Workmen's Auto Insurance Co. Mercury General Corporation insurance violation 2006 CA-INS $100,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2006 CA-MHC $50,000
Mercury Insurance Group Mercury General Corporation insurance violation 2006 CA-INS $300,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2006 CA-MHC $50,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2006 CA-MHC $7,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2006 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2006 CA-MHC $7,500
The Prudential Insurance Company of America Prudential Financial insurance violation 2006 CA-INS $700,000
UnumProvident Corp. et al. Unum insurance violation 2006 CA-INS $700,000
Hartford Fire Insurance Co. et al. Hartford Financial Services insurance violation 2006 CA-INS $125,000
Old Republic Insurance Co. Old Republic International insurance violation 2006 CO-INS $6,000
Unitrin Auto and Home Insurance Co. Kemper insurance violation 2006 CO-INS $7,500
American Family Mutual Insurance Co. American Family Insurance insurance violation 2006 CO-INS $6,000
Farmers Insurance Exchange and Truck Insurance Exchange and Mid-Century Insurance Co. Farmers Insurance Exchange insurance violation 2006 CO-INS $49,500
New England Life Insurance Co. Brighthouse Financial insurance violation 2006 CO-INS $32,000
Allianz Life Insurance Company of North America Allianz insurance violation 2006 CO-INS $34,800
Thomas Weisel Partners LLC Stifel Financial investor protection violation 2006 CT-SEC $52,480
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2006 CT-SEC $3,500,000
American General Life and Accident Insurance Co. American International Group insurance violation 2006 FL-OFR $1,568,324
Combined Insurance Company of America Chubb Limited insurance violation 2006 FL-OFR $9,750
Pacific Life & Annuity Co. Pacific Life insurance violation 2006 FL-OFR $38,000
National Union Fire Insurance Company of Pittsburgh, PA American International Group insurance violation 2006 FL-OFR $12,100
Life Investors Insurance Company of America Aegon insurance violation 2006 FL-OFR $53,000
Morgan Stanley DW Inc. Morgan Stanley investor protection violation 2006 ID-SEC $415,000
Banc of America Investment Services, Inc. Bank of America investor protection violation 2006 IL-SEC $250,000
Universal Underwriters Insurance Company Zurich Insurance insurance violation 2006 IN-INS $948,240
Nationwide Agribusiness Insurance Co. Nationwide insurance violation 2006 KS-INS $7,500
Metropolitan Property and Casualty Co. Zurich Insurance insurance violation 2006 KS-INS $5,000
St. Paul Fire & Marine Insurance Co. Travelers insurance violation 2006 KS-INS $5,000
Bankers Life & Casualty Co. CNO Financial insurance violation 2006 ME-INS $7,500
American Family Life Assurance Company of Columbus Aflac insurance violation 2006 MN-FIN $15,000
Stewart Title Guaranty Co. Stewart Information Services insurance violation 2006 MN-FIN $5,000
The Prudential Insurance Company of America Prudential Financial insurance violation 2006 MN-FIN $5,000
MetLife Investors USA Insurance Co. et al. MetLife insurance violation 2006 MN-FIN $250,000
John Hancock Variable Life Insurance Co. Manulife Financial insurance violation 2006 MO-INS $11,040
Waddell & Reed, Inc. Macquarie investor protection violation 2006 MO-SEC $172,161
Stewart Title Guarantee Co. Stewart Information Services insurance violation 2006 MO-INS $75,087
Allstate Insurance Co. Allstate insurance violation 2006 MO-INS $60,000
Allied Property & Casualty Insurance Co. et al. Nationwide insurance violation 2006 MO-INS $65,000
The Prudential Insurance Company of America Prudential Financial insurance violation 2006 MO-INS $7,373
World Group Securities, Inc. Aegon investor protection violation 2006 MO-SEC $228,600
Metropolitan Life Insurance Co. MetLife insurance violation 2006 MO-INS $12,162
MetLife Securities, Inc. MetLife investor protection violation 2006 MS-SEC $50,000
Piper Jaffray & Co. Piper Sandler investor protection violation 2006 MT-SEC $345,000
UBS Financial Services, Inc. UBS investor protection violation 2006 MT-SEC $4,503,166
Piper Jaffray & Co. Piper Sandler investor protection violation 2006 ND-SEC $17,204
Investment Centers of America Inc. LPL Financial investor protection violation 2006 ND-SEC $6,000
Berthel Fisher and Company Financial Services Inc. Berthel Fisher investor protection violation 2006 ND-SEC $8,000
Piper Jaffray & Co. Piper Sandler investor protection violation 2006 ND-SEC $229,000
Pruco Securities, LLC Prudential Financial investor protection violation 2006 NE-DBF $12,500
Eaton Vance Income Fund of Boston Morgan Stanley investor protection violation 2006 NE-DBF $17,000
ING Life Insurance and Annuity Company Voya Financial investor protection violation 2006 NH-BSR $3,000,000
Progressive Northern Insurance Company Progressive insurance violation 2006 NH-INS $5,000
Israel Discount Bank of New York Israel Discount Bank anti-money-laundering deficiencies 2006 NY-DFS $6,000,000
Ameritas Life Insurance Corp. Ameritas Mutual Holding Company insurance violation 2006 OR-FIN $5,000
Hartford Life and Accident Insurance Company Hartford Financial Services insurance violation 2006 OR-FIN $17,500
Combined Insurance Company of America Chubb Limited insurance violation 2006 OR-FIN $9,000
LifeWise Health Plan of Oregon Inc. Premera Blue Cross insurance violation 2006 OR-FIN $20,000
ACE American Reinsurance Company Chubb Limited insurance violation 2006 OR-FIN $8,300
AIG Life Insurance Company American International Group insurance violation 2006 OR-FIN $10,000
National Union Fire Insurance Company of Pittsburgh, PA American International Group insurance violation 2006 OR-FIN $30,000
United States Life Insurance Company in the City of New York American International Group insurance violation 2006 OR-FIN $20,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)