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
Stewart Title Guaranty Co. Stewart Information Services insurance violation 2007 CA-INS $1,000,400
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2007 CA-MHC $500,000
American Contractors Indemnity Co. Tokio Marine insurance violation 2007 CA-INS $170,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2007 CA-MHC $50,000
Jackson National Life Insurance Co. Prudential (UK) insurance violation 2007 CO-INS $10,000
Auto-Owners Insurance Co. Auto-Owners Insurance insurance violation 2007 CO-INS $5,000
OppenheimerFunds Distributor, Inc. Invesco investor protection violation 2007 CO-SEC $494,500
American Family Mutual Insurance Co. American Family Insurance insurance violation 2007 CO-INS $5,500
Nationwide Insurance Company of America Nationwide insurance violation 2007 CO-INS $81,500
ING USA Annuity and Life Insurance Co. Voya Financial insurance violation 2007 CO-INS $5,000
Stewart Title Guaranty Co. Stewart Information Services insurance violation 2007 CO-INS $50,000
Nationwide Mutual Fire Insurance Co. Nationwide insurance violation 2007 CO-INS $6,000
Nationwide Mutual Insurance Co. Nationwide insurance violation 2007 CO-INS $8,500
Nationwide Property and Casualty Insurance Co. Nationwide insurance violation 2007 CO-INS $6,000
Wachovia Capital Markets, LLC Wells Fargo investor protection violation 2007 CT-SEC $258,728
UBS Financial Services Inc. UBS investor protection violation 2007 CT-SEC $5,500,000
CUNA Mutual Life Insurance Co. CUNA Mutual insurance violation 2007 FL-OFR $7,500
USAA Life Insurance Co. USAA insurance violation 2007 FL-OFR $22,500
Fortis Insurance Co. Assurant insurance violation 2007 FL-OFR $11,000
Ace American Insurance Co. Chubb Limited insurance violation 2007 FL-OFR $56,000
Cincinnati Insurance Co. Cincinnati Financial insurance violation 2007 FL-OFR $65,000
American Home Assurance Co. American International Group insurance violation 2007 FL-OFR $25,500
National Union Fire Insurance Company of Pittsburgh, PA American International Group insurance violation 2007 FL-OFR $240,000
Mutual of Omaha Insurance Co. Mutual of Omaha insurance violation 2007 FL-OFR $13,000
Fireman's Fund Insurance Co. Allianz insurance violation 2007 FL-OFR $5,500
St. Paul Fire & Marine Insurance Co. Travelers insurance violation 2007 FL-OFR $23,750
Conseco Life Insurance Co. CNO Financial insurance violation 2007 IA-INS $750,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2007 IL-SEC $40,000
American Bankers Insurance Company of Florida Assurant insurance violation 2007 IN-INS $87,500
United Insurance Co. of America Kemper insurance violation 2007 IN-INS $6,500
Bankers Life and Casualty Co. CNO Financial insurance violation 2007 IN-INS $6,569
Lawyers Title Insurance Corp. Fidelity National Financial insurance violation 2007 IN-INS $9,000
Amica Mutual Insurance Co. Amica Mutual Insurance insurance violation 2007 MA-INS $12,000
Hartford Fire Insurance Co. Hartford Financial Services insurance violation 2007 ME-INS $5,000
Hartford Accident and Indemnity Co. Hartford Financial Services insurance violation 2007 ME-INS $5,000
Hartford Casualty Insurance Co. Hartford Financial Services insurance violation 2007 ME-INS $5,000
Hartford Underwriters Insurance Co. Hartford Financial Services insurance violation 2007 ME-INS $5,000
Twin City Fire Insurance Co. Hartford Financial Services insurance violation 2007 ME-INS $5,000
First American Title Insurance Co. First American Financial insurance violation 2007 MN-FIN $500,000
AmerUS Life Insurance Co. Athene Holding insurance violation 2007 MN-FIN $250,000
United Services Automobile Association et al. USAA insurance violation 2007 MO-INS $6,000
Berthel Fisher & Company Financial Services, Inc. Berthel Fisher investor protection violation 2007 MO-SEC $230,469
Auto-Owners Insurance Co. and Owners Insurance Co. Auto-Owners Insurance insurance violation 2007 MO-INS $28,704
Continental Western Insurance Co. W.R. Berkley insurance violation 2007 MO-INS $7,708
Safeco Insurance Company of America et al. Liberty Mutual Insurance insurance violation 2007 MO-INS $68,524
Farmers Insurance Exchange et al. Farmers Insurance Exchange insurance violation 2007 MO-INS $16,272
Universal Underwriters Insurance Co. Zurich Insurance insurance violation 2007 MO-INS $6,530
Investment Centers of America, Inc. LPL Financial investor protection violation 2007 MO-SEC $1,031,618
UBS Financial Services, Inc. UBS investor protection violation 2007 MO-SEC $697,210
First American Title Insurance Co. First American Financial insurance violation 2007 MO-INS $150,344
Standard Insurance Co. Meiji Yasuda Life Insurance insurance violation 2007 MO-INS $9,300
Morgan Keegan & Company, Inc. Raymond James Financial investor protection violation 2007 MS-SEC $12,500
Chicago Title Insurance Co. Fidelity National Financial insurance violation 2007 MT-INS $7,500
Wachovia Securities LLC Wells Fargo investor protection violation 2007 ND-SEC $75,000
Farmers Insurance Exchange Farmers Insurance Exchange insurance violation 2007 ND-INS $750,000
CitiFinancial, Inc. Citigroup consumer protection violation 2007 NE-DBF $81,500
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go CNG Financial consumer protection violation 2007 NE-DBF $10,200
Berthel, Fisher & Company Financial Services, Inc. Berthel Fisher investor protection violation 2007 NE-DBF $5,000
Universal Underwriters Insurance Company Zurich Insurance insurance violation 2007 NH-INS $28,125
Moneygram International MoneyGram International consumer protection violation 2007 NH-BKG $10,000
Smith Barney Morgan Stanley investor protection violation 2007 NJ-BOS $5,000,000
Allstate Life Insurance Company of New York Allstate insurance violation 2007 NY-DFS $18,250,000
John Alden Life Insurance Company Assurant insurance violation 2007 OR-FIN $10,000
Time Insurance Company Haven Holdings insurance violation 2007 OR-FIN $60,000
Farmers Insurance Company of Oregon Zurich Insurance insurance violation 2007 OR-FIN $20,000
Mid-Century Insurance Company Zurich Insurance insurance violation 2007 OR-FIN $20,000
Reliance Standard Life Insurance Company Tokio Marine insurance violation 2007 OR-FIN $10,000
ACE American Insurance Company Chubb Limited insurance violation 2007 OR-FIN $15,000
AIU Insurance Company et al. American International Group insurance violation 2007 OR-FIN $1,000,000
Ticor Title Insurance Company Fidelity National Financial insurance violation 2007 OR-FIN $6,000
Nationwide Mutual Insurance Company Nationwide insurance violation 2007 OR-FIN $10,000
AIG Casualty Company American International Group insurance violation 2007 OR-FIN $7,500
American Home Assurance Company American International Group insurance violation 2007 OR-FIN $10,000
Commerce and Industry Insurance Company American International Group insurance violation 2007 OR-FIN $10,000
Granite State Insurance Company American International Group insurance violation 2007 OR-FIN $5,000
The Insurance Company of the State of Pennsylvania American International Group insurance violation 2007 OR-FIN $10,000
Reliance Standard Life Insurance Company Tokio Marine insurance violation 2007 OR-FIN $5,000
Farmers Insurance Company of Oregon Zurich Insurance insurance violation 2007 OR-FIN $10,000
Virginia Surety Company, Inc. Assurant insurance violation 2007 OR-FIN $6,100
Seabury & Smith Inc. Marsh & McLennan insurance violation 2007 PA-INS $25,000
Lincoln Financial Advisors Corp. Lincoln National investor protection violation 2007 RI-FIN $5,000
Morgan Stanley & Co. Inc. Morgan Stanley investor protection violation 2007 RI-FIN $250,000
AXA Insurance Company AXA insurance violation 2007 SC-INS $8,000
A.G. Edwards & Sons Inc. Wells Fargo investor protection violation 2007 SC-SEC $575,000
AMERICAN BANKERS LIFE Assurant insurance violation 2007 VA-INS $97,000
LIBERTY INSURANCE CORP. ET AL. Liberty Mutual Insurance insurance violation 2007 VA-INS $15,000
UBS FINANCIAL SERVICES, INC. UBS investor protection violation 2007 VA-SEC $100,000
RELIASTAR LIFE INSURANCE CO. Voya Financial insurance violation 2007 VA-INS $8,000
UNION SECURITY LIFE INSURANCE Assurant insurance violation 2007 VA-INS $27,000
State Farm Mutual Automobile Insurance Company State Farm Insurance insurance violation 2007 VA-INS $6,000
AMEX ASSURANCE CO. American Express insurance violation 2007 VA-INS $26,400
Group Hospitalization and Medical Services, Inc. CareFirst of Maryland insurance violation 2007 VA-INS $15,000
United Services Automobile Association USAA insurance violation 2007 VA-INS $6,000
CAREFIRST BLUECHOICE, INC. CareFirst of Maryland insurance violation 2007 VA-INS $120,000
UNITED AMERICAN INSURANCE CO. Globe Life Inc. insurance violation 2007 VA-INS $15,000
CUNA MUTUAL INSURANCE SOCIETY CUNA Mutual insurance violation 2007 VA-INS $30,000
AMERICAN HOME ASSURANCE ET AL. American International Group insurance violation 2007 VA-INS $5,000
Metropolitan Property and Casualty MetLife insurance violation 2007 VA-INS $5,000
SENTINEL INSURANCE COMPANY Hartford Financial Services insurance violation 2007 VA-INS $5,000
Allstate Insurance Company and Allstate Indemnity Company Allstate insurance violation 2007 VA-INS $8,000
CHUBB INDEMNITY INSURANCE, ET AL. Chubb Limited insurance violation 2007 VA-INS $5,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)