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
Encore Capital Group Inc., Midland Credit Management, Inc. and Midland Funding LLC Encore Capital Group consumer protection violation 2009 MD-AG $998,000
Goldman Sachs & Co. Goldman Sachs mortgage abuses 2009 MA-AG $60,000,000
Great American Insurance Co. American Financial Group insurance violation 2009 MA-AG $176,000
Great American Life Insurance Company American Financial Group insurance violation 2009 MN-AG $50,000,000
Guardian Life Insurance Company of America Guardian Life Insurance discriminatory practices (non-employment) 2009 NY-AG $500,000
H&R Block H&R Block consumer protection violation 2009 CA-AG $4,850,000
Hanover Insurance Co. Hanover Insurance consumer protection violation 2009 MA-AG $415,000
Hartford Financial Services Group, Inc. Hartford Financial Services price-fixing or anti-competitive practices 2009 CT-AG $1,300,000
HealthNow NewYork, Inc. Highmark Inc. consumer protection violation 2009 NY-AG $212,500
Marsh & McLennan Companies, Inc. Marsh & McLennan kickbacks and bribery 2009 CT-AG $2,400,000
Marsh and McLennan Marsh & McLennan investor protection violation 2009 MULTI-AG $400,000,000
Marsh and McLennan Marsh & McLennan price-fixing or anti-competitive practices 2009 MULTI-AG $7,000,000
Merrill Lynch Bank of America investor protection violation 2009 DE-AG $459,000
Merrill Lynch Bank of America toxic securities abuses 2009 MA-AG $300,000
Merrill Lynch Bank of America investor protection violation 2009 OH-AG $475,000,000
Morgan Stanley Capital Group Inc. Morgan Stanley consumer protection violation 2009 FL-AG $2,275,000
OppenheimerFunds Inc. Invesco investor protection violation 2009 OR-AG $20,000,000
OppenheimerFunds, Inc. Invesco investor protection violation 2009 IL-AG $77,230,000
Progressive Direct Insurance Co. Progressive consumer protection violation 2009 MA-AG $120,000
Royal Bank of Canada Royal Bank of Canada investor protection violation 2009 DE-AG $22,156
Student Loan Xpress, Inc. CIT consumer protection violation 2009 MULTI-AG $112,825,000
TD Ameritrade, Inc. Charles Schwab Corp. investor protection violation 2009 MULTI-AG $456,000,000
The Chubb Corp. Chubb Limited consumer protection violation 2009 MA-AG $239,011
Wachovia Securities, LLC Wells Fargo investor protection violation 2009 DE-AG $309,000
Wells Fargo Wells Fargo investor protection violation 2009 CA-AG $1,400,000,000
Credit Suisse AG Credit Suisse economic sanction violation 2009 NY-MANDA $268,000,000
Lloyds TSB Bank plc Lloyds Banking Group economic sanction violation 2009 NY-MANDA $175,000,000
Seabury & Smith, Inc. Marsh & McLennan insurance violation 2009 AK-INS $39,378
Allied Home Mortgage Capital Corp. Americus Mortgage investor protection violation 2009 AR-SEC $10,000
Coast National Insurance Co. Zurich Insurance insurance violation 2009 AZ-INS $38,000
Blue Shield of California Life & Health Insurance Co. California Physicians' Service insurance violation 2009 CA-INS $285,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2009 CA-MHC $12,500
New York Life Insurance Co. New York Life Insurance insurance violation 2009 CA-INS $175,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2009 CA-MHC $15,000
Conseco Senior Health Insurance Co. CNO Financial insurance violation 2009 CA-INS $500,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2009 CA-MHC $30,000
Coast National Insurance Co. Zurich Insurance insurance violation 2009 CA-INS $150,000
National Western Life Insurance Co. National Western Life insurance violation 2009 CO-INS $11,500
Time Insurance Co. Haven Holdings insurance violation 2009 CO-INS $103,500
Permanent General Assurance Corp. American Family Insurance insurance violation 2009 CO-INS $31,900
Freedom Mortgage Corp. Freedom Mortgage consumer protection violation 2009 CT-BKG $43,000
PHH Mortgage Corp. dba Century Mortgage Ocwen Financial consumer protection violation 2009 CT-BKG $6,000
Safeco Liberty Mutual Insurance insurance violation 2009 CT-INS $434,000
Prosper Marketplace, Inc. Prosper Marketplace investor protection violation 2009 CT-SEC $12,602
Bankers Life & Casualty Co. CNO Financial insurance violation 2009 CT-INS $100,000
Citigroup Global Markets Inc. Citigroup consumer protection violation 2009 CT-BKG $75,000
USAA Life Insurance Co. USAA insurance violation 2009 FL-OFR $50,000
Universal Property & Casualty Insurance Co. Universal Insurance Holdings insurance violation 2009 FL-OFR $99,000
National Union Fire Insurance Company of Pittsburgh, Pa. American International Group insurance violation 2009 ID-INS $5,000
Taylor, Bean & Whitaker Mortgage Corp. Taylor, Bean & Whitaker consumer protection violation 2009 IL-BKG $20,000
State Farm Mutual Automobile Insurance Co. et al. State Farm Insurance insurance violation 2009 IN-INS $275,000
Chicago Title Insurance Co. Fidelity National Financial insurance violation 2009 IN-INS $24,150
Ticor Title Insurance Co. Fidelity National Financial insurance violation 2009 IN-INS $10,850
Liberty Mutual Insurance Co. Liberty Mutual Insurance insurance violation 2009 IN-INS $5,000
Reliance Standard Life Insurance Co. Tokio Marine insurance violation 2009 KS-INS $6,300
Old Republic Insurance Co. Old Republic International insurance violation 2009 KS-INS $5,000
Progressive Direct Insurance Co. Progressive insurance violation 2009 KS-INS $5,000
Bankers Life & Casualty Co. CNO Financial insurance violation 2009 KS-INS $8,000
AmeriSave Mortgage Corp. AmeriSave Mortgage consumer protection violation 2009 KY-FIN $18,000
Allied Home Mortgage Capital Corp. Americus Mortgage consumer protection violation 2009 KY-FIN $5,740
Mortgage Access Corp. dba Weichert Financial Services Weichert Financial Services consumer protection violation 2009 KY-FIN $5,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2009 KY-FIN $983,984
Morgan Stanley & Co. Inc. Morgan Stanley investor protection violation 2009 MD-SEC $100,000
Prosper Marketplace, Inc. Prosper Marketplace investor protection violation 2009 MD-SEC $28,706
Bankers Life & Casualty Co. CNO Financial insurance violation 2009 ME-INS $500,000
Sun Life Insurance Company of Canada Sun Life Financial insurance violation 2009 MN-FIN $7,500
Homesite Insurance Company of the Midwest American Family Insurance insurance violation 2009 MN-FIN $15,000
Marsh USA Inc. Marsh & McLennan insurance violation 2009 MN-FIN $325,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2009 MO-SEC $20,000
Old Republic National Title Insurance Co. Old Republic International insurance violation 2009 MO-INS $77,375
Securian Financial Services, Inc. Securian Financial investor protection violation 2009 MO-SEC $79,445
Raymond James Financial Services, Inc. Raymond James Financial investor protection violation 2009 MO-SEC $52,300
Chicago Title Insurance Co. Fidelity National Financial insurance violation 2009 MO-INS $55,496
Ticor Title Insurance Co. Fidelity National Financial insurance violation 2009 MO-INS $20,725
UBS Financial Services, Inc. UBS investor protection violation 2009 MO-SEC $170,175
Monumental Life Insurance Co. Aegon insurance violation 2009 MO-INS $26,001
Conseco Medical Insurance Co. CNO Financial insurance violation 2009 MO-INS $75,018
Investment Professionals, Inc. Ameriprise Financial investor protection violation 2009 MO-SEC $52,500
National Lloyds Insurance Co. Hilltop Holdings insurance violation 2009 MO-INS $40,925
LPL Financial Corp. LPL Financial investor protection violation 2009 MT-SEC $1,294,416
American Family Mutual Insurance Company American Family Insurance insurance violation 2009 ND-INS $5,000
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go CNG Financial consumer protection violation 2009 NE-DBF $42,850
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go CNG Financial consumer protection violation 2009 NE-DBF $5,500
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go CNG Financial consumer protection violation 2009 NE-DBF $5,250
CIT Group CIT consumer protection violation 2009 NE-DBF $52,000
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go CNG Financial consumer protection violation 2009 NE-DBF $29,800
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go CNG Financial consumer protection violation 2009 NE-DBF $24,400
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go CNG Financial consumer protection violation 2009 NE-DBF $11,050
Ace Cash Express, Inc. ACE Cash Express consumer protection violation 2009 NE-DBF $15,550
MetLife Investors USA Insurance Company MetLife insurance violation 2009 NH-INS $54,524
Allstate New Jersey Insurance Company Allstate insurance violation 2009 NJ-DBI $5,000
Ocwen Loan Servicing LLC Ocwen Financial consumer protection violation 2009 OH-BKG $10,000
Ace Cash Express ACE Cash Express consumer protection violation 2009 OH-BKG $7,050
Allied Home Mortgage Capital Corporation Americus Mortgage consumer protection violation 2009 NY-DFS $10,000
National Union Fire Insurance Company of Pittsburgh, PA American International Group insurance violation 2009 OR-FIN $65,000
Virginia Surety Company, Inc. Assurant insurance violation 2009 OR-FIN $10,000
Transamerica Life Insurance Company Aegon insurance violation 2009 OR-FIN $25,000
AMEX Assurance Company American Express insurance violation 2009 OR-FIN $25,000
Stewart Title Guaranty Company Stewart Information Services insurance violation 2009 OR-FIN $30,000
First American Title Insurance Company First American Financial insurance violation 2009 OR-FIN $61,000
Prosper Marketplace Inc. Prosper Marketplace investor protection violation 2009 OR-FIN $15,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)