Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$339,976,074,213
Number of Records: 6,952
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$82,898,016,192264
JPMorgan Chase$36,107,446,133199
Citigroup$25,540,645,217156
Wells Fargo$21,881,892,841222
Deutsche Bank$18,341,457,30276
UBS$16,879,318,334102
Goldman Sachs$16,399,485,79387
NatWest Group PLC$13,515,546,85731
BNP Paribas$12,148,363,95019
Credit Suisse$10,732,400,12649

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 or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentPrimary Offense TypeYear sort iconAgencyPenalty Amount
Carefirst Bluechoice, Inc.CareFirst of Marylandinsurance violation2020VA-INS$90,600
Group Hospitalization and Medical Services, Inc.CareFirst of Marylandinsurance violation2020VA-INS$36,250
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2020VT-AG$105,000
State Farm Life Insurance Co.State Farm Insuranceinsurance violation2020VT-FIN$204,000
Arch Insurance Co.Arch Capitalinsurance violation2020WA-INS$10,000
Premera Blue CrossPremera Blue Crossinsurance violation2020WA-INS$25,000
Crestbrook Insurance Co.Nationwideinsurance violation2020WA-INS$5,000
Cincinnati Insurance Co.Cincinnati Financialinsurance violation2020WA-INS$5,000
National Union Fire Insurance Company of Pittsburgh, PA. et al.American International Groupinsurance violation2020WA-INS$20,000
Guardian Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2020WA-INS$5,000
Northwestern Mutual Life Insurance Co.Northwestern Mutualinsurance violation2020WA-INS$50,000
Security National Insurance Co.Zurich Insuranceinsurance violation2020WA-INS$5,000
Privilege Underwriters Reciprocal ExchangeTokio Marineinsurance violation2020WA-INS$5,000
Farmers Insurance ExchangeFarmers Insurance Exchangewage and hour violation2020private lawsuit-federal$5,400,000
U.S. Bank National AssociationU.S. Bancorpwage and hour violation2020private lawsuit-federal$6,500,000
JPMorgan Chase Bank, N.A.JPMorgan Chasewage and hour violation2020private lawsuit-federal$3,750,000
HSBCHSBCFalse Claims Act and related2020CA-AG$7,000,000
Morgan Stanley Smith Barney FA Notes Holdings LLCMorgan Stanleyconsumer protection violation2020CA-DFPI$1,000,000
PHH Mortgage CorporationOcwen Financialconsumer protection violation2020CA-DFPI$62,000
Freedom Mortgage CorporationFreedom Mortgageconsumer protection violation2020CA-DFPI$75,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2020CA-MHC$5,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2020CA-MHC$30,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2020CA-MHC$5,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2020CA-MHC$15,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2020CA-MHC$10,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2020CA-MHC$5,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2020CA-MHC$5,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2020CA-MHC$5,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2020CA-MHC$15,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2020CA-MHC$7,500
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2020CA-MHC$10,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2020CA-MHC$5,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2020CA-MHC$5,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2020CA-MHC$7,500
Nationstar Mortgage, LLC dba Mr. CooperMr. Cooper Groupconsumer protection violation2020CFPB$74,500,000
Washington Federal Bank, N.A.Washington Federal Inc.consumer protection violation2020CFPB$200,000
Encore Capital Group, Inc.Encore Capital Groupconsumer protection violation2020CFPB$15,079,308
Vitol Inc.Vitolfraud2020CFTC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $95,700,000
Morgan Stanley Capital Services LLCMorgan Stanleyinvestor protection violation2020CFTC$5,000,000
Gain Capital Group, LLCStoneX Groupinvestor protection violation2020CFTC$300,000
JPMorgan Chase & CompanyJPMorgan Chaseinvestor protection violation2020CFTC$920,200,000
Citibank N.A.Citigroupinvestor protection violation2020CFTC$4,500,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020CO-SEC$69,338
Janney Montgomery Scott, LLCPenn Mutualinvestor protection violation2020CT-BKG$150,000
Schupp & Grochmal, LLCSchupp & Grochmalinvestor protection violation2020CT-BKG$10,510
Highmark BCBSD IncHighmark Inc.insurance violation2020DE-INS$299,000
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2020DE-INS$20,000
Vitol Inc.VitolForeign Corrupt Practices Act2020DOJ_CRIMINAL$135,000,000
Goldman Sachs Group Inc.Goldman SachsForeign Corrupt Practices Act2020DOJ_CRIMINAL$2,921,088,000
JPMorgan Chase & Co.JPMorgan Chasefraud2020DOJ_CRIMINAL(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $920,000,000
Nationstar Mortgage, LLCMr. Cooper Groupmortgage abuses2020DOJ_UTP$40,000,000
U.S. Bank National AssociationU.S. Bancorpmortgage abuses2020DOJ_UTP$29,000,000
PNC Bank, NAPNC Financial Servicesmortgage abuses2020DOJ_UTP$5,000,000
OCWEN FINANCIAL CORPORATIONOcwen Financialbenefit plan administrator violation2020EBSA$50,001
OCWEN FINANCIAL CORPORATIONOcwen Financialbenefit plan administrator violation2020EBSA$50,001
OCWEN FINANCIAL CORPORATIONOcwen Financialbenefit plan administrator violation2020EBSA$50,001
Goldman Sachs Group, Inc.Goldman Sachsbanking violation2020FED$154,000,000
M&T BankM&T Bankbanking violation2020FED$546,000
Ocwen Financial CorporationOcwen Financialmortgage abuses2020FL-AG$11,600,000
Premera Blue CrossPremera Blue Crossprivacy violation2020HHSOCR$6,850,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020IL-SEC$11,385
Thrivent Investment Management Inc.Thrivent Financialinvestor protection violation2020IL-SEC$400,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020KY-FIN$5,465
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020MS-SEC$6,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020MT-SEC$14,700
Nationstar Mortgage dba Mr. CooperMr. Cooper Groupconsumer protection violation2020MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $86,300,000
LPL Financial LLCLPL Financialinvestor protection violation2020NH-BSR$976,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020NM-SEC$6,500
Allstate Insurance GroupAllstateinsurance violation2020NY-DFS$1,455,368
State Farm Insurance GroupState Farm Insuranceinsurance violation2020NY-DFS$10,443,700
AIG Property Casualty CompanyAmerican International Groupinsurance violation2020NY-DFS$583,900
Principal Life Insurance CompanyPrincipal Financialinsurance violation2020NY-DFS$6,000,000
Goldman Sachs GroupGoldman Sachsinvestor protection violation2020NY-DFS$150,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2020OCC$250,000,000
USAA Federal Savings BankUSAAbanking violation2020OCC$85,000,000
Morgan Stanley Bank, N.A.Morgan Stanleybanking violation2020OCC$60,000,000
Citibank, National AssociationCitigroupbanking violation2020OCC$400,000,000
CIT Bank, National AssociationFirst Citizens BancSharesbanking violation2020OCC$82,500
JPMorgan Chase & Co.JPMorgan Chaseemployment discrimination2020OFCCP$9,000,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2020OR-FIN$50,000
Selective Insurance Company of AmericaSelective Insurance Groupinsurance violation2020OR-FIN$10,000
Allstate Insurance CompanyAllstateinsurance violation2020OR-FIN$50,000
Ameritas Investment Company LLCAmeritas Mutual Holding Companyinvestor protection violation2020PA-BKG$100,000
John Hancock Life and Health Insurance CompanyManulife Financialinsurance violation2020RI-FIN$44,877
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020RI-FIN$6,500
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020SC-SEC$28,007
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2020SD-INS$85,000
Goldman Sachs Group Inc.Goldman SachsForeign Corrupt Practices Act2020SEC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,006,000,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2020SEC$5,000,000
Transamerica Asset Management, Inc.Aegoninvestor protection violation2020SEC$5,946,782
BGC Partners, Inc.BGC Partnersinvestor protection violation2020SEC$1,400,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2020SEC$35,000,000
Fulton Financial CorporationFulton Financialinvestor protection violation2020SEC$1,500,000
Credit Suisse Securities (USA) LLCCredit Suisseinvestor protection violation2020SEC$600,000
Arthur J. Gallagher Risk Management Services, Inc.Arthur J. Gallagher & Co.insurance violation2020TX-INS$9,675
Esurance Insurance CompanyAllstateinsurance violation2020TX-INS$200,000
American Income Life Insurance CompanyGlobe Life Inc.insurance violation2020VA-INS$18,000
Life Insurance Company of the SouthwestNational Life Groupinsurance violation2020VA-INS$6,600
Allied Property & Casualty Insurance Company et al.Nationwideinsurance violation2020VA-INS$17,500
Allied Property & Casualty Insurance Company et al.Nationwideinsurance violation2020VA-INS$20,000
HARTFORD CASUALTY INSURANCE COMPANYHartford Financial Servicesinsurance violation2020WA-INS$90,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.