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
Invesco Funds Group Invesco investor protection violation 2004 MULTI-AG (*) $325,000,000
Janus Capital Management Janus Henderson investor protection violation 2004 MULTI-AG $225,000,000
Massachusetts Financial Services Co. Sun Life Financial investor protection violation 2004 NY-AG $350,000,000
Metropolitan Life Insurance Co. MetLife consumer protection violation 2004 MA-AG $150,000
PayPal PayPal Holdings consumer protection violation 2004 NY-AG $150,000
Strong Capital Management Co. Wells Fargo investor protection violation 2004 MULTI-AG (*) $115,000,000
UnumProvident Corporation Unum consumer protection violation 2004 MULTI-AG $15,000,000
Wells Fargo Wells Fargo consumer protection violation 2004 NY-AG $2,900,000
FIRST BANK First Bancorp (North Carolina) banking violation 2004 FDIC $12,000
Jackson Hewitt Inc. Jackson Hewitt consumer protection violation 2004 NY-NYCDCWP $125,000
Indiana Insurance Co. Liberty Mutual Insurance employment discrimination 2004 EEOC $178,065
Fifth Third Bank Fifth Third Bancorp employment discrimination 2004 EEOC $225,000
Wilmington Trust Co. M&T Bank employment discrimination 2004 EEOC $70,000
Travelers Insurance Company Travelers False Claims Act and related 2004 USAO $10,900,000
Progressive Casualty Insurance Co. et al. Progressive insurance violation 2004 CA-INS $100,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2004 CA-MHC $15,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2004 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2004 CA-MHC $20,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2004 CA-MHC $20,000
American Bankers Insurance Company of Florida et al. Assurant insurance violation 2004 CA-INS $150,000
Bristol West Insurance Co. Zurich Insurance insurance violation 2004 FL-OFR $26,500
Universal Property & Casualty Insurance Co. Universal Insurance Holdings insurance violation 2004 FL-OFR $47,500
ProEquities, Inc. Dai-ichi Life investor protection violation 2004 FL-OFR $5,000
Jackson National Life Insurance Co. Prudential (UK) insurance violation 2004 FL-OFR $5,500
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America investor protection violation 2004 FL-OFR $10,000
Protective Life Insurance Co. Dai-ichi Life insurance violation 2004 FL-OFR $5,950
Life Investors Insurance Company of America Aegon insurance violation 2004 FL-OFR $11,000
World Group Securities, Inc. Aegon investor protection violation 2004 ID-SEC $15,000
Janney Montgomery Scott LLC Penn Mutual investor protection violation 2004 IL-SEC $5,000
Sun LIfe Assurance Company of Canada et al. Sun Life Financial insurance violation 2004 IN-INS $125,000
Progressive Casualty Insurance Co. et al. Progressive insurance violation 2004 KS-INS $19,800
Morgan Stanley D.W., Inc. Morgan Stanley investor protection violation 2004 KY-FIN $100,000
Allstate Life Insurance Company Allstate insurance violation 2004 MA-INS $25,000
Conseco Health Insurance Co. CNO Financial insurance violation 2004 ME-INS $10,000
John Alden Life Insurance Co. Assurant insurance violation 2004 ME-INS $5,000
John Alden Life Insurance Co. Assurant insurance violation 2004 ME-INS $5,000
John Alden Life Insurance Co. Assurant insurance violation 2004 ME-INS $20,000
Conseco Senior Health Insurance Co. CNO Financial insurance violation 2004 MN-FIN $5,000
Conseco Health Insurance Co. CNO Financial insurance violation 2004 MN-FIN $5,000
Universal Underwriter Insurance Co. Zurich Insurance insurance violation 2004 MN-FIN $200,000
Fortis Insurance Co. Assurant insurance violation 2004 MN-FIN $5,000
John Alden Life Insurance Co. Assurant insurance violation 2004 MN-FIN $5,000
Foremost Insurance Co. at al. Zurich Insurance insurance violation 2004 MN-FIN $75,000
Safeco Insurance Company of Illinois Liberty Mutual Insurance insurance violation 2004 MN-FIN $5,000
AmSouth Investment Services, Inc. Regions Financial investor protection violation 2004 MS-SEC $225,000
Seneca Ins Co. Inc. Fairfax Financial Holdings insurance violation 2004 MS-INS $5,000
Safety National Casualty Corp. Tokio Marine insurance violation 2004 MS-INS $5,000
Seneca Insurance Co. Inc. Fairfax Financial Holdings insurance violation 2004 MS-INS $5,000
Fortis Insurance Co. et al. Assurant insurance violation 2004 MT-INS $70,000
Fortis Insurance Co. Assurant insurance violation 2004 MT-INS $65,000
Principal Life Insurance Company Principal Financial investor protection violation 2004 ND-SEC $30,000
Berthel Fisher and Company Financial Services Inc. Berthel Fisher investor protection violation 2004 ND-SEC $20,000
Piper Jaffray & Co. Piper Sandler investor protection violation 2004 ND-SEC $20,000
Piper Jaffray & Co. Piper Sandler investor protection violation 2004 ND-SEC $17,000
Morgan Stanley Morgan Stanley investor protection violation 2004 NH-BSR $500,000
Allstate Life Insurance Co. Allstate insurance violation 2004 NJ-DBI $15,000
AON Risk Services Inc Aon insurance violation 2004 NJ-DBI $10,000
Hanover Insurance Co. Hanover Insurance insurance violation 2004 NJ-DBI $40,000
Selective Insurance Co. of America Selective Insurance Group insurance violation 2004 NJ-DBI $25,000
State Farm Indemnity Co. State Farm Insurance insurance violation 2004 NJ-DBI $35,000
American General Financial Services Inc. OneMain Holdings insurance violation 2004 NJ-DBI $1,200,000
Credit Agricole Credit Agricole banking violation 2004 NY-DFS $5,000,000
Combined Insurance Company of America Chubb Limited insurance violation 2004 OR-FIN $10,000
Ragen Mackenzie Investment Services LLC Wells Fargo investor protection violation 2004 OR-FIN $8,500
ING Life Insurance and Annuity Company Voya Financial insurance violation 2004 OR-FIN $10,000
Affinity Insurance Services Inc. Aon insurance violation 2004 PA-INS $5,000
Bristol West Insurance Company Zurich Insurance insurance violation 2004 PA-INS $10,000
Travelers Indemnity Company of Connecticut Travelers insurance violation 2004 PA-INS $7,500
Great American Alliance Insurance Company American Financial Group insurance violation 2004 PA-INS $16,000
Great American Assurance Company American Financial Group insurance violation 2004 PA-INS $25,000
Great American Insurance Company of New York American Financial Group insurance violation 2004 PA-INS $17,500
Great American Insurance Company American Financial Group insurance violation 2004 PA-INS $20,000
Great American Spirit Insurance Company American Financial Group insurance violation 2004 PA-INS $25,000
Bankers Life and Casualty Company CNO Financial insurance violation 2004 PA-INS $5,000
Allstate Life Insurance Company Allstate insurance violation 2004 PA-INS $25,000
Hartford Casualty Insurance Hartford Financial Services insurance violation 2004 PA-INS $30,000
Conseco Life Insurance Company CNO Financial insurance violation 2004 SC-INS $6,000
Pruco Securities LLC Prudential Financial investor protection violation 2004 TX-SEC $10,000
PRUDENTIAL INSURANCE COMPANY Prudential Financial insurance violation 2004 VA-INS $7,500
PRUCO LIFE INSURANCE CO Prudential Financial insurance violation 2004 VA-INS $7,500
MERRILL LYNCH PIERCE FENNER & Bank of America investor protection violation 2004 VA-SEC $268,723
AMERICAN ZURICH INSURANCE CO Zurich Insurance insurance violation 2004 VA-INS $5,000
CAREFIRST BLUECHOICE, INC. CareFirst of Maryland insurance violation 2004 VA-INS $118,000
THE GUARDIAN LIFE INSURANCE CO Guardian Life Insurance insurance violation 2004 VA-INS $27,000
FEDERAL INSURANCE CO., ET AL. Chubb Limited insurance violation 2004 VA-INS $65,000
CITIGROUP GLOBAL MARKETS INC Citigroup investor protection violation 2004 VA-SEC $72,486
PROTECTIVE LIFE INSURANCE CO. Dai-ichi Life insurance violation 2004 VA-INS $10,000
LIBERTY MUTUAL INSURANCE CO., ET AL Liberty Mutual Insurance insurance violation 2004 VA-INS $37,000
Morgan Stanley DW Inc. Morgan Stanley investor protection violation 2004 WA-FIN $325,000
Conseco Health Insurance Co. CNO Financial insurance violation 2004 WI-INS $11,000
Great American Insurance Co. American Financial Group insurance violation 2004 WI-INS $5,000
Auto-Owners Insurance Co. Auto-Owners Insurance insurance violation 2004 WI-INS $5,000
American National Insurance Company American National Insurance insurance violation 2004 MULTI-FIN $250,000
AmSouth Investment Services Inc. Regions Financial investor protection violation 2004 MULTI-FIN $225,000
Cincinnati Life Insurance Company Cincinnati Financial insurance violation 2004 MULTI-FIN $216,750
WFS Financial, Inc. Wells Fargo discriminatory practices (non-employment) 2004 private lawsuit-federal $4,550,000
General Motors Acceptance Corp. Ally Financial discriminatory practices (non-employment) 2004 private lawsuit-federal $9,600,000
Cincinnati Life Insurance Company Cincinnati Financial discriminatory practices (non-employment) 2004 private lawsuit-state $1,900,000
Flagstar Bank Flagstar Bancorp discriminatory practices (non-employment) 2004 private lawsuit-federal $1,100,000
WHEELABRATOR RIDGE ENERGY, INC. Macquarie environmental violation 2004 FL-DEP $19,000
IMTT INTERTERMINALL PIPELINE Macquarie environmental violation 2004 NJ-ENV $8,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)