Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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$87,286,650,890328
JPMorgan Chase$39,340,688,209275
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,780,502,443203
BNP Paribas$10,363,464,66623

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
CIT Technology Financing Services, Inc.First Citizens BancSharesconsumer protection violation2004NY-AG$4,200,000
Conseco, Inc.CNO Financialinvestor protection violation2004NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $15,000,000
DeLage Landen Financial ServicesRabobankconsumer protection violation2004NY-AG$405,000
FleetBoston Financial Corp.Bank of Americainvestor protection violation2004NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $300,000,000
Franklin/Templeton Distributors, Inc.Franklin Resourcesinvestor protection violation2004CA-AG$18,000,000
Invesco Funds GroupInvescoinvestor protection violation2004MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $325,000,000
Janus Capital ManagementJanus Hendersoninvestor protection violation2004MULTI-AG$225,000,000
Massachusetts Financial Services Co.Sun Life Financialinvestor protection violation2004NY-AG$350,000,000
Metropolitan Life Insurance Co.MetLifeconsumer protection violation2004MA-AG$150,000
PayPalPayPal Holdingsconsumer protection violation2004NY-AG$150,000
Strong Capital Management Co.Wells Fargoinvestor protection violation2004MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $115,000,000
UnumProvident CorporationUnumconsumer protection violation2004MULTI-AG$15,000,000
Wells FargoWells Fargoconsumer protection violation2004NY-AG$2,900,000
FIRST BANKFirst Bancorp (North Carolina)banking violation2004FDIC$12,000
Jackson Hewitt Inc.Jackson Hewittconsumer protection violation2004NY-NYCDCWP$125,000
Indiana Insurance Co.Liberty Mutual Insuranceemployment discrimination2004EEOC$178,065
Fifth Third BankFifth Third Bancorpemployment discrimination2004EEOC$225,000
Wilmington Trust Co.M&T Bankemployment discrimination2004EEOC$70,000
Travelers Insurance CompanyTravelersFalse Claims Act and related2004USAO$10,900,000
Progressive Casualty Insurance Co. et al.Progressiveinsurance violation2004CA-INS$100,000
American Bankers Insurance Company of Florida et al.Assurantinsurance violation2004CA-INS$150,000
Bristol West Insurance Co.Zurich Insuranceinsurance violation2004FL-OFR$26,500
Universal Property & Casualty Insurance Co.Universal Insurance Holdingsinsurance violation2004FL-OFR$47,500
ProEquities, Inc.Dai-ichi Lifeinvestor protection violation2004FL-OFR$5,000
Jackson National Life Insurance Co.Jackson Financialinsurance violation2004FL-OFR$5,500
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2004FL-OFR$10,000
Protective Life Insurance Co.Dai-ichi Lifeinsurance violation2004FL-OFR$5,950
Life Investors Insurance Company of AmericaAegoninsurance violation2004FL-OFR$11,000
World Group Securities, Inc.Aegoninvestor protection violation2004ID-SEC$15,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2004IL-SEC$5,000
Sun LIfe Assurance Company of Canada et al.Sun Life Financialinsurance violation2004IN-INS$125,000
Progressive Casualty Insurance Co. et al.Progressiveinsurance violation2004KS-INS$19,800
Morgan Stanley D.W., Inc.Morgan Stanleyinvestor protection violation2004KY-FIN$100,000
Allstate Life Insurance CompanyAllstateinsurance violation2004MA-INS$25,000
Conseco Health Insurance Co.CNO Financialinsurance violation2004ME-INS$10,000
John Alden Life Insurance Co.Assurantinsurance violation2004ME-INS$5,000
John Alden Life Insurance Co.Assurantinsurance violation2004ME-INS$5,000
John Alden Life Insurance Co.Assurantinsurance violation2004ME-INS$20,000
Conseco Senior Health Insurance Co.CNO Financialinsurance violation2004MN-FIN$5,000
Conseco Health Insurance Co.CNO Financialinsurance violation2004MN-FIN$5,000
Universal Underwriter Insurance Co.Zurich Insuranceinsurance violation2004MN-FIN$200,000
Fortis Insurance Co.Assurantinsurance violation2004MN-FIN$5,000
John Alden Life Insurance Co.Assurantinsurance violation2004MN-FIN$5,000
Foremost Insurance Co. at al.Zurich Insuranceinsurance violation2004MN-FIN$75,000
Safeco Insurance Company of IllinoisLiberty Mutual Insuranceinsurance violation2004MN-FIN$5,000
AmSouth Investment Services, Inc.Regions Financialinvestor protection violation2004MS-SEC$225,000
Seneca Ins Co. Inc.Fairfax Financial Holdingsinsurance violation2004MS-INS$5,000
Safety National Casualty Corp.Tokio Marineinsurance violation2004MS-INS$5,000
Seneca Insurance Co. Inc.Fairfax Financial Holdingsinsurance violation2004MS-INS$5,000
Fortis Insurance Co. et al.Assurantinsurance violation2004MT-FIN$70,000
Fortis Insurance Co.Assurantinsurance violation2004MT-FIN$65,000
Principal Life Insurance CompanyPrincipal Financialinvestor protection violation2004ND-SEC$30,000
Berthel Fisher and Company Financial Services Inc.Berthel Fisherinvestor protection violation2004ND-SEC$20,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2004ND-SEC$20,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2004ND-SEC$17,000
Morgan StanleyMorgan Stanleyinvestor protection violation2004NH-BSR$500,000
Allstate Life Insurance Co.Allstateinsurance violation2004NJ-DBI$15,000
AON Risk Services IncAoninsurance violation2004NJ-DBI$10,000
Hanover Insurance Co.Hanover Insuranceinsurance violation2004NJ-DBI$40,000
Selective Insurance Co. of AmericaSelective Insurance Groupinsurance violation2004NJ-DBI$25,000
State Farm Indemnity Co.State Farm Insuranceinsurance violation2004NJ-DBI$35,000
American General Financial Services Inc.OneMain Holdingsinsurance violation2004NJ-DBI$1,200,000
Credit AgricoleCredit Agricolebanking violation2004NY-DFS$5,000,000
Combined Insurance Company of AmericaChubb Limitedinsurance violation2004OR-FIN$10,000
Ragen Mackenzie Investment Services LLCWells Fargoinvestor protection violation2004OR-FIN$8,500
ING Life Insurance and Annuity CompanyVoya Financialinsurance violation2004OR-FIN$10,000
Affinity Insurance Services Inc.Aoninsurance violation2004PA-INS$5,000
Bristol West Insurance CompanyZurich Insuranceinsurance violation2004PA-INS$10,000
Travelers Indemnity Company of ConnecticutTravelersinsurance violation2004PA-INS$7,500
Great American Alliance Insurance CompanyAmerican Financial Groupinsurance violation2004PA-INS$16,000
Great American Assurance CompanyAmerican Financial Groupinsurance violation2004PA-INS$25,000
Great American Insurance Company of New YorkAmerican Financial Groupinsurance violation2004PA-INS$17,500
Great American Insurance CompanyAmerican Financial Groupinsurance violation2004PA-INS$20,000
Great American Spirit Insurance CompanyAmerican Financial Groupinsurance violation2004PA-INS$25,000
Bankers Life and Casualty CompanyCNO Financialinsurance violation2004PA-INS$5,000
Allstate Life Insurance CompanyAllstateinsurance violation2004PA-INS$25,000
Hartford Casualty InsuranceHartford Financial Servicesinsurance violation2004PA-INS$30,000
Conseco Life Insurance CompanyCNO Financialinsurance violation2004SC-INS$6,000
Pruco Securities LLCPrudential Financialinvestor protection violation2004TX-SEC$10,000
PRUDENTIAL INSURANCE COMPANYPrudential Financialinsurance violation2004VA-INS$7,500
PRUCO LIFE INSURANCE COPrudential Financialinsurance violation2004VA-INS$7,500
MERRILL LYNCH PIERCE FENNER &Bank of Americainvestor protection violation2004VA-SEC$268,723
AMERICAN ZURICH INSURANCE COZurich Insuranceinsurance violation2004VA-INS$5,000
THE GUARDIAN LIFE INSURANCE COGuardian Life Insuranceinsurance violation2004VA-INS$27,000
FEDERAL INSURANCE CO., ET AL.Chubb Limitedinsurance violation2004VA-INS$65,000
CITIGROUP GLOBAL MARKETS INCCitigroupinvestor protection violation2004VA-SEC$72,486
PROTECTIVE LIFE INSURANCE CO.Dai-ichi Lifeinsurance violation2004VA-INS$10,000
LIBERTY MUTUAL INSURANCE CO., ET ALLiberty Mutual Insuranceinsurance violation2004VA-INS$37,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2004WA-FIN$325,000
Conseco Health Insurance Co.CNO Financialinsurance violation2004WI-INS$11,000
Great American Insurance Co.American Financial Groupinsurance violation2004WI-INS$5,000
Auto-Owners Insurance Co.Auto-Owners Insuranceinsurance violation2004WI-INS$5,000
AmSouth Investment Services Inc.Regions Financialinvestor protection violation2004MULTI-FIN$225,000
Cincinnati Life Insurance CompanyCincinnati Financialinsurance violation2004MULTI-FIN$216,750
WFS Financial, Inc.Wells Fargodiscriminatory practices (non-employment)2004private lawsuit-federal$4,550,000
General Motors Acceptance Corp.Ally Financialdiscriminatory practices (non-employment)2004private lawsuit-federal$9,600,000
Cincinnati Life Insurance CompanyCincinnati Financialdiscriminatory practices (non-employment)2004private lawsuit-state$1,900,000
Flagstar BankNew York Community Bancorpdiscriminatory practices (non-employment)2004private lawsuit-federal$1,100,000
SYNAGRO CTL LLCGoldman Sachsenvironmental violation2004PA-ENV$20,000
Pro Line Printing, Inc.Chatham Asset Managementenvironmental violation2004CT-ENV$11,125
WHEELABRATOR RIDGE ENERGY, INC.Macquarieenvironmental violation2004FL-DEP$19,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.