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
CashCall Inc., WS Funding CashCall Inc. consumer protection violation 2017 DC-AG $2,962,573
CashCall, Inc. CashCall Inc. consumer protection violation 2017 VA-AG $15,335,000
Citigroup Global Markets, Inc. Citigroup investor protection violation 2017 NY-AG $23,500,000
Deutsche Bank Deutsche Bank interest rate benchmark manipulation 2017 MULTI-AG $220,000,000
Deutsche Bank Deutsche Bank toxic securities abuses 2017 MD-AG $95,000,000
Horizon Healthcare Services, Inc. Horizon Healthcare Services privacy violation 2017 NJ-AG $1,100,000
LPL Financial, LLC LPL Financial investor protection violation 2017 NJ-AG $975,000
Nationwide Mutual Insurance Company Nationwide privacy violation 2017 MULTI-AG $5,500,000
Royal Bank of Scotland Royal Bank of Scotland toxic securities abuses 2017 CA-AG $125,000,000
Santander Consumer USA Holdings Inc. Banco Santander consumer protection violation 2017 MA-AG $22,000,000
Santander Consumer USA Holdings, Inc. Banco Santander consumer protection violation 2017 DE-AG $3,875,000
State Farm Life Insurance Co. State Farm Insurance insurance violation 2017 MULTI-AG $250,000
Western Sky Financial, LLC, CashCall, Inc. CashCall Inc. consumer protection violation 2017 GA-AG $42,000,000
Western Union Co. Western Union consumer protection violation 2017 MULTI-AG $5,000,000
Wilmington Trust N.A. M&T Bank benefit plan administrator violation 2017 private lawsuit-federal $29,773,250
Bank of America, N.A. Bank of America consumer protection violation 2017 CA-MULTI $1,940,000
AON SERVICE CORPORATION Aon wage and hour violation 2017 WHD $7,406
Cleco Corporation Macquarie wage and hour violation 2017 WHD $12,190
Ally Financial Inc Ally Financial wage and hour violation 2017 WHD $34,169
Ally Financial, LLC Ally Financial wage and hour violation 2017 WHD $164,143
Teachers Insurance & Annuity Assoc of America TIAA wage and hour violation 2017 WHD $9,678
Morgan Keegan & Co. Raymond James Financial investor protection violation 2017 AL-SEC $20,000
Chicago Title Insurance Co. Fidelity National Financial insurance violation 2017 AR-INS $50,000
SunTrust Mortgage, Inc. Truist Financial consumer protection violation 2017 AR-SEC $13,000
CashCall, Inc. CashCall Inc. payday lending violation 2017 AZ-DFS $250,000
Guaranteed Rate, Inc. Guaranteed Rate Inc. consumer protection violation 2017 CA-DFPI $50,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2017 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2017 CA-MHC $5,000
Ocwen Loan Servicing, LLC Ocwen Financial mortgage abuses 2017 CA-DFPI $225,000,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2017 CA-MHC $10,000
Amerisave Mortgage Corp. AmeriSave Mortgage consumer protection violation 2017 CA-DFPI $50,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2017 CA-MHC $40,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2017 CA-MHC $5,000
W.R. Berkley Corp. W.R. Berkley insurance violation 2017 CA-INS $3,015,000
Admiral Risk Insurance Services, Inc. W.R. Berkley insurance violation 2017 CA-INS $1,542,500
Admiral Insurance Co. W.R. Berkley insurance violation 2017 CA-INS $1,542,500
MLD Mortgage, Inc. dba The Money Store dba Mortgage Lending Direct MLD Mortgage Inc. dba The Money Store consumer protection violation 2017 CA-DFPI $30,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2017 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2017 CA-MHC $5,000
State Farm State Farm Insurance insurance violation 2017 CA-INS $13,335,701
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2017 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2017 CA-MHC $100,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2017 CA-MHC $5,000
Blue Shield of California Promise Health Plan California Physicians' Service insurance violation 2017 CA-MHC $7,500
Homebridge Financial Services, Inc. Homebridge Financial Services consumer protection violation 2017 CA-DFPI $80,000
Bannockburn Global Forex, LLC First Financial Bancorp. consumer protection violation 2017 CA-DFPI $500,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2017 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2017 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2017 CA-MHC $7,500
Nationstar Mortgage, LLC dba Mr. Cooper Mr. Cooper Group consumer protection violation 2017 CA-DFPI $9,118,784
California Physicians' Service (Blue Shield of California) California Physicians' Service insurance violation 2017 CA-MHC $322,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2017 CA-MHC $50,000
Blue Shield of California Promise Health Plan California Physicians' Service insurance violation 2017 CA-MHC $20,000
Auto Owners Insurance Co. Auto-Owners Insurance insurance violation 2017 CO-INS $25,875
American National Insurance Co. American National Insurance insurance violation 2017 DE-INS $8,000
Lincoln National Life Insurance Co. Lincoln National insurance violation 2017 DE-INS $79,000
Transamerica Life Insurance Co. Aegon insurance violation 2017 ID-INS $5,000
Pruco Securities, LLC Prudential Financial investor protection violation 2017 IL-SEC $900,000
Wells Fargo Advisors, LLC Wells Fargo investor protection violation 2017 IL-SEC $270,000
NYLIFE Securities, LLC New York Life Insurance investor protection violation 2017 IN-SEC $275,000
AGCS Marine Insurance Co. Allianz insurance violation 2017 KS-INS $63,483
Great American Insurance Co. American Financial Group insurance violation 2017 KS-INS $13,000
Companion Life Insurance Co. BlueCross BlueShield of South Carolina insurance violation 2017 KS-INS $100,000
Bankers Life and Casualty Co. CNO Financial insurance violation 2017 LA-INS $10,000
LPL Financial LLC LPL Financial investor protection violation 2017 MA-SEC $975,000
Investment Professionals, Inc. Ameriprise Financial investor protection violation 2017 MA-SEC $100,000
Morgan Stanley Smith Barney LLC Morgan Stanley investor protection violation 2017 MA-SEC $1,000,000
LPL Financial LLC LPL Financial investor protection violation 2017 MA-SEC $1,000,000
Gerber Life Insurance Co. Western & Southern Financial Group insurance violation 2017 MD-INS $8,000
Safety National Casualty Corp. Tokio Marine insurance violation 2017 MD-INS $5,000
Penn Mutual Life Insurance Co. Penn Mutual insurance violation 2017 MD-INS $25,600
Allied Property And Casualty Insurance Co. et al. Nationwide insurance violation 2017 MD-INS $5,000
JPMorgan Chase Bank, N.A. JPMorgan Chase investor protection violation 2017 MD-SEC $100,000
Metropolitan Life Insurance Co. MetLife insurance violation 2017 MD-INS $11,300
Transamerica Life Insurance Co. Aegon insurance violation 2017 MD-INS $8,300
American Security Insurance Co. et al. Assurant insurance violation 2017 MD-INS $25,000
Allianz Life Insurance Company of North America Allianz insurance violation 2017 MD-INS $9,850
Travelers Commercial Insurance Co. et al. Travelers insurance violation 2017 MD-INS $10,000
QBE Insurance Co. and Praetorian Insurance Co. QBE Insurance insurance violation 2017 MD-INS $10,000
Allstate Insurance Co. Allstate insurance violation 2017 MD-INS $18,000
Allstate Indemnity Co. Allstate insurance violation 2017 MD-INS $25,000
Pacific Life Insurance Co. Pacific Life insurance violation 2017 MD-INS $9,000
Trumbull Insurance Co. Hartford Financial Services insurance violation 2017 MD-INS $67,500
Globe Life and Accident Insurance Co. Globe Life Inc. insurance violation 2017 ME-INS $250,000
State Farm Mutual Automobile Insurance Co. State Farm Insurance insurance violation 2017 MN-FIN $50,000
American National Property and Casualty Co. American National Insurance insurance violation 2017 MN-FIN $5,000
Bristol West Casualty Insurance Co. Zurich Insurance insurance violation 2017 MN-FIN $20,000
ReliaStar Insurance Co. Voya Financial insurance violation 2017 MN-FIN $5,000
Farmers Insurance Exchange Farmers Insurance Exchange insurance violation 2017 MN-FIN $75,000
QBE Holdings, Inc. et al. QBE Insurance insurance violation 2017 MN-FIN $750,000
Safeco Surplus Lines Insurance Co. Liberty Mutual Insurance insurance violation 2017 MN-FIN $10,000
Washington National Insurance Co. CNO Financial insurance violation 2017 MN-FIN $140,000
A.G. Edwards & Sons, Inc. Wells Fargo investor protection violation 2017 MO-SEC $25,672
Liberty Insurance Corp. et al. Liberty Mutual Insurance insurance violation 2017 MO-INS $20,000
Stifel, Nicolaus & Company, Inc. Stifel Financial investor protection violation 2017 MS-SEC $50,000
HCC Life Insurance Co. and HCC Medical Insurance Services, LLC Tokio Marine insurance violation 2017 MT-INS $130,000
Allstate Fire and Casualty Insurance Co. et al. Allstate insurance violation 2017 MT-INS $10,000
Great Plains Specialty Finance, Inc., d/b/a Check 'n go CNG Financial consumer protection violation 2017 NE-DBF $49,600
NYLIFE Securities LLC New York Life Insurance investor protection violation 2017 NH-BSR $7,500
Horizon Healthcare of New Jersey, Inc. Horizon Healthcare Services insurance violation 2017 NJ-DBI $291,824
Horizon Healthcare Services, Inc. and Horizon Healthcare of New Jersey Inc. Horizon Healthcare Services insurance violation 2017 NJ-DBI $1,500,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)