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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.

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CompanyCurrent ParentPrimary Offense TypeYear sort iconAgencyPenalty Amount
Great Plains Specialty Finance, Inc. d/b/a Check 'n GoCNG Financialconsumer protection violation2019NE-DBF$12,850
Great Plains Specialty Finance, Inc. d/b/a Check 'n GoCNG Financialconsumer protection violation2019NE-DBF$13,500
Solium Financial Services LLCMorgan Stanleyconsumer protection violation2019NE-DBF$14,000
CashCall, Inc.CashCall Inc.consumer protection violation2019NH-BKG$188,880
CashCall Inc. and WS Funding LLCCashCall Inc.consumer protection violation2019NH-BKG$188,800
Berthel Fisher & Company Financial Services, IncBerthel Fisherinvestor protection violation2019NH-BSR$415,407
Santander Securities, LLCBanco Santanderinvestor protection violation2019NH-BSR$50,000
NEXT Financial Group, IncAtria Wealth Solutionsinvestor protection violation2019NH-BSR$325,000
Transamerica Life Insurance CompanyAegoninsurance violation2019NJ-DBI$5,942,519
Horizon Healthcare of New Jersey, Inc.Horizon Healthcare Servicesinsurance violation2019NJ-DBI$1,940,000
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesinsurance violation2019NJ-DBI$250,000
Genworth Life Insurance CompanyGenworth Financialinsurance violation2019NJ-DBI$10,000
Arch Insurance CompanyArch Capitalinsurance violation2019NY-DFS$5,000,000
National Union Fire Insurance CompanyAmerican International Groupinsurance violation2019NY-DFS$5,200,000
Globe Life Insurance Company of New YorkGlobe Life Inc.insurance violation2019NY-DFS$7,769,000
MetLife Insurance CompanyMetLifeinsurance violation2019NY-DFS$208,750,000
Standard Chartered BankStandard Charteredprice-fixing or anti-competitive practices2019NY-DFS$40,000,000
Mercury Casualty CompanyMercury General Corporationinsurance violation2019NY-DFS$31,000
Standard Chartered BankStandard Charteredeconomic sanction violation2019NY-DFS$180,000,000
UniCredit GroupUniCrediteconomic sanction violation2019NY-DFS$405,000,000
Mid-Century Insurance CompanyZurich Insuranceinsurance violation2019NY-DFS$50,000
Titan Insurance CompanyNationwideinsurance violation2019NY-DFS$149,300
MUFG Bank Ltd.U.S. Bancorpbanking violation2019NY-DFS$33,000,000
Bankers Conseco Life InsuranceCNO Financialinsurance violation2019NY-DFS$27,900
Companion Life Insurance Co.BlueCross BlueShield of South Carolinainsurance violation2019NY-DFS$648,122
The Guardian Insurance & Annuity Company, Inc.Guardian Life Insuranceinsurance violation2019NY-DFS$442,589
Northwestern Mutual Life Insurance Co.Northwestern Mutualinsurance violation2019NY-DFS$57,937
The Penn Mutual Life Insurance Co.Penn Mutualinsurance violation2019NY-DFS$455,584
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2019NY-DFS$49,020
The United States Life Insurance CompanyAmerican International Groupinsurance violation2019NY-DFS$171,902
Great Plains Specialty Finance Inc. dba Check 'N GoCNG Financialconsumer protection violation2019OK-DCC$48,600
Liberty Northwest Insurance CorporationLiberty Mutual Insuranceinsurance violation2019OR-FIN$15,000
Hartford Insurance Company of the MidwestHartford Financial Servicesinsurance violation2019OR-FIN$50,000
Minnesota Life Insurance CompanySecurian Financialinsurance violation2019OR-FIN$5,000
Cadaret Grant & Co. Inc.Atria Wealth Solutionsinvestor protection violation2019PA-BKG$90,000
Progressive Casualty Insurance CompanyProgressiveinsurance violation2019RI-FIN$10,000
USAA Casualty Insurance CompanyUSAAinsurance violation2019RI-FIN$8,000
Metropolitan Property and Casualty CompanyZurich Insuranceinsurance violation2019RI-FIN$5,000
Metropolitan Life Insurance CompanyMetLifeinsurance violation2019RI-FIN$15,000
LPL Financial LLCLPL Financialinvestor protection violation2019SC-SEC$40,000
American Family Life Assurance CompanyAflacinsurance violation2019SD-INS$100,000
Genworth Life Insurance CompanyGenworth Financialinsurance violation2019SD-INS$5,000
Transamerica Life Insurance CompanyAegoninsurance violation2019SD-INS$30,000
Edward D. Jones & Co. L.P.Jones Financialinvestor protection violation2019SD-INS$10,000
The Hanover Insurance CompanyHanover Insuranceinsurance violation2019TX-INS$20,000
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2019TX-INS$32,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2019TX-INS$7,500
Accident Fund National Insurance CompanyAF Groupinsurance violation2019TX-INS$5,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2019TX-INS$45,000
Sentry InsuranceSentry Insuranceinsurance violation2019TX-INS$9,000
XL Insurance America, Inc.AXAinsurance violation2019TX-INS$5,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2019TX-INS$8,000
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2019TX-INS$6,000
Fidelity National Title Insurance CompanyFidelity National Financialinsurance violation2019TX-INS$90,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2019TX-INS$9,900
Safety National Casualty CorporationTokio Marineinsurance violation2019TX-INS$5,000
Chubb Indemnity Insurance CompanyChubb Limitedinsurance violation2019TX-INS$9,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2019TX-INS$30,000
Hartford Insurance Company of the MidwestHartford Financial Servicesinsurance violation2019TX-INS$10,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2019TX-INS$17,000
Ace American Insurance CompanyChubb Limitedinsurance violation2019TX-INS$18,000
Ace American Insurance CompanyChubb Limitedinsurance violation2019TX-INS$5,000
Standard Fire Insurance CompanyTravelersinsurance violation2019TX-INS$20,000
The Phoenix Insurance CompanyTravelersinsurance violation2019TX-INS$6,000
Hartford Fire Insurance CompanyHartford Financial Servicesinsurance violation2019TX-INS$8,000
Everest National Insurance CompanyEverest Re Groupinsurance violation2019TX-INS$13,500
Travelers Indemnity CompanyTravelersinsurance violation2019TX-INS$5,000
Selective Insurance Company of AmericaSelective Insurance Groupinsurance violation2019TX-INS$6,500
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2019TX-INS$9,000
Liberty Mutual Insurance CompanyLiberty Mutual Insuranceinsurance violation2019TX-INS$10,000
Hartford Insurance Company of the MidwestHartford Financial Servicesinsurance violation2019TX-INS$10,000
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2019TX-INS$5,850
Zurich American Insurance CompanyZurich Insuranceinsurance violation2019TX-INS$15,000
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2019TX-INS$6,500
Arch Indemnity Insurance CompanyArch Capitalinsurance violation2019TX-INS$10,250
Hartford Fire Insurance CompanyHartford Financial Servicesinsurance violation2019TX-INS$12,500
Travelers Casualty and Surety CompanyTravelersinsurance violation2019TX-INS$14,000
LM General Insurance CompanyLiberty Mutual Insuranceinsurance violation2019UT-INS$70,000
UBS Financial Services Inc.UBSinvestor protection violation2019VA-SEC$288,970
Globe Life and Accident Insurance CompanyGlobe Life Inc.insurance violation2019VA-INS$15,000
Praetorian Insurance CompanyQBE Insuranceinsurance violation2019VA-INS$183,819
Elephant Insurance CompanyAdmiral Groupinsurance violation2019VA-INS$47,619
General Automobile Insurance Company, IncAmerican Family Insuranceinsurance violation2019VA-INS$27,624
National Union Fire Insurance Company of Pittsburgh, PennsylvaniaAmerican International Groupinsurance violation2019VA-INS$28,806
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2019VA-INS$27,828
Erie Insurance ExchangeErie Indemnityinsurance violation2019VA-INS$1,921,784
Selective Insurance Company of AmericaSelective Insurance Groupinsurance violation2019VA-INS$10,137
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2019VA-INS$5,000
Acadia Insurance Company et al.W.R. Berkleyinsurance violation2019VA-INS$9,341
Nationwide Mutual Fire Insurance CompanyNationwideinsurance violation2019VA-INS$397,667
Progressive Advanced Insurance Company et al.Progressiveinsurance violation2019VA-INS$4,876,344
American Fire and Casualty Company and Ohio Security Insurance CompanyLiberty Mutual Insuranceinsurance violation2019VA-INS$148,910
Arch Insurance CompanyArch Capitalinsurance violation2019VA-INS$26,447
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2019VA-SEC$10,000
Erie Insurance Company and Erie Insurance ExchangeErie Indemnityinsurance violation2019VA-INS$90,219
State Farm Fire & Casualty Company and State Farm Mutual Auto Insurance Co.State Farm Insuranceinsurance violation2019VT-FIN$265,000
CMFG Life Insurance CompanyCUNA Mutualinsurance violation2019VT-FIN$231,000
Permanent General Assurance CorporationAmerican Family Insuranceinsurance violation2019VT-FIN$11,000
Companion Life Insurance CompanyBlueCross BlueShield of South Carolinainsurance violation2019VT-FIN$1,656,000
John Hancock Life Insurance Company (U.S.A.)Manulife Financialinsurance violation2019VT-FIN$800,000
Illinois Union Ins CoChubb Limitedinsurance violation2019WA-INS$102,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.