« Return to search form

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 Year Agency Penalty Amountsort icon
SunTrust Bank Truist Financial banking violation 2005 WI-AG $10,107
TMX Finance, LLC TMX Finance wage and hour violation 2014 WHD $10,057
Stewart Title Guaranty Company Stewart Information Services insurance violation 2019 WA-INS $10,050
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2015 MSHA $10,030
Huntington National Bank Huntington Bancshares wage and hour violation 2010 WHD $10,007
FIRST NIAGARA FINANCIAL GROUP, INC. KeyCorp benefit plan administrator violation 2011 EBSA $10,001
FIRST NBC BANK Hancock Whitney Corp. benefit plan administrator violation 2011 EBSA $10,001
FRED ALGER & COMPANY, INCORPORATED Alger Associates benefit plan administrator violation 2006 EBSA $10,001
HORACE MANN SERVICE CORPORATION Horace Mann Educators Corp. benefit plan administrator violation 2006 EBSA $10,001
OCWEN FINANCIAL CORPORATION Ocwen Financial benefit plan administrator violation 2018 EBSA $10,001
OCWEN FINANCIAL CORPORATION Ocwen Financial benefit plan administrator violation 2019 EBSA $10,001
First Niagara Bank, National Association KeyCorp banking violation 2011 OCC $10,000
BB&T Truist Financial economic sanction violation 2007 OFAC $10,000
Bank of China Bank of China economic sanction violation 2004 OFAC $10,000
Allstate Insurance Co. Allstate privacy violation 2003 PA-AG $10,000
Metropolitan Life Insurance Co. MetLife privacy violation 2012 CT-AG $10,000
Mutual of Omaha Mutual of Omaha consumer protection violation 2002 NY-AG $10,000
Marsh & McLennan Agency LLC Marsh & McLennan insurance violation 2016 AK-INS $10,000
Securian Financial Services, Inc. Securian Financial investor protection violation 2020 AK-DBS $10,000
Stewart Title Guaranty Co. Stewart Information Services insurance violation 2013 AR-INS $10,000
Allied Home Mortgage Capital Corp. Americus Mortgage investor protection violation 2009 AR-SEC $10,000
Chicago Title Insurance Co. Fidelity National Financial insurance violation 2010 AZ-INS $10,000
Farmers Insurance Exchange Farmers Insurance Exchange insurance violation 2011 AZ-INS $10,000
MoneyGram Payment Systems, Inc. MoneyGram International consumer protection violation 2014 AZ-DFS $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2007 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2010 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2011 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2013 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2013 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2014 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2014 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2014 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2014 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2014 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2014 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2015 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2015 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2015 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2015 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2015 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2015 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2015 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2016 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2016 CA-MHC $10,000
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 $10,000
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 $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2018 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2018 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2018 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2018 CA-MHC $10,000
Oscar Health Plan of California Mulberry Health insurance violation 2018 CA-MHC $10,000
Cash America Advance, Inc. FirstCash payday lending violation 2019 CA-DFPI $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2019 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2019 CA-MHC $10,000
Blue Shield of California Promise Health Plan California Physicians' Service insurance violation 2019 CA-MHC $10,000
Jackson National Life Insurance Co. Prudential (UK) insurance violation 2007 CO-INS $10,000
Continental American Insurance Co. Aflac insurance violation 2019 CT-INS $10,000
Group Hospitalization and Medical Services, Inc. CareFirst of Maryland insurance violation 2000 DC-DISB $10,000
United States Fire Insurance Co. Fairfax Financial Holdings insurance violation 2014 DE-INS $10,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America investor protection violation 2004 FL-OFR $10,000
Western Union International Services LLC Western Union consumer protection violation 2019 FL-OFR $10,000
Ameritas Investment Corp. Ameritas Mutual Holding Company investor protection violation 2014 IA-INS $10,000
Old Republic National Title Insurance Co. Old Republic International insurance violation 2008 ID-INS $10,000
Bear, Stearns & Co., Inc. JPMorgan Chase investor protection violation 2005 IL-SEC $10,000
Edward D. Jones & Co., L.P. Jones Financial investor protection violation 2011 IN-SEC $10,000
Continental Western Insurance Co. W.R. Berkley insurance violation 2008 KS-INS $10,000
The Travelers Indemnity Co. et al. Travelers insurance violation 2010 KS-INS $10,000
Allstate Fire and Casualty Co. Allstate insurance violation 2014 KS-INS $10,000
State Farm Fire and Casualty Co. State Farm Insurance insurance violation 2015 KS-INS $10,000
Auto-Owners (Mutual) Insurance Co. and Owners Insurance Co. Auto-Owners Insurance insurance violation 2019 KS-INS $10,000
Homeward Residential, Inc. Ocwen Financial consumer protection violation 2015 KY-FIN $10,000
Bankers Life and Casualty Co. CNO Financial insurance violation 2017 LA-INS $10,000
The Lincoln National Life Insurance Co. Lincoln National insurance violation 2019 LA-INS $10,000
Banc of America Investment Services, Inc. Bank of America investor protection violation 2008 MD-SEC $10,000
Allstate Indemnity Co. et al. Allstate insurance violation 2010 MD-INS $10,000
Bankers Life and Casualty Co. CNO Financial insurance violation 2011 MD-INS $10,000
AMEX Assurance Co. American Express insurance violation 2011 MD-INS $10,000
State Farm Mutual Automobile Insurance Co. et al. State Farm Insurance insurance violation 2011 MD-INS $10,000
Praetorian Insurance Co. and Redland Insurance Co. QBE Insurance insurance violation 2011 MD-INS $10,000
Praetorian Insurance Co. and Stonington Insurance Co. QBE Insurance insurance violation 2013 MD-INS $10,000
Foremost Insurance Company Grand Rapids, Michigan Zurich Insurance insurance violation 2014 MD-INS $10,000
The Standard Fire Insurance Co. Travelers insurance violation 2015 MD-INS $10,000
Commonwealth Land Title Insurance Co. Fidelity National Financial insurance violation 2015 MD-INS $10,000
Twin City Fire Insurance Co. et al. Hartford Financial Services insurance violation 2016 MD-INS $10,000
Farmers Insurance Exchange Farmers Insurance Exchange insurance violation 2016 MD-INS $10,000
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
Conseco Health Insurance Co. CNO Financial insurance violation 2004 ME-INS $10,000
Edward D. Jones & Co., L.P. Jones Financial investor protection violation 2010 ME-SEC $10,000
Metropolitan Property and Casualty Insurance Co. et al. Zurich Insurance insurance violation 2001 MN-FIN $10,000
Allstate Insurance Co. Allstate insurance violation 2001 MN-FIN $10,000
Fortis Insurance Co. and John Alden Life Insurance Co. Assurant insurance violation 2002 MN-FIN $10,000
American Family Mutual Insurance Co. American Family Insurance insurance violation 2002 MN-FIN $10,000
Illinois Farmers Insurance Co. Zurich Insurance insurance violation 2003 MN-FIN $10,000
Metropolitan Life Insurance Co. MetLife insurance violation 2003 MN-FIN $10,000
Berthel Fisher & Company Berthel Fisher investor protection violation 2003 MN-FIN $10,000
Fortis Insurance Co. Assurant insurance violation 2005 MN-FIN $10,000
Metropolitan Property and Casualty Insurance Co. Zurich Insurance insurance violation 2012 MN-FIN $10,000
Allstate Insurance Co. Allstate insurance violation 2014 MN-FIN $10,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)