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
PROTECTIVE LIFE INSURANCE CO. Dai-ichi Life insurance violation 2004 VA-INS $10,000
SUNAMERICA SECURITIES, INC. American International Group investor protection violation 2006 VA-SEC $10,000
GENERAL AMERICAN LIFE INSURANCE MetLife insurance violation 2006 VA-INS $10,000
XL LIFE INSURANCE AND ANNUITY AXA insurance violation 2006 VA-INS $10,000
AIG CASUALTY INSURANCE CO., ET AL. American International Group insurance violation 2008 VA-INS $10,000
Group Hospitalization and Medical Services, Inc. CareFirst of Maryland insurance violation 2008 VA-INS $10,000
Auto-Owners Insurance Company and Owners Insurance Company Auto-Owners Insurance insurance violation 2011 VA-INS $10,000
CAROLINA CASUALTY INSURANCE CO W.R. Berkley insurance violation 2011 VA-INS $10,000
National Union Fire Insurance Company of Pittsburgh, PA American International Group insurance violation 2011 VA-INS $10,000
National Union Fire Insurance Company of Pittsburgh, PA American International Group insurance violation 2011 VA-INS $10,000
American Family Life Assurance Company of Columbus Aflac insurance violation 2013 VA-INS $10,000
SELECTIVE INSURANCE CO. ET AL. Selective Insurance Group insurance violation 2018 VA-INS $10,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2019 VA-SEC $10,000
Lincoln Financial Securities Corporation Lincoln National investor protection violation 2010 VT-FIN $10,000
Austin Mutual Insurance Company American Family Insurance insurance violation 2010 WA-INS $10,000
Austin Mutual Insurance Company American Family Insurance insurance violation 2011 WA-INS $10,000
Metropolitan Life Insurance Company MetLife insurance violation 2011 WA-INS $10,000
Chicago Title Insurance Company Fidelity National Financial insurance violation 2011 WA-INS $10,000
Lifewise Health Plan Of Washington Premera Blue Cross insurance violation 2011 WA-INS $10,000
American National General Insurance Company American National Insurance insurance violation 2012 WA-INS $10,000
Premera Blue Cross Premera Blue Cross insurance violation 2012 WA-INS $10,000
Premera Blue Cross Premera Blue Cross insurance violation 2012 WA-INS $10,000
Farmers Insurance Company Of Washington And Farmers Insurance Exchange Zurich Insurance insurance violation 2012 WA-INS $10,000
American Family Mutual Insurance Company S.I. American Family Insurance insurance violation 2013 WA-INS $10,000
American Alternative Insurance Corporation et al. Munich Re insurance violation 2013 WA-INS $10,000
Hartford Fire Insurance Company And Twin City Fire Insurance Company Hartford Financial Services insurance violation 2013 WA-INS $10,000
Fidelity & Guaranty Life Insurance Company Fidelity National Financial insurance violation 2014 WA-INS $10,000
Time Insurance Company Ii Haven Holdings insurance violation 2015 WA-INS $10,000
Transamerica Casualty Insurance Company Aegon insurance violation 2015 WA-INS $10,000
Allstate Indemnity Company et al. Allstate insurance violation 2015 WA-INS $10,000
American Family Mutual Insurance Company S.I. American Family Insurance insurance violation 2015 WA-INS $10,000
Qbe Insurance Corporation QBE Insurance insurance violation 2016 WA-INS $10,000
American Family Connect Property And Casualty Insurance Company American Family Insurance insurance violation 2016 WA-INS $10,000
State Farm Fire & Casualty Company State Farm Insurance insurance violation 2017 WA-INS $10,000
Farmers Insurance Company Of Washington Zurich Insurance insurance violation 2017 WA-INS $10,000
Hartford Insurance Company The Midwest Hartford Financial Services insurance violation 2017 WA-INS $10,000
United States Fire Insurance Company Fairfax Financial Holdings insurance violation 2017 WA-INS $10,000
Ameritas Life Insurance Corp Ameritas Mutual Holding Company insurance violation 2017 WA-INS $10,000
Depositors Insurance Company Nationwide insurance violation 2017 WA-INS $10,000
Berkley National Insurance Company W.R. Berkley insurance violation 2018 WA-INS $10,000
Ticor Title Company Fidelity National Financial insurance violation 2018 WA-INS $10,000
Athene Annuity And Life Company Athene Holding insurance violation 2018 WA-INS $10,000
American Strategic Insurance Corp Progressive insurance violation 2018 WA-INS $10,000
American Family Mutual Insurance Company S.I. American Family Insurance insurance violation 2018 WA-INS $10,000
State Farm Life Insurance Company State Farm Insurance insurance violation 2018 WA-INS $10,000
American Automobile Insurance Company Allianz insurance violation 2018 WA-INS $10,000
American General Life Insurance Company American International Group insurance violation 2020 WA-INS $10,000
National Union Fire Ins Co. of Pittsburgh American International Group insurance violation 2003 WI-INS $10,000
National Union Fire Ins Co. of Pittsburgh American International Group insurance violation 2003 WI-INS $10,000
Universal Underwriters Service Corp. Zurich Insurance insurance violation 2008 WI-INS $10,000
Nationwide Life Insurance Co. Nationwide insurance violation 2020 CT-INS $10,000
Travelers Property Casualty Co. of America Travelers insurance violation 2020 TX-INS $10,000
Sentinel Insurance Company, Ltd. Hartford Financial Services insurance violation 2020 TX-INS $10,000
Arch Insurance Co. Arch Capital insurance violation 2020 WA-INS $10,000
California Physicians' Service California Physicians' Service insurance violation 2020 CA-MHC $10,000
California Physicians' Service California Physicians' Service insurance violation 2020 CA-MHC $10,000
Selective Insurance Company of America Selective Insurance Group insurance violation 2020 OR-FIN $10,000
CONTINENTAL WESTERN INSURANCE COMPANY W.R. Berkley insurance violation 2020 WA-INS $10,000
AMERICAN ECONOMY INSURANCE COMPANY ET AL. Liberty Mutual Insurance insurance violation 2020 WA-INS $10,000
Trafigura Beheer B.V. Amsterdam Trafigura environmental violation 2012 CA-ARB $10,000
Glencore Glencore environmental violation 2006 CA-ARB $10,000
California Physicians' Service dba. Blue Shield of California California Physicians' Service insurance violation 2020 CA-MHC $10,000
HANOVER INSURANCE GROUP Hanover Insurance environmental violation 2002 MA-ENV $10,000
Safeco Insurance Company of America Liberty Mutual Insurance insurance violation 2021 MN-FIN $10,000
Travelers Home and Marine Insurance Company Travelers insurance violation 2021 WA-INS $10,000
UBS International Inc. UBS investor protection violation 2005 FINRA $10,000
UBS Securities, L.L.C. UBS investor protection violation 2004 FINRA $10,000
J.P. Morgan Securities, Inc. JPMorgan Chase investor protection violation 2001 FINRA $10,000
Spear, Leeds & Kellogg Goldman Sachs investor protection violation 2001 FINRA $10,000
Chase Securities, Inc. JPMorgan Chase investor protection violation 2001 FINRA $10,000
Prudential Securities, Inc. Wells Fargo investor protection violation 2001 FINRA $10,000
California Physicians' Service California Physicians' Service insurance violation 2021 CA-MHC $10,000
California Physicians' Service California Physicians' Service insurance violation 2021 CA-MHC $10,000
Oscar Health Plan of California Mulberry Health insurance violation 2021 CA-MHC $10,000
E-Trade Financial Corporate Services, Inc. Morgan Stanley consumer protection violation 2021 CT-BKG $10,000
Transamerica Life Insurance Company Aegon insurance violation 2020 CT-INS $10,000
American General Life Insurance Company American International Group insurance violation 2020 CT-INS $10,000
Standard Insurance Company Meiji Yasuda Life Insurance insurance violation 2020 CT-INS $10,000
Principal Life Insurance Company Principal Financial insurance violation 2020 CT-INS $10,000
American Guarantee and Liability Insurance Company Zurich Insurance insurance violation 2020 CT-INS $10,000
IMTT - BAYONNE Macquarie environmental violation 2021 NJ-ENV $10,000
United Services Automobile Association et al. USAA insurance violation 2021 VA-INS $10,000
PREMERA BLUE CROSS Premera Blue Cross insurance violation 2021 WA-INS $10,000
HSBC SECURITIES USA INC HSBC insurance violation 2021 WA-INS $10,000
State Farm Fire & Casualty Co State Farm Insurance insurance violation 2021 WI-INS $10,000
Fannie Mae Fannie Mae campaign finance violation 2004 FEC $10,000
FARMERS INSURANCE EXCHANGE Farmers Insurance Exchange workplace safety or health violation 2009 OSHA $10,000
WHEELABRATOR SHASTA ENERGY CO, INC Macquarie workplace safety or health violation 2010 OSHA $10,000
NEOVIA LOGISTICS DISTRIBUTION, LLC Goldman Sachs workplace safety or health violation 2018 OSHA $10,000
MORGAN STANLEY Morgan Stanley environmental violation 2014 EPA $10,000
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $10,000
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $10,000
Bowie Resources LLC Trafigura workplace safety or health violation 2013 MSHA $10,000
Bowie Resources LLC Trafigura workplace safety or health violation 2013 MSHA $10,000
Bowie Resources LLC Trafigura workplace safety or health violation 2013 MSHA $10,000
Bowie Resources LLC Trafigura workplace safety or health violation 2013 MSHA $10,000
Bowie Resources LLC Trafigura workplace safety or health violation 2013 MSHA $10,000
Bowie Resources LLC Trafigura workplace safety or health violation 2013 MSHA $10,000
Bowie Resources LLC Trafigura workplace safety or health violation 2013 MSHA $10,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 OK-SEC $9,968
Ace American Insurance Company Chubb Limited insurance violation 2015 TX-INS $9,900
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)