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Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$330,904,834,105
Number of Records: 
6,093
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$82,737,699,939214
JPMorgan Chase$35,744,240,670158
Citigroup$25,450,155,764122
Wells Fargo$21,340,036,745181
Deutsche Bank$18,156,533,87859
UBS$16,792,800,91083
Goldman Sachs$16,365,468,98744
Royal Bank of Scotland$13,455,904,00027
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 Year Agency Penalty Amountsort icon
Old Republic Insurance Company Old Republic International insurance violation 2012 TX-INS $5,000
Hartford Insurance Company of the Midwest Hartford Financial Services insurance violation 2012 TX-INS $5,000
Standard Fire Insurance Company Travelers insurance violation 2013 TX-INS $5,000
National Interstate Insurance Company American Financial Group insurance violation 2014 TX-INS $5,000
Safety National Casualty Corporation Tokio Marine insurance violation 2015 TX-INS $5,000
Old Republic Insurance Company Old Republic International insurance violation 2015 TX-INS $5,000
American Zurich Insurance Company Zurich Insurance insurance violation 2016 TX-INS $5,000
The Standard Fire Insurance Company Travelers insurance violation 2016 TX-INS $5,000
New Hampshire Insurance Company American International Group insurance violation 2017 TX-INS $5,000
Arch Insurance Company Arch Capital insurance violation 2017 TX-INS $5,000
Liberty Insurance Corporation Liberty Mutual Insurance insurance violation 2018 TX-INS $5,000
Accident Fund National Insurance Company AF Group insurance violation 2019 TX-INS $5,000
XL Insurance America, Inc. AXA insurance violation 2019 TX-INS $5,000
Safety National Casualty Corporation Tokio Marine insurance violation 2019 TX-INS $5,000
Ace American Insurance Company Chubb Limited insurance violation 2019 TX-INS $5,000
Travelers Indemnity Company Travelers insurance violation 2019 TX-INS $5,000
Liberty Mutual General Insurance Company Liberty Mutual Insurance insurance violation 2016 UT-INS $5,000
Liberty Mutual Insurance Liberty Mutual Insurance insurance violation 2017 UT-INS $5,000
Allstate Indemnity Company Allstate insurance violation 2018 UT-INS $5,000
MONUMENTAL LIFE INSURANCE CO Aegon insurance violation 2001 VA-INS $5,000
AMERICAN ZURICH INSURANCE CO Zurich Insurance insurance violation 2004 VA-INS $5,000
ALLSTATE LIFE INSURANCE CO. Allstate insurance violation 2005 VA-INS $5,000
UNITED AMERICAN INSURANCE CO. Globe Life Inc. insurance violation 2005 VA-INS $5,000
United Services Automobile Association USAA insurance violation 2006 VA-INS $5,000
Brown & Brown Insurance Agency of Virginia, Inc. Brown & Brown insurance violation 2006 VA-INS $5,000
Life Insurance Company of the Southwest National Life Group insurance violation 2006 VA-INS $5,000
Property & Casualty Insurance Company of Hartford Hartford Financial Services insurance violation 2006 VA-INS $5,000
AMERICAN HOME ASSURANCE ET AL. American International Group insurance violation 2007 VA-INS $5,000
Metropolitan Property and Casualty MetLife insurance violation 2007 VA-INS $5,000
SENTINEL INSURANCE COMPANY Hartford Financial Services insurance violation 2007 VA-INS $5,000
CHUBB INDEMNITY INSURANCE, ET AL. Chubb Limited insurance violation 2007 VA-INS $5,000
CAREFIRST BLUECHOICE, INC. CareFirst of Maryland insurance violation 2008 VA-INS $5,000
HARTFORD LIFE AND ANNUITY INSURANCE Hartford Financial Services insurance violation 2008 VA-INS $5,000
ALLIED HOME MORTGAGE CAPITAL Americus Mortgage consumer protection violation 2008 VA-FIN $5,000
American Guarantee and Liability Insurance Company Zurich Insurance insurance violation 2011 VA-INS $5,000
American Economy Insurance Co. Liberty Mutual Insurance insurance violation 2012 VA-INS $5,000
CAROLINA CASUALTY INSURANCE CO W.R. Berkley insurance violation 2012 VA-INS $5,000
AMERICAN AUTOMOBILE INSURANCE CORP Allianz insurance violation 2012 VA-INS $5,000
ALLSTATE INSURANCE COMPANY Allstate insurance violation 2013 VA-INS $5,000
PRUDENTIAL INSURANCE COMPANY Prudential Financial insurance violation 2014 VA-INS $5,000
OLD REPUBLIC NATIONAL TITLE INSURANCE CO Old Republic International insurance violation 2015 VA-INS $5,000
United States Fire Insurance Company Fairfax Financial Holdings insurance violation 2019 VA-INS $5,000
Next Financial Group, Inc. Atria Wealth Solutions investor protection violation 2020 VA-SEC $5,000
Athene Annuity & Life Assurance Company Of New York Athene Holding insurance violation 2011 WA-INS $5,000
Old Republic Title Ltd Old Republic International insurance violation 2011 WA-INS $5,000
Victoria Fire & Casualty Company Nationwide insurance violation 2011 WA-INS $5,000
State Farm Mutual Automobile Insurance Company State Farm Insurance insurance violation 2012 WA-INS $5,000
Combined Insurance Company Of America Chubb Limited insurance violation 2014 WA-INS $5,000
United Of Omaha Life Insurance Company Mutual of Omaha insurance violation 2015 WA-INS $5,000
Ticor Title Company Fidelity National Financial insurance violation 2015 WA-INS $5,000
Permanent General Assurance Corporation American Family Insurance insurance violation 2016 WA-INS $5,000
Jefferson Insurance Company Allianz insurance violation 2016 WA-INS $5,000
Transamerica Life Insurance Company Aegon insurance violation 2016 WA-INS $5,000
American Modern Home Insurance Company Munich Re insurance violation 2016 WA-INS $5,000
Premera Blue Cross Premera Blue Cross insurance violation 2016 WA-INS $5,000
American Modern Home Insurance Company Munich Re insurance violation 2017 WA-INS $5,000
Amco Insurance Company Nationwide insurance violation 2017 WA-INS $5,000
AGCS Marine Insurance Company Allianz insurance violation 2017 WA-INS $5,000
Fidelity & Guaranty Life Insurance Company Fidelity National Financial insurance violation 2018 WA-INS $5,000
Premera Blue Cross Premera Blue Cross insurance violation 2019 WA-INS $5,000
Ticor Title Company Fidelity National Financial insurance violation 2019 WA-INS $5,000
National Union Fire Ins Co. of Pittsburgh American International Group insurance violation 2003 WI-INS $5,000
Great American Insurance Co. American Financial Group insurance violation 2004 WI-INS $5,000
Auto-Owners Insurance Co. Auto-Owners Insurance insurance violation 2004 WI-INS $5,000
Progressive Northern Ins Co. Progressive insurance violation 2005 WI-INS $5,000
Metropolitan Life Insurance Co. MetLife insurance violation 2005 WI-INS $5,000
Asurion Warranty Services, Inc. Asurion insurance violation 2007 WI-INS $5,000
Infinity Insurance Co. Kemper insurance violation 2011 WI-INS $5,000
Selective Insurance Company of the Southeast Selective Insurance Group insurance violation 2011 WI-INS $5,000
Thrivent Financial for Lutherans Thrivent Financial insurance violation 2013 WI-INS $5,000
The Hanover Insurance Co. Hanover Insurance insurance violation 2014 WI-INS $5,000
IAC MADISONVILLE LLC Invesco workplace safety or health violation 2014 OSHA $5,000
INTERNATIONAL AUTOMOTIVE COMPONENTS Invesco workplace safety or health violation 2014 OSHA $5,000
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2001 MSHA $5,000
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2009 MSHA $5,000
Bowie Refined Coal, LLC Trafigura workplace safety or health violation 2013 MSHA $5,000
Bowie Resources LLC Trafigura workplace safety or health violation 2013 MSHA $5,000
Bowie Resources LLC Trafigura workplace safety or health violation 2013 MSHA $5,000
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2015 MSHA $5,000
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2018 MSHA $5,000
BOK Financial Securities, Inc. BOK Financial insurance violation 2020 CA-INS $5,000
Crestbrook Insurance Co. Nationwide insurance violation 2020 WA-INS $5,000
Cincinnati Insurance Co. Cincinnati Financial insurance violation 2020 WA-INS $5,000
Guardian Life Insurance Company of America Guardian Life Insurance insurance violation 2020 WA-INS $5,000
Security National Insurance Co. Zurich Insurance insurance violation 2020 WA-INS $5,000
Privilege Underwriters Reciprocal Exchange Tokio Marine insurance violation 2020 WA-INS $5,000
California Physicians' Service California Physicians' Service insurance violation 2020 CA-MHC $5,000
California Physicians' Service California Physicians' Service insurance violation 2020 CA-MHC $5,000
California Physicians' Service California Physicians' Service insurance violation 2020 CA-MHC $5,000
California Physicians' Service California Physicians' Service insurance violation 2020 CA-MHC $5,000
California Physicians' Service California Physicians' Service insurance violation 2020 CA-MHC $5,000
California Physicians' Service California Physicians' Service insurance violation 2020 CA-MHC $5,000
California Physicians' Service California Physicians' Service insurance violation 2020 CA-MHC $5,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)