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Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$336,354,784,532
Number of Records: 
7,048
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$82,901,469,908264
JPMorgan Chase$36,060,746,133196
Citigroup$25,540,645,217156
Wells Fargo$21,874,892,841221
Deutsche Bank$18,341,457,30276
UBS$16,854,236,33499
Goldman Sachs$16,386,580,99666
NatWest Group PLC$13,516,771,85733
BNP Paribas$12,147,863,95019
Credit Suisse$10,732,400,12649


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
Prosper Marketplace, Inc. Prosper Marketplace investor protection violation 2010 CT-SEC $5,000
Ameritas Life Insurance Corp. Ameritas Mutual Holding Company insurance violation 2019 CT-INS $5,000
J.P. Morgan Securities LLC JPMorgan Chase investor protection violation 2018 DC-DISB $5,000
New York Life Insurance and Annuity Corp. New York Life Insurance insurance violation 2018 DE-INS $5,000
AXA Equitable Life Insurance Co. Equitable Holdings insurance violation 2018 DE-INS $5,000
Illinois National Insurance Co. American International Group insurance violation 2003 FL-OFR $5,000
ProEquities, Inc. Dai-ichi Life investor protection violation 2004 FL-OFR $5,000
Scottsdale Insurance Co. Nationwide insurance violation 2005 FL-OFR $5,000
State Farm Florida Insurance Co. State Farm Insurance insurance violation 2005 FL-OFR $5,000
Travelers Casualty & Surety Company of America et al. Travelers insurance violation 2011 IA-INS $5,000
National Union Fire Insurance Company of Pittsburgh, Pa. American International Group insurance violation 2009 ID-INS $5,000
Time Insurance Co. Haven Holdings insurance violation 2014 ID-INS $5,000
Nationwide Life Insurance Co. Nationwide insurance violation 2015 ID-INS $5,000
Zurich American Insurance Co. Zurich Insurance insurance violation 2015 ID-INS $5,000
Transamerica Life Insurance Co. Aegon insurance violation 2017 ID-INS $5,000
Arch Insurance Co. Arch Capital insurance violation 2019 ID-INS $5,000
Janney Montgomery Scott LLC Penn Mutual investor protection violation 2004 IL-SEC $5,000
Victoria Fire & Casualty Co. Nationwide insurance violation 2003 IN-INS $5,000
Safeco Insurance Co. of America Liberty Mutual Insurance insurance violation 2005 IN-INS $5,000
Liberty Mutual Insurance Co. Liberty Mutual Insurance insurance violation 2009 IN-INS $5,000
Safeco Insurance Company of America Liberty Mutual Insurance insurance violation 2010 IN-INS $5,000
Mid-Century Insurance Co. Zurich Insurance insurance violation 2012 IN-INS $5,000
Liberty Mutual Insurance Liberty Mutual Insurance insurance violation 2019 IN-INS $5,000
United Services Automobile Association USAA insurance violation 2001 KS-INS $5,000
Metropolitan Property and Casualty Co. Zurich Insurance insurance violation 2006 KS-INS $5,000
St. Paul Fire & Marine Insurance Co. Travelers insurance violation 2006 KS-INS $5,000
Old Republic Insurance Co. Old Republic International insurance violation 2009 KS-INS $5,000
Progressive Direct Insurance Co. Progressive insurance violation 2009 KS-INS $5,000
Safeco Insurance Company of America Liberty Mutual Insurance insurance violation 2012 KS-INS $5,000
Seneca Insurance Co. Fairfax Financial Holdings insurance violation 2014 KS-INS $5,000
Mortgage Access Corp. dba Weichert Financial Services Weichert Financial Services consumer protection violation 2009 KY-FIN $5,000
PHH Mortgage Corp. Ocwen Financial consumer protection violation 2011 KY-FIN $5,000
Stonegate Mortgage Corp. Home Point Capital consumer protection violation 2013 KY-FIN $5,000
AmeriSave Mortgage Corp. AmeriSave Mortgage consumer protection violation 2019 KY-FIN $5,000
Progressive Paloverde Insurance Co. Progressive insurance violation 2019 LA-INS $5,000
American Modern Home Insurance Co. Munich Re insurance violation 2010 MD-INS $5,000
Travelers Casualty and Surety Company of America Travelers insurance violation 2011 MD-INS $5,000
Gerber Life Insurance Co. Western & Southern Financial Group insurance violation 2011 MD-INS $5,000
Transamerica Life Insurance Co. Aegon insurance violation 2011 MD-INS $5,000
United States Life Insurance Company In the City of New York American International Group insurance violation 2011 MD-INS $5,000
Carefirst of Maryland, Inc. CareFirst of Maryland insurance violation 2012 MD-INS $5,000
Carefirst of Maryland, Inc. CareFirst of Maryland insurance violation 2012 MD-INS $5,000
Carefirst of Maryland, Inc. CareFirst of Maryland insurance violation 2012 MD-INS $5,000
Metropolitan Life Insurance Co. MetLife insurance violation 2012 MD-INS $5,000
Peerless Indemnity Insurance Co. et al. Liberty Mutual Insurance insurance violation 2013 MD-INS $5,000
Group Hospitalization & Medical Services, Inc. CareFirst of Maryland insurance violation 2013 MD-INS $5,000
CareFirst BlueChoice, Inc. CareFirst of Maryland insurance violation 2013 MD-INS $5,000
CareFirst BlueChoice, Inc. CareFirst of Maryland insurance violation 2013 MD-INS $5,000
Carefirst of Maryland, Inc. CareFirst of Maryland insurance violation 2013 MD-INS $5,000
Allstate Indemnity Co. Allstate insurance violation 2014 MD-INS $5,000
Elephant Insurance Co. Admiral Group insurance violation 2014 MD-INS $5,000
USAA Casualty Insurance Co. et al. USAA insurance violation 2014 MD-INS $5,000
SAFECO Insurance Company of America et al. Liberty Mutual Insurance insurance violation 2014 MD-INS $5,000
Elephant Insurance Co. Admiral Group insurance violation 2014 MD-INS $5,000
Allstate Insurance Co. Allstate insurance violation 2015 MD-INS $5,000
Homesite Insurance Company of the Midwest American Family Insurance insurance violation 2015 MD-INS $5,000
Unitrin Direct Property & Casualty Co. et al. Kemper insurance violation 2015 MD-INS $5,000
American Automobile Insurance Co. Allianz insurance violation 2015 MD-INS $5,000
Fireman's Fund Insurance Co. Allianz insurance violation 2015 MD-INS $5,000
Erie Insurance Exchange Erie Indemnity insurance violation 2016 MD-INS $5,000
Chicago Title Insurance Co. Fidelity National Financial insurance violation 2016 MD-INS $5,000
Safety National Casualty Corp. Tokio Marine insurance violation 2017 MD-INS $5,000
Allied Property And Casualty Insurance Co. et al. Nationwide insurance violation 2017 MD-INS $5,000
CareFirst BlueChoice, Inc. CareFirst of Maryland insurance violation 2018 MD-INS $5,000
Bankers Life & Casualty Co. CNO Financial insurance violation 2003 ME-INS $5,000
John Alden Life Insurance Co. Assurant insurance violation 2004 ME-INS $5,000
John Alden Life Insurance Co. Assurant insurance violation 2004 ME-INS $5,000
Hartford Fire Insurance Co. Hartford Financial Services insurance violation 2007 ME-INS $5,000
Hartford Accident and Indemnity Co. Hartford Financial Services insurance violation 2007 ME-INS $5,000
Hartford Casualty Insurance Co. Hartford Financial Services insurance violation 2007 ME-INS $5,000
Hartford Underwriters Insurance Co. Hartford Financial Services insurance violation 2007 ME-INS $5,000
Twin City Fire Insurance Co. Hartford Financial Services insurance violation 2007 ME-INS $5,000
Prosper Marketplace, Inc. Prosper Marketplace investor protection violation 2011 ME-SEC $5,000
Solium Financial Services, LLC Morgan Stanley investor protection violation 2020 ME-SEC $5,000
Fortis Insurance Co. and Fortis Benefits Insurance Co. Assurant insurance violation 2001 MN-FIN $5,000
American Express Financial Advisors, Inc. Ameriprise Financial investor protection violation 2002 MN-FIN $5,000
American Family Mutual Insurance Co. American Family Insurance insurance violation 2002 MN-FIN $5,000
Travelers Indemnity Co. Travelers insurance violation 2002 MN-FIN $5,000
Illinois Union Insurance Co. Chubb Limited insurance violation 2002 MN-FIN $5,000
Chubb Indemnity Insurance Co. Chubb Limited insurance violation 2002 MN-FIN $5,000
Auto-Owners Insurance Co. Auto-Owners Insurance insurance violation 2003 MN-FIN $5,000
Foremost Insurance Co. Zurich Insurance insurance violation 2003 MN-FIN $5,000
Conseco Senior Health Insurance Co. CNO Financial insurance violation 2004 MN-FIN $5,000
Conseco Health Insurance Co. CNO Financial insurance violation 2004 MN-FIN $5,000
Fortis Insurance Co. Assurant insurance violation 2004 MN-FIN $5,000
John Alden Life Insurance Co. Assurant insurance violation 2004 MN-FIN $5,000
Safeco Insurance Company of Illinois Liberty Mutual Insurance insurance violation 2004 MN-FIN $5,000
Metropolitan Property and Casualty Insurance Co. Zurich Insurance insurance violation 2005 MN-FIN $5,000
Stewart Title Guaranty Co. Stewart Information Services insurance violation 2006 MN-FIN $5,000
The Prudential Insurance Company of America Prudential Financial insurance violation 2006 MN-FIN $5,000
American Family Mutual Insurance Co. American Family Insurance insurance violation 2011 MN-FIN $5,000
ING Financial Partners, Inc. Voya Financial investor protection violation 2012 MN-FIN $5,000
State Farm Fire and Casualty Co. State Farm Insurance insurance violation 2012 MN-FIN $5,000
Allstate Insurance Co. Allstate insurance violation 2012 MN-FIN $5,000
American Family Mutual Insurance Co. American Family Insurance insurance violation 2013 MN-FIN $5,000
QBE Insurance Co. QBE Insurance insurance violation 2013 MN-FIN $5,000
American Security Insurance Company Assurant insurance violation 2013 MN-FIN $5,000
Progressive Casualty Insurance Co. Progressive insurance violation 2014 MN-FIN $5,000
QBE North America QBE Insurance insurance violation 2014 MN-FIN $5,000
USAA Casualty Insurance Co. USAA insurance violation 2014 MN-FIN $5,000
Philadelphia Indemnity Insurance Co. Tokio Marine insurance violation 2015 MN-FIN $5,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)