Violation Tracker

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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 Companies	Total Penalty $	Number of Records
Bank of America	$87,286,650,890	328
JPMorgan Chase	$39,340,688,209	275
UBS	$31,069,299,125	179
Wells Fargo	$27,616,269,231	266
Citigroup	$26,945,611,792	181
Deutsche Bank	$20,011,467,563	99
Goldman Sachs	$17,729,358,987	111
NatWest Group PLC	$14,370,701,618	43
Morgan Stanley	$10,780,502,443	203
BNP Paribas	$10,363,464,666	23

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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Company	Current Parent	Primary Offense Type	Year	Agency	Penalty Amount
GE Capital Corp.	Synchrony Financial	consumer protection violation	2006	CT-AG	$336,000
GMAC Bank	Ally Financial	consumer protection violation	2008	NY-AG	$200,000
GreenSky Servicing LLC	Goldman Sachs	consumer protection violation	2017	NJ-AG	$160,000
H&R Block	H&R Block	consumer protection violation	2003	MULTI-AG	$3,300,000
H&R Block	H&R Block	consumer protection violation	2009	CA-AG	$4,850,000
H&R Block	H&R Block	consumer protection violation	2010	NY-AG	$12,150,000
H&R Block	H&R Block	consumer protection violation	2008	NY-AG	$245,000
Hanover Insurance Co.	Hanover Insurance	consumer protection violation	2009	MA-AG	$415,000
Hanover Insurance Group	Hanover Insurance	consumer protection violation	2010	MA-AG	$2,500,000
Healthnow New York	Highmark Inc.	consumer protection violation	2016	NY-AG	$60,000
HealthNow New York	Highmark Inc.	consumer protection violation	2005	NY-AG	$5,000
HealthNow NewYork, Inc.	Highmark Inc.	consumer protection violation	2009	NY-AG	$212,500
Home Loan Center, Inc.	LendingTree	consumer protection violation	2010	AZ-AG	$1,150,000
HSBC	HSBC	consumer protection violation	2016	MA-AG	$4,000,000
HSBC	HSBC	consumer protection violation	2015	MO-AG	$825,000
HSBC Finance Corporation	HSBC	consumer protection violation	2013	WV-AG	$1,950,000
Jackson Hewitt Tax Service Inc.	Jackson Hewitt	consumer protection violation	2019	MA-AG	$187,000
Jackson Hewitt, Inc.	Jackson Hewitt	consumer protection violation	2007	CA-AG	$5,000,000
John Hancock Life Insurance Co.	Manulife Financial	consumer protection violation	2013	MA-AG	$40,000
JP Morgan Chase	JPMorgan Chase	consumer protection violation	2014	HI-AG	$2,825,000
JPMorgan Chase	JPMorgan Chase	consumer protection violation	2015	CA-AG	$50,000,000
JPMorgan Chase & Co.	JPMorgan Chase	consumer protection violation	2013	WV-AG	$1,950,000
Liberty Mutual	Liberty Mutual Insurance	consumer protection violation	2007	MA-AG	$50,000
Liberty Mutual Insurance Co.	Liberty Mutual Insurance	consumer protection violation	2010	MA-AG	$20,000
Liberty Mutual Insurance Co.	Liberty Mutual Insurance	consumer protection violation	2010	MA-AG	$3,100,000
Liberty Mutual Insurance Group Inc.	Liberty Mutual Insurance	consumer protection violation	2018	MA-AG	$50,000
LPL Financial LLC	LPL Financial	consumer protection violation	2015	MULTI-AG	$2,000,000
Mastercard Inc.	MasterCard	consumer protection violation	2018	NM-AG	$1,125,000
Metropolitan Life Insurance Co.	MetLife	consumer protection violation	2004	MA-AG	$150,000
Metropolitan Life Insurance Co.	MetLife	consumer protection violation	2000	MA-AG	$1,200,000
Metropolitan Life Insurance Company	MetLife	consumer protection violation	2006	NY-AG	$19,000,000
Metropolitan Property & Casualty	Zurich Insurance	consumer protection violation	2010	MA-AG	$20,000
Metropolitan Property & Casualty Co.	Zurich Insurance	consumer protection violation	2019	MS-AG	$3,167,173
Metropolitan Property & Casualty Insurance Co.	Zurich Insurance	consumer protection violation	2010	MA-AG	$3,500,000
Metropolitan Property and Casualty Insurance Co.	Zurich Insurance	consumer protection violation	2013	MA-AG	$50,000
Metropolitan Property and Casualty Insurance Co.	Zurich Insurance	consumer protection violation	2012	MA-AG	$395,000
Metropolitan Property and Casualty Insurance Co.	Zurich Insurance	consumer protection violation	2000	MA-AG	$1,840,000
Midland Credit Management, Inc.	Encore Capital Group	consumer protection violation	2005	WV-AG	$3,500,000
Midland Funding, LLC	Encore Capital Group	consumer protection violation	2012	MN-AG	$500,000
MONY Life Insurance Co.	Dai-ichi Life	consumer protection violation	2000	CT-AG	$250,000
Morgan Stanley Capital Group Inc.	Morgan Stanley	consumer protection violation	2009	FL-AG	$2,275,000
Mutual of Omaha	Mutual of Omaha	consumer protection violation	2002	NY-AG	$10,000
Mutual of Omaha Insurance Co.	Mutual of Omaha	consumer protection violation	2019	MA-AG	$25,000
National City Commercial Capital Company LLC	PNC Financial Services	consumer protection violation	2008	MULTI-AG	$7,200,000
National City Commercial Capital Corporation	PNC Financial Services	consumer protection violation	2006	NY-AG	$817,700
Nationstar Mortgage LLC	Mr. Cooper Group	consumer protection violation	2018	MD-AG	$760,000
Nationwide Insurance	Nationwide	consumer protection violation	2008	MS-AG	$40,000,000
Nationwide Insurance	Nationwide	consumer protection violation	2015	WV-AG	$5,750,000
Nationwide Life Insurance	Nationwide	consumer protection violation	2005	MA-AG	$650,000
Nelnet Inc.	Nelnet	consumer protection violation	2007	NY-AG	$2,000,000
Nelnet, Inc.	Nelnet	consumer protection violation	2008	NY-AG	$200,000
Ocwen Financial Corporation	Ocwen Financial	consumer protection violation	2019	ME-AG	$84,000
PayPal	PayPal Holdings	consumer protection violation	2002	NY-AG	$200,000
PayPal	PayPal Holdings	consumer protection violation	2004	NY-AG	$150,000
PayPal, Inc.	PayPal Holdings	consumer protection violation	2006	MULTI-AG	$1,700,000
Peerless Insurance Co.	Liberty Mutual Insurance	consumer protection violation	2010	MA-AG	$20,000
PHH Mortgage Corp.	Ocwen Financial	consumer protection violation	2018	GA-AG	$75,000
Premier Insurance Company of Massachusetts	Travelers	consumer protection violation	2011	MA-AG	$5,000,386
Progressive Direct Insurance Co.	Progressive	consumer protection violation	2009	MA-AG	$120,000
Progressive Insurance Company of Ohio	Progressive	consumer protection violation	2001	IA-AG	$127,500
Protective Life Insurance Co.	Dai-ichi Life	consumer protection violation	2007	TX-AG	$1,570,000
Providian Financial Corp.	JPMorgan Chase	consumer protection violation	2000	CA-AG	$305,500,000
Providian Financial Corp.	JPMorgan Chase	consumer protection violation	2000	CT-AG	$1,600,000
QBE Insurance	QBE Insurance	consumer protection violation	2018	MA-AG	$2,400,000
QBE Insurance	QBE Insurance	consumer protection violation	2016	MA-AG	$375,000
Resource Life Insurance Co.	Assurant	consumer protection violation	2010	TX-AG	$2,600,000
Sallie Mae	SLM Corp.	consumer protection violation	2007	NY-AG	$2,000,000
Santander Bank, N.A.	Banco Santander	consumer protection violation	2015	NY-AG	$500,000
Santander Consumer USA Holdings Inc.	Banco Santander	consumer protection violation	2017	MA-AG	$22,000,000
Santander Consumer USA Holdings, Inc.	Banco Santander	consumer protection violation	2017	DE-AG	$3,875,000
Santander Securities LLC	Banco Santander	consumer protection violation	2019	MA-AG	$100,000
Santander USA Holdings Inc.	Banco Santander	consumer protection violation	2015	MA-AG	$5,400,000
Sentry Insurance	Sentry Insurance	consumer protection violation	2014	MA-AG	$53,430
State Farm	State Farm Insurance	consumer protection violation	2008	MS-AG	$74,000,000
State Farm	State Farm Insurance	consumer protection violation	2000	TX-AG	$3,100,000
State Farm Mutual Automobile Insurance Co.	State Farm Insurance	consumer protection violation	2005	TX-AG	$10,000,000
State Farm Mutual Insurance Company	State Farm Insurance	consumer protection violation	2005	MULTI-AG	$41,000,000
State Street Corp.	State Street Corp.	consumer protection violation	2019	MA-AG	$53,500,000
Stewart Title Company of California	Stewart Information Services	consumer protection violation	2002	CA-AG	$2,500,000
Student Loan Xpress, Inc.	First Citizens BancShares	consumer protection violation	2009	MULTI-AG	$112,825,000
Student Loan Xpress, Inc.	First Citizens BancShares	consumer protection violation	2010	KY-AG	$3,600,000
Student Loan Xpress, Inc.	First Citizens BancShares	consumer protection violation	2007	NY-AG	$3,000,000
The Chubb Corp.	Chubb Limited	consumer protection violation	2009	MA-AG	$239,011
The Insurance Company of the State of Pennsylvania	American International Group	consumer protection violation	2015	MA-AG	$430,000
Time Insurance Company	Haven Holdings	consumer protection violation	2007	MA-AG	$16,000
TitleMax of Virginia Inc.	TMX Finance	consumer protection violation	2014	DC-AG	$167,257
Travelers Companies, Inc.	Travelers	consumer protection violation	2018	CT-AG	$5,000,000
U.S. Bancorp	U.S. Bancorp	consumer protection violation	2005	CA-AG	$2,600,000
Union Security Insurance Company	Assurant	consumer protection violation	2007	MA-AG	$28,000
Union Security Life Insurance Co	Assurant	consumer protection violation	2000	MA-AG	$1,000,000
United American Insurance Co.	Globe Life Inc.	consumer protection violation	2003	CT-AG	$45,000
United Services Automobile Association	USAA	consumer protection violation	2010	MA-AG	$25,000
United Services Automobile Association	USAA	consumer protection violation	2010	MA-AG	$2,300,000
United States Life Insurance Company in the City of New York	American International Group	consumer protection violation	2011	MA-AG	$760,000
Universal Underwriters Life Insurance Co.	Zurich Insurance	consumer protection violation	2008	TX-AG	$2,400,000
UnumProvident Corporation	Unum	consumer protection violation	2006	NY-AG	$17,400,000
UnumProvident Corporation	Unum	consumer protection violation	2004	MULTI-AG	$15,000,000
US Bank NA	U.S. Bancorp	consumer protection violation	2003	NY-AG	$33,500
USAA Federal Savings Bank	USAA	consumer protection violation	2003	NY-AG	$33,500
Visa Inc.	Visa	consumer protection violation	2018	NM-AG	$2,270,000
Wells Fargo	Wells Fargo	consumer protection violation	2010	MULTI-AG	$23,700,000