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 Typesort icon Year Agency Penalty Amount
ConvergEx Group LLC Cowen Inc. fraud 2014 DOJ_CRIMINAL $43,800,000
Crawford Healthcare Management of Norfolk & Baltimore Crawford & Co. fraud 2003 DOJ_CRIMINAL $8,000,000
Banc of America Securities LLC Bank of America fraud 2007 SEC $26,000,000
State Street Corporation State Street Corp. fraud 2017 DOJ_CRIMINAL $32,300,000
Allied Home Mortgage Americus Mortgage fraud 2017 USAO $296,298,325
AmSouth Bancorporation Regions Financial fraud 2004 USAO $40,000,000
Credit Lyonnais Credit Agricole fraud 2003 USAO $100,000,000
Republic New York Securities HSBC fraud 2001 USAO $569,000,000
HSBC Holdings plc HSBC fraud 2018 DOJ_CRIMINAL $100,000,000
BMO Harris Bank, N.A. Bank of Montreal fraud 2018 USAO $10,000,000
Bank of America Bank of America fraud 2016 DC-AG $13,000,000
Bank of America Bank of America fraud 2010 DC-AG $13,502,852
Wells Fargo & Company Wells Fargo fraud 2020 DOJ_CIVIL $3,000,000,000
Vitol Inc. Vitol fraud 2020 CFTC (*) $95,700,000
JPMorgan Chase & Co. JPMorgan Chase fraud 2020 DOJ_CRIMINAL (*) $920,000,000
US Bank U.S. Bancorp housing code violation 2016 CA-LACA $13,500,000
Citifinancial Citigroup housing program violation 2010 MULTI-FIN $1,250,000
Citibank Citigroup illegal gambling business 2002 NY-AG $100,000
Goldman Sachs & Co. Goldman Sachs illicit political contributions 2012 SEC $12,000,000
State Street Bank and Trust Company State Street Corp. illicit political contributions 2016 SEC $12,000,000
SAC Capital SAC Capital insider trading 2013 USAO $1,800,000,000
Barclays Bank PLC Barclays insider trading 2007 SEC $10,943,561
Friedman, Billings, Ramsey & Co., Inc. Arlington Asset Investment Corp. insider trading 2006 SEC $3,755,839
Aflac Inc. Aflac insurance violation 2017 MULTI-AG $350,000
Allianz Life Insurance Company of North America Allianz insurance violation 2015 MULTI-AG $4,700,000
Allianz Life Insurance Company of North America Allianz insurance violation 2012 MULTI-AG $10,000,000
Ameriprise Group Ameriprise Financial insurance violation 2017 MULTI-AG $1,500,000
Aviva Life & Annuity Company Athene Holding insurance violation 2013 MULTI-AG $4,000,000
AXA Equitable Life Insurance Company Equitable Holdings insurance violation 2012 NY-AG $850,000
Axa S.A. AXA insurance violation 2015 MULTI-AG $3,280,000
Genworth Life Insurance Co. Genworth Financial insurance violation 2014 MULTI-AG $1,900,000
Great American Insurance Co. American Financial Group insurance violation 2009 MA-AG $176,000
Great American Life American Financial Group insurance violation 2016 MULTI-AG $400,000
Great American Life Insurance Company American Financial Group insurance violation 2009 MN-AG $50,000,000
Guardian Life Guardian Life Insurance insurance violation 2015 MULTI-AG $2,000,000
Hartford Fire and Casualty Group Hartford Financial Services insurance violation 2016 MULTI-AG $2,100,000
ING Life Insurance and Annuity Company Voya Financial insurance violation 2013 MULTI-AG $10,700,000
Jackson National Life Insurance Co. Prudential (UK) insurance violation 2015 MULTI-AG $2,500,000
John Hancock Life Insurance Co. Manulife Financial insurance violation 2011 MULTI-AG $3,000,000
Lincoln National Life Insurance Company Lincoln National insurance violation 2013 MULTI-AG $12,600,000
MetLife MetLife insurance violation 2012 MULTI-AG $40,000,000
Nationwide Mutual Insurance Company Nationwide insurance violation 2012 MULTI-AG $7,200,000
New York Life Insurance Company New York Life Insurance insurance violation 2013 MULTI-AG $15,000,000
Pacific Life Pacific Life insurance violation 2015 MULTI-AG $2,450,000
Prudential Insurance Company of America Prudential Financial insurance violation 2012 MULTI-AG $17,000,000
Standard Insurance Company Meiji Yasuda Life Insurance insurance violation 2016 MULTI-AG $277,000
State Farm Life Insurance Co. State Farm Insurance insurance violation 2017 MULTI-AG $250,000
Sun Life Insurance Company Sun Life Financial insurance violation 2014 MULTI-AG $3,200,000
The Guardian Life Insurance Company of America Guardian Life Insurance insurance violation 2007 MA-AG $20,000
Transamerica Life Insurance Co. Aegon insurance violation 2013 MA-AG $1,330,000
Transamerica Premier Life Insurance Co. Aegon insurance violation 2018 MA-AG $19,647
Transamerica Insurance Co. Aegon insurance violation 2013 MULTI-AG $11,200,000
Allstate Insurance Co. Allstate insurance violation 2016 CA-MULTI $600,000
Metropolitan Life Insurance Company, Inc. MetLife insurance violation 2014 NY-MANDA $10,000,000
American General Life Insurance Company American International Group insurance violation 2020 MA-AG $363,000
Principal Life Insurance Co. Principal Financial insurance violation 2002 AK-INS $16,095
Aon Risk Services Inc. of Washington Aon insurance violation 2002 AK-INS $5,000
Seabury & Smith, Inc. Marsh & McLennan insurance violation 2006 AK-INS $6,530
Liberty Mutual Group Liberty Mutual Insurance insurance violation 2007 AK-INS $32,500
Principal Life Insurance Co. Principal Financial insurance violation 2008 AK-INS $25,000
Seabury & Smith, Inc. Marsh & McLennan insurance violation 2009 AK-INS $39,378
Brown & Brown of Washington, Inc. Brown & Brown insurance violation 2012 AK-INS $30,000
Marsh USA Inc. Marsh & McLennan insurance violation 2015 AK-INS $25,000
Marsh & McLennan Agency LLC Marsh & McLennan insurance violation 2016 AK-INS $10,000
Marsh & McLennan Agency LLC Marsh & McLennan insurance violation 2019 AK-INS $20,000
Marsh USA Inc. Marsh & McLennan insurance violation 2019 AK-INS $30,000
Encompass Indemnity Co. and Encompass Insurance Company of America Allstate insurance violation 2019 AR-INS $40,000
Chicago Title Insurance Co. Fidelity National Financial insurance violation 2017 AR-INS $50,000
Stewart Title Guaranty Co. Stewart Information Services insurance violation 2013 AR-INS $10,000
Farmers Insurance Exchange et al. Farmers Insurance Exchange insurance violation 2013 AR-INS $5,000
Titan Insurance Co. Nationwide insurance violation 2006 AZ-INS $40,000
Coast National Insurance Co. Zurich Insurance insurance violation 2009 AZ-INS $38,000
Chicago Title Insurance Co. Fidelity National Financial insurance violation 2010 AZ-INS $10,000
Scottsdale Insurance Co. Nationwide insurance violation 2010 AZ-INS $37,500
Titan Indemnity Co. Nationwide insurance violation 2010 AZ-INS $20,000
Unigard Insurance Co. QBE Insurance insurance violation 2010 AZ-INS $16,000
QBE Insurance Corp. QBE Insurance insurance violation 2010 AZ-INS $40,000
Permanent General Assurance Corp. American Family Insurance insurance violation 2011 AZ-INS $70,000
Safeco Insurance Company of Illinois Liberty Mutual Insurance insurance violation 2011 AZ-INS $15,000
Farmers Insurance Exchange Farmers Insurance Exchange insurance violation 2011 AZ-INS $10,000
Homesite Indemnity Co. American Family Insurance insurance violation 2011 AZ-INS $19,000
Austin Mututal Insurance Co. American Family Insurance insurance violation 2011 AZ-INS $30,000
American Bankers Insurance Company of Florida Assurant insurance violation 2011 AZ-INS $36,000
Accident Fund Insurance Company of America AF Group insurance violation 2012 AZ-INS $5,000
Infinity Insurance Co. Kemper insurance violation 2012 AZ-INS $38,000
Safeco Insurance Company of America Liberty Mutual Insurance insurance violation 2012 AZ-INS $30,000
John Alden Life Insurance Co. Assurant insurance violation 2013 AZ-INS $90,000
Union Security Insurance Co. Assurant insurance violation 2013 AZ-INS $40,000
Time Insurance Co. Haven Holdings insurance violation 2013 AZ-INS $60,000
Unitrin Direct Insurance Co. Kemper insurance violation 2013 AZ-INS $9,000
Unitrin Direct Property & Casualty Co. Kemper insurance violation 2013 AZ-INS $18,000
American Summit Insurance Co. Hilltop Holdings insurance violation 2013 AZ-INS $25,000
Mercury Casualty Co. Mercury General Corporation insurance violation 2013 AZ-INS $19,000
United Insurance Co. Kemper insurance violation 2013 AZ-INS $23,000
Foremost Insurance Company Grand Rapids, Michigan Zurich Insurance insurance violation 2015 AZ-INS $58,000
Foremost Property & Casualty Insurance Co. Zurich Insurance insurance violation 2015 AZ-INS $21,000
Monumental Life Insurance Co. Aegon insurance violation 2015 AZ-INS $57,000
Sentry Insurance A Mutual Co. Sentry Insurance insurance violation 2015 AZ-INS $20,000
Accordia Life and Annuity Co. Global Atlantic Financial Group insurance violation 2019 AZ-INS $50,000
American Family Connect Property and Casualty Insurance Company American Family Insurance insurance violation 2020 AZ-INS $50,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2002 CA-MHC $5,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)