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
RiverSource Life Insurance Co.	Ameriprise Financial	insurance violation	2015	CA-INS	$800,000
W.R. Berkley Corp.	W.R. Berkley	insurance violation	2017	CA-INS	$3,015,000
Admiral Risk Insurance Services, Inc.	W.R. Berkley	insurance violation	2017	CA-INS	$1,542,500
Admiral Insurance Co.	W.R. Berkley	insurance violation	2017	CA-INS	$1,542,500
State Farm	State Farm Insurance	insurance violation	2017	CA-INS	$13,335,701
United Casualty Insurance Co.	Kemper	insurance violation	2018	CA-INS	$22,500
Ticor Title Company of California	Fidelity National Financial	insurance violation	2018	CA-INS	$6,000
Oscar Health Plan of California	Oscar Health Inc.	insurance violation	2018	CA-MHC	$10,000
Wells Fargo Bank, N.A. and Wells Fargo Insurance, Inc.	Wells Fargo	insurance violation	2019	CA-INS	$5,345,816
Ameritas Investment Corp.	Ameritas Mutual Holding Company	insurance violation	2019	CA-INS	$15,000
Oscar Health Plan of California	Oscar Health Inc.	insurance violation	2019	CA-MHC	$5,000
Mercury Insurance Co. and Mercury Casualty Co. and California Automobile Insurance Co.	Mercury General Corporation	insurance violation	2019	CA-INS	$41,188,505
Oscar Health Plan of California	Oscar Health Inc.	insurance violation	2019	CA-MHC	$5,000
Stewart Title Guaranty Co.	Stewart Information Services	insurance violation	2000	CO-INS	$25,000
Commonwealth Land Title Insurance Co.	Fidelity National Financial	insurance violation	2000	CO-INS	$20,750
Fidelity National Title Insurance Co.	Fidelity National Financial	insurance violation	2001	CO-INS	$17,250
Federal Insurance Co.	Chubb Limited	insurance violation	2005	CO-INS	$16,000
Commerce and Industry Insurance Co.	American International Group	insurance violation	2005	CO-INS	$6,000
Allstate Insurance Co.	Allstate	insurance violation	2005	CO-INS	$10,500
Old Republic Insurance Co.	Old Republic International	insurance violation	2006	CO-INS	$6,000
Unitrin Auto and Home Insurance Co.	Kemper	insurance violation	2006	CO-INS	$7,500
American Family Mutual Insurance Co.	American Family Insurance	insurance violation	2006	CO-INS	$6,000
Farmers Insurance Exchange and Truck Insurance Exchange and Mid-Century Insurance Co.	Farmers Insurance Exchange	insurance violation	2006	CO-INS	$49,500
New England Life Insurance Co.	Brighthouse Financial	insurance violation	2006	CO-INS	$32,000
Allianz Life Insurance Company of North America	Allianz	insurance violation	2006	CO-INS	$34,800
Jackson National Life Insurance Co.	Jackson Financial	insurance violation	2007	CO-INS	$10,000
Auto-Owners Insurance Co.	Auto-Owners Insurance	insurance violation	2007	CO-INS	$5,000
American Family Mutual Insurance Co.	American Family Insurance	insurance violation	2007	CO-INS	$5,500
Nationwide Insurance Company of America	Nationwide	insurance violation	2007	CO-INS	$81,500
ING USA Annuity and Life Insurance Co.	Voya Financial	insurance violation	2007	CO-INS	$5,000
Stewart Title Guaranty Co.	Stewart Information Services	insurance violation	2007	CO-INS	$50,000
Nationwide Mutual Fire Insurance Co.	Nationwide	insurance violation	2007	CO-INS	$6,000
Nationwide Mutual Insurance Co.	Nationwide	insurance violation	2007	CO-INS	$8,500
Nationwide Property and Casualty Insurance Co.	Nationwide	insurance violation	2007	CO-INS	$6,000
National Western Life Insurance Co.	National Western Life	insurance violation	2009	CO-INS	$11,500
Time Insurance Co.	Haven Holdings	insurance violation	2009	CO-INS	$103,500
Permanent General Assurance Corp.	American Family Insurance	insurance violation	2009	CO-INS	$31,900
Esurance Insurance Co.	Allstate	insurance violation	2010	CO-INS	$154,500
Wedbush Securities Inc.	Wedbush Securities	insurance violation	2011	CO-INS	$14,300
Mid-Century Insurance Co.	Zurich Insurance	insurance violation	2011	CO-INS	$255,500
Farmers Insurance Exchange	Farmers Insurance Exchange	insurance violation	2011	CO-INS	$81,400
Mid-Century Insurance Co.	Zurich Insurance	insurance violation	2011	CO-INS	$66,000
Bristol West Insurance Co.	Zurich Insurance	insurance violation	2011	CO-INS	$161,500
Farmers Insurance Exchange	Farmers Insurance Exchange	insurance violation	2012	CO-INS	$218,000
United American Insurance Co.	Globe Life Inc.	insurance violation	2012	CO-INS	$86,500
Transamerica Life Insurance Co.	Aegon	insurance violation	2012	CO-INS	$6,270
John Alden Life Insurance Co.	Assurant	insurance violation	2012	CO-INS	$86,500
Stewart Title Guaranty Co.	Stewart Information Services	insurance violation	2012	CO-INS	$70,400
North River Insurance Co.	Fairfax Financial Holdings	insurance violation	2012	CO-INS	$62,700
United States Fire Insurance Co.	Fairfax Financial Holdings	insurance violation	2012	CO-INS	$111,500
First American Title Insurance Co.	First American Financial	insurance violation	2013	CO-INS	$177,500
Fidelity National Title Insurance Co.	Fidelity National Financial	insurance violation	2014	CO-INS	$48,400
Globe Life and Accident Insurance Co.	Globe Life Inc.	insurance violation	2014	CO-INS	$12,100
National Western Life Insurance Co.	National Western Life	insurance violation	2014	CO-INS	$11,500
Safeco Insurance Company of America	Liberty Mutual Insurance	insurance violation	2015	CO-INS	$140,500
Chicago Title Insurance Co.	Fidelity National Financial	insurance violation	2015	CO-INS	$66,000
Auto Owners Insurance Co.	Auto-Owners Insurance	insurance violation	2017	CO-INS	$25,875
National Western Life Insurance Co.	National Western Life	insurance violation	2019	CO-INS	$34,500
Companion Life Insurance Co.	BlueCross BlueShield of South Carolina	insurance violation	2019	CO-INS	$147,775
Permanent General Assurance Corp.	American Family Insurance	insurance violation	2019	CO-INS	$56,494
Permanent General Assurance Corporation of Ohio	American Family Insurance	insurance violation	2019	CO-INS	$50,974
Assurant Health	Assurant	insurance violation	2008	CT-INS	$2,100,000
Jackson National Life Insurance Co.	Jackson Financial	insurance violation	2008	CT-INS	$483,000
Safeco	Liberty Mutual Insurance	insurance violation	2009	CT-INS	$434,000
Bankers Life & Casualty Co.	CNO Financial	insurance violation	2009	CT-INS	$100,000
Zurich Insurance Group	Zurich Insurance	insurance violation	2010	CT-INS	$235,000
Chicago Title Insurance Company,	Fidelity National Financial	insurance violation	2010	CT-INS	$62,000
Kemper Independence Insurance Co.	Kemper	insurance violation	2019	CT-INS	$134,000
Mid-Century Insurance Co.	Zurich Insurance	insurance violation	2019	CT-INS	$64,000
Massachusetts Mutual Life Insurance Company, Inc.	Massachusetts Mutual Life Insurance	insurance violation	2019	CT-INS	$61,000
Continental Western Insurance Co.	W.R. Berkley	insurance violation	2019	CT-INS	$23,000
National General Insurance Co.	Allstate	insurance violation	2019	CT-INS	$167,500
Berkshire Life Insurance Company of America	Guardian Life Insurance	insurance violation	2019	CT-INS	$7,500
Ameritas Life Insurance Corp.	Ameritas Mutual Holding Company	insurance violation	2019	CT-INS	$5,000
AIG Property Casualty Co.	American International Group	insurance violation	2019	CT-INS	$120,000
Continental American Insurance Co.	Aflac	insurance violation	2019	CT-INS	$10,000
Nationwide Life and Annuity Insurance Co.	Nationwide	insurance violation	2019	CT-INS	$16,500
Hartford Casualty Insurance Co.	Hartford Financial Services	insurance violation	2019	CT-INS	$57,500
Hartford Accident and Indemnity Co.	Hartford Financial Services	insurance violation	2019	CT-INS	$43,000
Property Casualty Insurance Company of Hartford	Hartford Financial Services	insurance violation	2019	CT-INS	$14,000
Trumbull Insurance Co.	Hartford Financial Services	insurance violation	2019	CT-INS	$141,500
Sentinel Insurance Co.	Hartford Financial Services	insurance violation	2019	CT-INS	$84,000
Mutual of Omaha Insurance Co.	Mutual of Omaha	insurance violation	2019	CT-INS	$60,500
Horace Mann Property & Casualty Insurance Co.	Horace Mann Educators Corp.	insurance violation	2019	CT-INS	$18,000
American Alternative Insurance Corp.	Munich Re	insurance violation	2019	CT-INS	$49,500
Lincoln Life & Annuity Company of New York	Lincoln National	insurance violation	2019	CT-INS	$7,500
The Lincoln National Life Insurance Co.	Lincoln National	insurance violation	2019	CT-INS	$65,000
Harleysville Insurance Co.	Nationwide	insurance violation	2020	CT-INS	$49,000
Allstate Indemnity Co.	Allstate	insurance violation	2020	CT-INS	$7,500
American Bankers Insurance Company of Florida	Assurant	insurance violation	2020	CT-INS	$198,000
Allstate Insurance Co.	Allstate	insurance violation	2011	DE-INS	$25,000
State Farm Fire & Casualty Co.	State Farm Insurance	insurance violation	2012	DE-INS	$150,000
Life Insurance Company of the Southwest	National Life Group	insurance violation	2014	DE-INS	$6,000
Titan Indemnity Co.	Nationwide	insurance violation	2014	DE-INS	$25,000
United States Fire Insurance Co.	Fairfax Financial Holdings	insurance violation	2014	DE-INS	$10,000
Lincoln National Life Insurance Co.	Lincoln National	insurance violation	2014	DE-INS	$27,600
Nationwide Mutual Insurance Co.	Nationwide	insurance violation	2015	DE-INS	$15,000
Highmark BCBSD Inc.	Highmark Inc.	insurance violation	2016	DE-INS	$383,000
21st Century Centennial Insurance Co.	Zurich Insurance	insurance violation	2016	DE-INS	$27,500
Progressive Northern Insurance Co.	Progressive	insurance violation	2016	DE-INS	$7,000
HomeSite Insurance Co.	American Family Insurance	insurance violation	2016	DE-INS	$15,000