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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 CompaniesTotal Penalty $Number of Records
Bank of America$87,286,650,890328
JPMorgan Chase$39,340,688,209275
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,780,502,443203
BNP Paribas$10,363,464,66623

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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CompanyCurrent ParentPrimary Offense Type sort iconYearAgencyPenalty Amount
Provident Life and Accident Insurance Co.Unuminsurance violation2000NC-INS$80,000
Allstate Insurance CompanyAllstateinsurance violation2010NC-INS$680,718
Hartford Life and Annuity Insurance CompanyHartford Financial Servicesinsurance violation2012NC-INS$91,500
American Modern Home Insurance CompanyMunich Reinsurance violation2012NC-INS$1,860,000
Time Insurance CompanyHaven Holdingsinsurance violation2013NC-INS$524,000
Conseco Senior Health Insurance CompanyCNO Financialinsurance violation2001ND-INS$5,000
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2007ND-INS$750,000
American Family Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2009ND-INS$5,000
Austin Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2014ND-INS$10,000
American Family Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2016NE-DOI$15,000
American Family Insurance CompanyAmerican Family Insuranceinsurance violation2018NE-DOI$15,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2018NE-DOI$7,500
Progressive Northern Insurance CompanyProgressiveinsurance violation2006NH-INS$5,000
Universal Underwriters Insurance CompanyZurich Insuranceinsurance violation2007NH-INS$28,125
John Alden Life Insurance CompanyAssurantinsurance violation2008NH-INS$450,000
Time Insurance CompanyHaven Holdingsinsurance violation2008NH-INS$450,000
MetLife Investors USA Insurance CompanyMetLifeinsurance violation2009NH-INS$54,524
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2010NH-INS$100,000
Virginia Surety Company Inc.Assurantinsurance violation2010NH-INS$20,000
Prudential Insurance Company of AmericaPrudential Financialinsurance violation2001NJ-DBI$25,100,000
USAA Casualty Insurance and United Services Auto AssociationUSAAinsurance violation2003NJ-DBI$6,200,000
Horizon Healthcare of New Jersey Inc.Horizon Healthcare Servicesinsurance violation2003NJ-DBI$200,000
Allstate Life Insurance Co.Allstateinsurance violation2004NJ-DBI$15,000
AON Risk Services IncAoninsurance violation2004NJ-DBI$10,000
Hanover Insurance Co.Hanover Insuranceinsurance violation2004NJ-DBI$40,000
Selective Insurance Co. of AmericaSelective Insurance Groupinsurance violation2004NJ-DBI$25,000
State Farm Indemnity Co.State Farm Insuranceinsurance violation2004NJ-DBI$35,000
American General Financial Services Inc.OneMain Holdingsinsurance violation2004NJ-DBI$1,200,000
American International Specialty Lines Insurance Co.American International Groupinsurance violation2005NJ-DBI$13,000
American Security Insurance Co. et al.Assurantinsurance violation2005NJ-DBI$1,775,000
Seneca Insurance Co.Fairfax Financial Holdingsinsurance violation2005NJ-DBI$72,256
Chicago Title Insurance CompanyFidelity National Financialinsurance violation2008NJ-DBI$20,000
Monumental Life Insurance CompanyAegoninsurance violation2008NJ-DBI$250,000
Allstate New Jersey Insurance CompanyAllstateinsurance violation2009NJ-DBI$5,000
21st Century National Insurance CompanyZurich Insuranceinsurance violation2010NJ-DBI$10,000
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesinsurance violation2010NJ-DBI$500,000
Praetorian Insurance CompanyQBE Insuranceinsurance violation2012NJ-DBI$10,000
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesinsurance violation2012NJ-DBI$4,233,100
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesinsurance violation2012NJ-DBI$100,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2013NJ-DBI$90,000
National Western Life Insurance Co.National Western Lifeinsurance violation2014NJ-DBI$2,973,656
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesinsurance violation2014NJ-DBI$750,000
Marsh & McLennan Agency, LLCMarsh & McLennaninsurance violation2014NJ-DBI$15,000
Gallagher Benefit Services, Inc.Arthur J. Gallagher & Co.insurance violation2014NJ-DBI$5,000
AIG Property Casualty CompanyAmerican International Groupinsurance violation2014NJ-DBI$25,000
Ameritas Life Insurance Corp.Ameritas Mutual Holding Companyinsurance violation2015NJ-DBI$2,524,290
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2015NJ-DBI$50,000
Lincoln National Life Insurance CompanyLincoln Nationalinsurance violation2015NJ-DBI$10,000
Liberty MutualLiberty Mutual Insuranceinsurance violation2015NJ-DBI$25,000
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesinsurance violation2016NJ-DBI$400,000
Transamerica Premier Life Insurance CompanyAegoninsurance violation2016NJ-DBI$75,000
Horizon Healthcare of New Jersey, Inc.Horizon Healthcare Servicesinsurance violation2017NJ-DBI$291,824
Horizon Healthcare Services, Inc. and Horizon Healthcare of New Jersey Inc.Horizon Healthcare Servicesinsurance violation2017NJ-DBI$1,500,000
Tokio Marine Kiln Syndicates Limited et al.Tokio Marineinsurance violation2018NJ-DBI$60,000
Mercury Indemnity Company of AmericaMercury General Corporationinsurance violation2018NJ-DBI$25,000
Oscar Garden State Insurance CorporationOscar Health Inc.insurance violation2018NJ-DBI$500,000
Transamerica Life Insurance CompanyAegoninsurance violation2019NJ-DBI$5,942,519
Horizon Healthcare of New Jersey, Inc.Horizon Healthcare Servicesinsurance violation2019NJ-DBI$1,940,000
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesinsurance violation2019NJ-DBI$250,000
Genworth Life Insurance CompanyGenworth Financialinsurance violation2019NJ-DBI$10,000
USAAUSAAinsurance violation2002OH-INS$30,000
Guardian Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2000NY-DFS$250,000
Allstate Life Insurance Company of New YorkAllstateinsurance violation2007NY-DFS$18,250,000
HealthNow New York Inc.Highmark Inc.insurance violation2008NY-DFS$1,050,000
AXA Equitable Life Insurance CompanyEquitable Holdingsinsurance violation2010NY-DFS$1,900,000
Citicorp Insurance Agency, Inc., Citicorp Investment Services, and SBHU Life Agency, Inc.Citigroupinsurance violation2010NY-DFS$2,000,000
HealthNowHighmark Inc.insurance violation2011NY-DFS$4,492,327
Hartford Life Insurance CompanyHartford Financial Servicesinsurance violation2012NY-DFS$24,000,000
HealthNowHighmark Inc.insurance violation2012NY-DFS$101,640
HealthNow New York Inc.Highmark Inc.insurance violation2013NY-DFS$700,000
Assurant, Inc.Assurantinsurance violation2013NY-DFS$14,000,000
QBE Insurance Corp.QBE Insuranceinsurance violation2013NY-DFS$10,000,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2013NY-DFS$4,560,000
Seneca Insurance Company, Inc.Fairfax Financial Holdingsinsurance violation2013NY-DFS$50,000
Companion Life Insurance CompanyBlueCross BlueShield of South Carolinainsurance violation2013NY-DFS$150,000
Transamerica Financial Life Insurance CompanyAegoninsurance violation2013NY-DFS$852,418
Allianz Life Insurance Company of New YorkAllianzinsurance violation2013NY-DFS$135,000
Travelers Home & Marine Insurance CompanyTravelersinsurance violation2014NY-DFS$100,000
AXA EquitableEquitable Holdingsinsurance violation2014NY-DFS$20,000,000
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2014NY-DFS$46,800
MetLifeMetLifeinsurance violation2014NY-DFS$50,000,000
Encompass Indemnity CompanyAllstateinsurance violation2014NY-DFS$40,100
Permanent General Assurance CorporationAmerican Family Insuranceinsurance violation2014NY-DFS$75,000
Investment Professionals Inc.Ameriprise Financialinsurance violation2014NY-DFS$10,000
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2014NY-DFS$7,100
Hartford Insurance Company of IllinoisHartford Financial Servicesinsurance violation2014NY-DFS$7,100
Hartford Insurance Company of the MidwestHartford Financial Servicesinsurance violation2014NY-DFS$14,450
Hartford Underwriters Insurance CompanyHartford Financial Servicesinsurance violation2014NY-DFS$8,600
Sentinel Insurance Company, Ltd.Hartford Financial Servicesinsurance violation2014NY-DFS$16,700
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2014NY-DFS$190,000
21st Century Centennial Insurance CompanyZurich Insuranceinsurance violation2014NY-DFS$9,000
Erie Insurance Company of New YorkErie Indemnityinsurance violation2014NY-DFS$9,000
Nationwide General Insurance CompanyNationwideinsurance violation2014NY-DFS$32,000
Selective Insurance Company of New YorkSelective Insurance Groupinsurance violation2014NY-DFS$50,000
Selective Insurance Company of AmericaSelective Insurance Groupinsurance violation2014NY-DFS$50,000
Selective Way Insurance CompanySelective Insurance Groupinsurance violation2014NY-DFS$50,000
AIGAmerican International Groupinsurance violation2014NY-DFS$35,000,000
Commerce and Industry Insurance CompanyAmerican International Groupinsurance violation2014NY-DFS$48,500
American Family Home Insurance CompanyMunich Reinsurance violation2015NY-DFS$25,000
American Modern Home Insurance CompanyMunich Reinsurance violation2015NY-DFS$150,000
Granite State Insurance CompanyAmerican International Groupinsurance violation2015NY-DFS$150,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.