Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$333,568,388,571
Number of Records: 
6,826
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$82,896,776,051261
JPMorgan Chase$35,851,437,155191
Citigroup$25,535,002,360154
Wells Fargo$21,678,596,719218
Deutsche Bank$18,341,457,30276
UBS$16,853,736,33498
Goldman Sachs$16,381,931,83964
NatWest Group PLC$13,477,129,00031
BNP Paribas$12,147,863,95019
Credit Suisse$10,448,892,62645


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
John Hancock Life Insurance Co. Manulife Financial insurance violation 2021 DE-INS $5,000
Safeco Insurance Company of America Liberty Mutual Insurance insurance violation 2021 MN-FIN $10,000
Everest Reinsurance Company Everest Re Group insurance violation 2020 MN-FIN $8,000
American Family Mutual Insurance Co. and American Family Insurance Co. American Family Insurance insurance violation 2020 MN-FIN $35,000
American International Group American International Group insurance violation 2021 NY-DFS $12,000,000
Liberty Northwest Insurance Corp. Liberty Mutual Insurance insurance violation 2021 OR-FIN $5,000
Safeco Insurance Company of Oregon Liberty Mutual Insurance insurance violation 2021 OR-FIN $5,000
Ameritas Life Insurance Corp. Ameritas Mutual Holding Company insurance violation 2020 TN-INS $30,000
Nationwide Mutual Insurance Company et al. Nationwide insurance violation 2021 TX-INS $75,000
Indemnity Insurance Company of North America Chubb Limited insurance violation 2020 TX-INS $15,000
Indemnity Insurance Company of North America Chubb Limited insurance violation 2020 TX-INS $9,500
Unitrin County Mutual Insurance Company Kemper insurance violation 2020 TX-INS $80,000
Liberty Mutual Insurance Company Liberty Mutual Insurance insurance violation 2020 TX-INS $8,500
Indemnity Insurance Company of North America Chubb Limited insurance violation 2020 TX-INS $8,500
Hartford Casualty Insurance Company Hartford Financial Services insurance violation 2020 TX-INS $7,500
Farmers Insurance Exchange and Truck Insurance Exchange Farmers Insurance Exchange insurance violation 2021 VA-INS $15,950
CMFG Life Insurance Company CUNA Mutual insurance violation 2021 VA-INS $7,500
Erie Insurance Company and Erie Insurance Exchange Erie Indemnity insurance violation 2020 VA-INS $19,371
Lincoln National Life Insurance Company Lincoln National insurance violation 2020 VA-INS $7,800
Northwestern Mutual Life Insurance Co. Northwestern Mutual insurance violation 2021 VT-FIN $287,000
Travelers Home and Marine Insurance Company Travelers insurance violation 2021 WA-INS $10,000
California Physicians' Service California Physicians' Service insurance violation 2021 CA-MHC $5,000
California Physicians' Service California Physicians' Service insurance violation 2021 CA-MHC $10,000
California Physicians' Service California Physicians' Service insurance violation 2021 CA-MHC $5,000
California Physicians' Service California Physicians' Service insurance violation 2021 CA-MHC $10,000
California Physicians' Service California Physicians' Service insurance violation 2021 CA-MHC $5,000
California Physicians' Service California Physicians' Service insurance violation 2021 CA-MHC $5,000
California Physicians' Service California Physicians' Service insurance violation 2021 CA-MHC $7,500
California Physicians' Service California Physicians' Service insurance violation 2021 CA-MHC $5,000
California Physicians' Service California Physicians' Service insurance violation 2021 CA-MHC $5,000
Oscar Health Plan of California Mulberry Health insurance violation 2021 CA-MHC $10,000
Oscar Health Plan of California Mulberry Health insurance violation 2021 CA-MHC $30,000
Prudential Retirement Insurance and Annuity Company Prudential Financial insurance violation 2021 CT-INS $300,000
State Farm Fire & Casualty Company State Farm Insurance insurance violation 2020 CT-INS $60,000
Transamerica Life Insurance Company Aegon insurance violation 2020 CT-INS $10,000
American General Life Insurance Company American International Group insurance violation 2020 CT-INS $10,000
Minnesota Life Insurance Company Securian Financial insurance violation 2020 CT-INS $7,000
Standard Insurance Company Meiji Yasuda Life Insurance insurance violation 2020 CT-INS $10,000
Principal Life Insurance Company Principal Financial insurance violation 2020 CT-INS $10,000
Harleysville Worcester Insurance Company Nationwide insurance violation 2020 CT-INS $6,500
Progressive Direct Insurance Company Progressive insurance violation 2020 CT-INS $56,500
Crestbrook Insurance Company Nationwide insurance violation 2020 CT-INS $15,500
American Guarantee and Liability Insurance Company Zurich Insurance insurance violation 2020 CT-INS $10,000
AMERICAN HEALTH AND LIFE INSURANCE COMPANY OneMain Holdings insurance violation 2021 MO-INS $7,500
TRANSAMERICA LIFE INSURANCE COMPANY Aegon insurance violation 2021 MO-INS $11,000
USAA Casualty Insurance Company et al. USAA insurance violation 2021 NH-INS $25,000
Transamerica Financial Life Insurance Company Aegon insurance violation 2020 NY-DFS $750,000
American Family Connect Insurance Company American Family Insurance insurance violation 2021 NY-DFS $23,000
Erie Insurance Company of New York Erie Indemnity insurance violation 2021 NY-DFS $22,000
Mercury Casualty Company Mercury General Corporation insurance violation 2020 NY-DFS $11,000
Arthur J. Gallagher Risk Management Services, Inc. Arthur J. Gallagher & Co. insurance violation 2020 NY-DFS $300,800
Arthur J. Gallagher Risk Management Services, Inc. Arthur J. Gallagher & Co. insurance violation 2020 NY-DFS $39,750
Farmers Insurance Zurich Insurance insurance violation 2021 OK-AG $25,000,000
Ace American Insurance Company Chubb Limited insurance violation 2021 UT-INS $41,500
Transamerica Premier Life Insurance Company Aegon insurance violation 2021 VT-FIN $84,000
Metropolitan Property and Casualty Insurance Company Zurich Insurance insurance violation 2021 VT-FIN $13,000
United Services Automobile Association et al. USAA insurance violation 2021 VA-INS $10,000
LIFEWISE HEALTH PLAN OF WASHINGTON Premera Blue Cross insurance violation 2021 WA-INS $20,000
PREMERA BLUE CROSS Premera Blue Cross insurance violation 2021 WA-INS $10,000
AMERICAN FAMILY INSURANCE COMPANY American Family Insurance insurance violation 2021 WA-INS $50,000
HSBC SECURITIES USA INC HSBC insurance violation 2021 WA-INS $10,000
STANDARD FIRE INSURANCE COMPANY Travelers insurance violation 2021 WA-INS $5,000
AMERICAN NATIONAL PROPERTY AND CASUALTY COMPANY American National Insurance insurance violation 2021 WA-INS $5,000
ALLIED PROPERTY AND CASUALTY INSURANCE COMPANY ET AL. Nationwide insurance violation 2021 WA-INS $20,000
NATIONAL CASUALTY COMPANY Nationwide insurance violation 2021 WA-INS $50,000
State Farm Fire & Casualty Co State Farm Insurance insurance violation 2021 WI-INS $10,000
First American Title Co. First American Financial insurance violation 2021 CA-INS $1,185,000
First American Title Co. First American Financial insurance violation 2021 CA-INS $55,000
Jefferson National Life Insurance Co. Nationwide insurance violation 2021 CA-INS $165,342
California Physicians' Service d.b.a. Blue Shield of California California Physicians' Service insurance violation 2021 CA-MHC $150,000
California Physicians' Service d.b.a. Blue Shield of California California Physicians' Service insurance violation 2021 CA-MHC $5,000
Oscar Health Plan of California Mulberry Health insurance violation 2021 CA-MHC $15,000
California Physicians' Service d.b.a. Blue Shield of California California Physicians' Service insurance violation 2021 CA-MHC $30,000
California Physicians' Service d.b.a. Blue Shield of California California Physicians' Service insurance violation 2021 CA-MHC $5,000
California Physicians' Service d.b.a. Blue Shield of California California Physicians' Service insurance violation 2021 CA-MHC $5,000
California Physicians' Service d.b.a. Blue Shield of California California Physicians' Service insurance violation 2021 CA-MHC $10,000
Provident Life and Accident Insurance Co. Unum insurance violation 2021 CT-INS $7,500
UNUM Life Insurance Company of America Unum insurance violation 2021 CT-INS $12,500
United Services Automobile Association USAA insurance violation 2021 CT-INS $32,500
USAA Casualty Insurance Co. USAA insurance violation 2021 CT-INS $36,500
USAA Indemnity Co. USAA insurance violation 2021 CT-INS $32,500
Lincoln National Life Insurance Co. Lincoln National insurance violation 2021 DE-INS $91,000
Principal Life Insurance Co. Principal Financial insurance violation 2021 DE-INS $23,000
National Union Fire Insurance Company of Pittsburgh, Pa American International Group insurance violation 2021 KS-INS $5,000
Ace American Insurance Co. and Indemnity Insurance Company of North America Chubb Limited insurance violation 2021 MD-INS $7,000
Athene Annuity and Life Co. Athene Holding insurance violation 2021 MD-INS $8,880
State Farm Mutual Automobile Insurance Company State Farm Insurance insurance violation 2021 MN-FIN $6,000
Companion Life Insurance Co. BlueCross BlueShield of South Carolina insurance violation 2021 MULTI-FIN $5,000,000
Scottsdale Insurance Co. Nationwide insurance violation 2021 NH-INS $10,579
Foremost Insurance Company Grand Rapids, Michigan Zurich Insurance insurance violation 2021 OR-FIN $15,000
Liberty Mutual Group Inc. and Safeco Insurance Company of Oregon Liberty Mutual Insurance insurance violation 2021 OR-FIN $120,000
XL Specialty Insurance Co. AXA insurance violation 2021 TX-INS $15,825
Travelers Indemnity Co. Travelers insurance violation 2021 TX-INS $11,000
Trumbull Insurance Co. Hartford Financial Services insurance violation 2021 TX-INS $5,000
XL Insurance America, Inc. AXA insurance violation 2021 TX-INS $17,000
Accident Fund General Insurance Co. AF Group insurance violation 2021 TX-INS $6,500
Federal Insurance Co. Chubb Limited insurance violation 2021 TX-INS $19,000
New Hampshire Insurance Co. American International Group insurance violation 2021 TX-INS $6,200
Old Republic Insurance Old Republic International insurance violation 2021 TX-INS $6,750
Protective Insurance Co. Protective Insurance Corp. insurance violation 2021 TX-INS $8,500
Safety National Casualty Corp. Tokio Marine insurance violation 2021 TX-INS $9,500
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)