Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$325,206,110,617
Number of Records: 
5,976
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$82,700,046,034213
JPMorgan Chase$34,530,243,993154
Citigroup$25,045,655,764120
Wells Fargo$21,199,943,231179
Deutsche Bank$18,156,533,87859
UBS$16,792,800,91083
Royal Bank of Scotland$13,455,904,00027
Goldman Sachs$13,140,380,98740
BNP Paribas$12,132,582,95017
Credit Suisse$10,409,957,62631


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 Parentsort icon Primary Offense Type Year Agency Penalty Amount
1st Financial Bank USA 1st Financial Bank USA banking violation 2010 FDIC $10,140,000
1ST FINANCIAL BANK USA 1st Financial Bank USA banking violation 2009 FDIC (*) $140,000
1st Financial Bank U.S.A. 1st Financial Bank USA banking violation 2005 WI-AG $43,142
ABN AMRO Bank N.V. renamed the Royal Bank of Scotland N.V. ABN AMRO economic sanction violation 2010 DOJ_CRIMINAL $500,000,000
ABN AMRO Clearing Chicago LLC ABN AMRO investor protection violation 2013 CFTC $1,000,000
ABN AMRO Bank, N.V. ABN AMRO economic sanction violation 2006 OFAC $40,000,000
ABN AMRO Bank, Inc ABN AMRO economic sanction violation 2004 OFAC $25,847
ABN AMRO Mortgage Group ABN AMRO mortgage abuses 2006 HUD $41,000,000
ABN AMRO Bank, N.V. ABN AMRO investor protection violation 2013 SEC $5,547,408
ABN AMRO Clearing Chicago LLC ABN AMRO investor protection violation 2018 CFTC $160,000
ABN AMRO Incorporated ABN AMRO investor protection violation 2001 SEC $200,000
ABN AMRO Clearing Chicago LLC ABN AMRO investor protection violation 2020 SEC $586,000
ABN AMRO ABN AMRO economic sanction violation 2005 NY-DFS $20,000,000
ACE Cash Express ACE Cash Express consumer protection violation 2014 CFPB $15,000,000
Ace Cash Express, Inc. ACE Cash Express wage and hour violation 2012 WHD $18,852
Ace Cash Express, Inc. ACE Cash Express wage and hour violation 2005 WHD $12,796
Ace America's Cash Express, Inc. ACE Cash Express wage and hour violation 2004 WHD $26,295
Ace America's Cash Express ACE Cash Express wage and hour violation 2004 CA-LCO $75,000
ACE Cash Express, Inc. ACE Cash Express consumer protection violation 2002 CO-AG $1,300,000
ACE Cash Express, Inc. ACE Cash Express payday lending violation 2010 CA-DBO $118,400
ACE Cash Express, Inc. ACE Cash Express payday lending violation 2015 CA-DBO $22,500
ACE Cash Express, Inc. dba ACE America's Cash Express ACE Cash Express consumer protection violation 2002 FL-OFR $500,000
ACE Cash Express, Inc. ACE Cash Express consumer protection violation 2016 FL-OFR $28,000
Ace Cash Express Inc. ACE Cash Express consumer protection violation 2002 MD-FIN $164,000
ACE Cash Express, Inc. ACE Cash Express consumer protection violation 2015 MD-FIN $353,286
Ace Cash Express, Inc. ACE Cash Express consumer protection violation 2009 NE-DBF $15,550
Ace Cash Express, Inc., ACE Cash Express consumer protection violation 2010 NE-DBF $7,000
Ace Cash Express, Inc. ACE Cash Express consumer protection violation 2010 NE-DBF $11,950
Ace Cash Express, Inc. ACE Cash Express consumer protection violation 2010 NE-DBF $8,550
Ace Cash Express, Inc. ACE Cash Express consumer protection violation 2010 NE-DBF $6,550
Ace Cash Express, Inc. ACE Cash Express consumer protection violation 2012 NE-DBF $5,400
Ace Cash Express, Inc. ACE Cash Express consumer protection violation 2012 NE-DBF $7,000
Ace Cash Express, Inc. ACE Cash Express consumer protection violation 2012 NE-DBF $5,800
Ace Cash Express, Inc. ACE Cash Express consumer protection violation 2014 NE-DBF $18,900
Ace Cash Express, Inc. ACE Cash Express consumer protection violation 2015 NE-DBF $5,450
Ace Cash Express, Inc. ACE Cash Express consumer protection violation 2015 NE-DBF $20,500
Ace Cash Express ACE Cash Express consumer protection violation 2009 OH-BKG $7,050
ACE Cash Express Inc. ACE Cash Express consumer protection violation 2017 PA-BKG $80,000
ACE CASH EXPRESS, INC. ACE Cash Express consumer protection violation 2010 VA-FIN $150,000
ACE CASH EXPRESS, INC. ACE Cash Express consumer protection violation 2016 VA-FIN $45,000
ACE Cash Express, Inc. ACE Cash Express consumer protection violation 2016 WA-FIN $76,421
Elephant Insurance Co. Admiral Group insurance violation 2014 MD-INS $5,000
Elephant Insurance Co. Admiral Group insurance violation 2014 MD-INS $5,000
Elephant Insurance Co. Admiral Group insurance violation 2018 MD-INS $75,000
Elephant Insurance Company Admiral Group insurance violation 2020 TX-INS $80,000
ELEPHANT INSURANCE COMPANY Admiral Group insurance violation 2012 VA-INS $29,709
ELEPHANT INSURANCE COMPANY Admiral Group insurance violation 2013 VA-INS $6,154
ELEPHANT INSURANCE COMPANY Admiral Group insurance violation 2018 VA-INS $79,017
Elephant Insurance Company Admiral Group insurance violation 2019 VA-INS $47,619
Transamerica Financial Advisors Aegon investor protection violation 2014 SEC $1,107,248
Transamerica Life Insurance Company Aegon wage and hour violation 2015 WHD $70,143
World Group Securities, Inc. Aegon investor protection violation 2010 SEC $200,000
AEGON USA Investment Management LLC et al. Aegon investor protection violation 2018 SEC $97,600,000
Transamerica Corporation Aegon benefit plan administrator violation 2016 private lawsuit-federal $3,800,000
Transamerica Financial Advisors, Inc. Aegon investor protection violation 2019 SEC $6,023,072
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
World Group Securities, Inc. Aegon investor protection violation 2010 AZ-SEC $853,501
Monumental Life Insurance Co. Aegon insurance violation 2015 AZ-INS $57,000
Transamerica Life Insurance Co. Aegon insurance violation 2012 CO-INS $6,270
Life Investors Insurance Company of America Aegon insurance violation 2004 FL-OFR $11,000
Life Investors Insurance Company of America Aegon insurance violation 2006 FL-OFR $53,000
World Group Securities, Inc. Aegon investor protection violation 2004 ID-SEC $15,000
Transamerica Life Insurance Co. Aegon insurance violation 2017 ID-INS $5,000
Monumental Life Insurance Co. Aegon insurance violation 2011 MD-INS $9,000
Transamerica Life Insurance Co. Aegon insurance violation 2011 MD-INS $5,000
Transamerica Premier Life Insurance Co. Aegon insurance violation 2015 MD-INS $11,800
Transamerica Life Insurance Co. Aegon insurance violation 2015 MD-INS $16,300
Transamerica Life Insurance Co. Aegon insurance violation 2017 MD-INS $8,300
Transamerica Life Insurance Company Aegon insurance violation 2019 MD-INS $184,000
Transamerica Life Insurance Co. et al. Aegon insurance violation 2012 MN-FIN $50,000
Transamerica Life Insurance Co. et al. Aegon insurance violation 2014 MN-FIN $2,500,000
Transamerica Premier Life Insurance Co. Aegon insurance violation 2015 MN-FIN $5,000
Transamerica Premier Life Insurance Co. Aegon insurance violation 2018 MN-FIN $40,000
Transamerica Life Insurance Co. and Transamerica Premier Life Insurance Co. Aegon insurance violation 2019 MN-FIN $100,000
World Group Securities, Inc. Aegon investor protection violation 2006 MO-SEC $228,600
Monumental Life Insurance Co. Aegon insurance violation 2009 MO-INS $26,001
Transamerica Life Insurance Co. Aegon insurance violation 2019 MO-INS $6,000
Transamerica Life Insurance Co. Aegon insurance violation 2019 MO-INS $5,000
Transamerica Premier Life Insurance Co. Aegon insurance violation 2019 MO-INS $5,000
Transamerica Life Insurance Co. Aegon insurance violation 2019 MO-INS $26,000
Transamerica Premier Life Insurance Co. Aegon insurance violation 2019 MO-INS $36,000
Monumental Life Insurance Co. Aegon insurance violation 2003 MS-INS $24,351
Monumental Life Insurance Company Aegon insurance violation 2008 NJ-DBI $250,000
Transamerica Premier Life Insurance Company Aegon insurance violation 2016 NJ-DBI $75,000
Transamerica Life Insurance Company Aegon insurance violation 2019 NJ-DBI $5,942,519
Transamerica Financial Life Insurance Company Aegon insurance violation 2013 NY-DFS $852,418
Transamerica Financial Life Insurance Company Aegon insurance violation 2018 NY-DFS $1,345,136
Transamerica Life Insurance Company Aegon insurance violation 2009 OR-FIN $25,000
Transamerica Life Insurance Company Aegon insurance violation 2016 SD-INS $15,000
Transamerica Life Insurance Company Aegon insurance violation 2018 SD-INS $10,000
Transamerica Life Insurance Company Aegon insurance violation 2019 SD-INS $30,000
Transamerica Life Insurance Company Aegon insurance violation 2014 UT-INS $45,000
MONUMENTAL LIFE INSURANCE CO Aegon insurance violation 2001 VA-INS $5,000
LIFE INVESTORS INSURANCE COMPANY OF AMERICA Aegon insurance violation 2006 VA-INS $29,000
Transamerica Premier Life Insurance Company Aegon insurance violation 2013 WA-INS $150,000
Transamerica Casualty Insurance Company Aegon insurance violation 2014 WA-INS $20,000
Transamerica Casualty Insurance Company Aegon insurance violation 2015 WA-INS $10,000
Transamerica Life Insurance Company Aegon insurance violation 2016 WA-INS $5,000
Transamerica Life Insurance Company Aegon insurance violation 2019 WA-INS $15,000
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