Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$323,889,987,491
Number of Records: 
5,839
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$82,695,676,034210
JPMorgan Chase$34,517,828,993151
Citigroup$25,045,655,764120
Wells Fargo$21,139,073,231172
Deutsche Bank$17,995,700,77855
UBS$16,782,800,91082
Royal Bank of Scotland$13,455,904,00027
Goldman Sachs$13,140,380,98740
BNP Paribas$12,132,332,95016
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 Parent Primary Offense Type Year Agencysort icon Penalty Amount
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
Aviva Life and Annuity Co. Athene Holding insurance violation 2011 CO-INS $25,300
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
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
Janney Montgomery Scott LLC Penn Mutual investor protection violation 2005 CO-SEC $259,227
OppenheimerFunds Distributor, Inc. Invesco investor protection violation 2007 CO-SEC $494,500
AllianceBernstein L.P. AXA investor protection violation 2013 CO-SEC $20,232
American Express Centurion Bank American Express tax violations 2012 CT-AG $14,970
Bank of America Bank of America privacy violation 2009 CT-AG $350,000
Brown & Brown Insurance of Arizona, Inc. Brown & Brown tax violations 2014 CT-AG $37,650
Citibank N.A. Citigroup privacy violation 2013 CT-AG $55,000
Hartford Financial Services Group, Inc. Hartford Financial Services price-fixing or anti-competitive practices 2009 CT-AG $1,300,000
Jackson National Life Insurance Co Prudential (UK) investor protection violation 2008 CT-AG $484,000
John Hancock Assignment Co. Manulife Financial tax violations 2014 CT-AG $38,910
Liberty Mutual Insurance Co. Liberty Mutual Insurance kickbacks and bribery 2010 CT-AG $2,000,000
Marsh & McLennan Companies, Inc. Marsh & McLennan kickbacks and bribery 2009 CT-AG $2,400,000
Metropolitan Life Insurance Co. MetLife privacy violation 2012 CT-AG $10,000
MONY Life Insurance Co. AXA consumer protection violation 2000 CT-AG $250,000
Mutual of Omaha Insurance Co. Mutual of Omaha kickbacks and bribery 2008 CT-AG $1,700,000
Pacific Resources Benefits Advisors, LLC Brown & Brown tax violations 2014 CT-AG $5,400
Principal Financial Group Principal Financial kickbacks and bribery 2007 CT-AG $5,000,000
Providian Financial Corp. JPMorgan Chase consumer protection violation 2000 CT-AG $1,600,000
RBS Securities, Inc. Royal Bank of Scotland toxic securities abuses 2016 CT-AG $120,000,000
Travelers Companies, Inc. Travelers consumer protection violation 2018 CT-AG $5,000,000
United American Insurance Co. Globe Life Inc. consumer protection violation 2003 CT-AG $45,000
United States Fidelity & Guaranty Travelers False Claims Act and related 2007 CT-AG $17,500,000
Wells Fargo Bank Wells Fargo consumer protection violation 2011 CT-AG $741,465
Freedom Mortgage Corp. Freedom Mortgage consumer protection violation 2009 CT-BKG $43,000
PHH Mortgage Corp. dba Century Mortgage Ocwen Financial consumer protection violation 2009 CT-BKG $6,000
Citigroup Global Markets Inc. Citigroup consumer protection violation 2009 CT-BKG $75,000
Prospect Mortgage Company, LLC Homebridge Financial Services consumer protection violation 2010 CT-BKG $33,000
PHH Mortgage Corp. dba Century Mortgage Ocwen Financial consumer protection violation 2013 CT-BKG $29,000
CashCall, Inc. and Western Sky Financial L.L.C. CashCall Inc. payday lending violation 2014 CT-BKG $400,000
Santander Consumer USA Inc. Banco Santander consumer protection violation 2018 CT-BKG $100,000
Heartland Payment Systems, LLC dba HPS Heartland Payroll Solutions, Inc. Global Payments Inc. consumer protection violation 2019 CT-BKG $12,450
Assurant Health Assurant insurance violation 2008 CT-INS $2,100,000
Jackson National Life Insurance Co. Prudential (UK) 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
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
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
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
Thomas Weisel Partners LLC Stifel Financial investor protection violation 2006 CT-SEC $52,480
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2006 CT-SEC $3,500,000
Wachovia Capital Markets, LLC Wells Fargo investor protection violation 2007 CT-SEC $258,728
UBS Financial Services Inc. UBS investor protection violation 2007 CT-SEC $5,500,000
Prosper Marketplace, Inc. Prosper Marketplace investor protection violation 2009 CT-SEC $12,602
Raymond James Financial Services, Inc. Raymond James Financial investor protection violation 2010 CT-SEC $15,000
Prosper Marketplace, Inc. Prosper Marketplace investor protection violation 2010 CT-SEC $5,000
Wachovia Securities, LLC nka Wells Fargo Advisors, LLC Wells Fargo investor protection violation 2010 CT-SEC $75,000
Charles Schwab & Co., Inc. Charles Schwab Corp. investor protection violation 2011 CT-SEC $2,800,000
Prosper Marketplace, Inc. Prosper Marketplace investor protection violation 2012 CT-SEC $40,000
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