Basic Search  |  Summaries  |  Advanced Search

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentPrimary Offense TypeYearAgency sort iconPenalty Amount
GlencoreGlencoreenvironmental violation2006CA-ARB$10,000
VitolVitolenvironmental violation2005CA-ARB$20,000
Vitol S.A.Vitolenvironmental violation2002CA-ARB$25,000
JP Morgan Chase Bank, NAJPMorgan Chaseemployment discrimination2019CA-CRD$60,000
JP Morgan Chase Bank N.AJPMorgan Chaseemployment discrimination2022CA-CRD$16,698
Household Finance Corp. of California and Beneficial California, Inc.HSBCmortgage abuses2002CA-DFPI$8,900,000
Wells Fargo Financial California, Inc.Wells Fargoconsumer protection violation2005CA-DFPI$1,621,010
ACE Cash Express, Inc.ACE Cash Expresspayday lending violation2010CA-DFPI$118,400
Allied Cash Advance California, LLCCNG Financialpayday lending violation2011CA-DFPI$103,709
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2013CA-DFPI$33,520
Wells Fargo Fund Distributor, LLCWells Fargoconsumer protection violation2014CA-DFPI$8,000
Prospect Mortgage, LLCHomebridge Financial Servicesconsumer protection violation2014CA-DFPI$3,141,000
Ocwen Loan Servicing, LLCOcwen Financialconsumer protection violation2015CA-DFPI$2,500,000
CashCall, Inc.CashCall Inc.payday lending violation2015CA-DFPI$1,000,000
ACE Cash Express, Inc.ACE Cash Expresspayday lending violation2015CA-DFPI$22,500
LendingClub Corp.LendingClub Corp.investor protection violation2015CA-DFPI$46,000
PrimeLending, A PlainsCapital CompanyHilltop Holdingsconsumer protection violation2016CA-DFPI$1,619,523
SunTrust Mortgage, Inc.Truist Financialmortgage abuses2016CA-DFPI$50,000
Guaranteed Rate, Inc.Guaranteed Rate Inc.consumer protection violation2017CA-DFPI$50,000
Ocwen Financial Solutions, Private Ltd.Ocwen Financialconsumer protection violation2017CA-DFPI$52,000
Ocwen Loan Servicing, LLCOcwen Financialmortgage abuses2017CA-DFPI$225,000,000
Amerisave Mortgage Corp.AmeriSave Mortgageconsumer protection violation2017CA-DFPI$50,000
MLD Mortgage, Inc. dba The Money Store dba Mortgage Lending DirectMLD Mortgage Inc. dba The Money Storeconsumer protection violation2017CA-DFPI$30,000
Homebridge Financial Services, Inc.Homebridge Financial Servicesconsumer protection violation2017CA-DFPI$80,000
Bannockburn Global Forex, LLCFirst Financial Bancorp.consumer protection violation2017CA-DFPI$500,000
Nationstar Mortgage, LLC dba Mr. CooperMr. Cooper Groupconsumer protection violation2017CA-DFPI$9,118,784
Santander Consumer USA, Inc.Banco Santanderconsumer protection violation2018CA-DFPI$300,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2018CA-DFPI$115,000
Cash America Advance, Inc.FirstCashpayday lending violation2019CA-DFPI$10,000
SunTrust Mortgage, Inc.Truist Financialconsumer protection violation2019CA-DFPI$349,015
CitiMortgage, Inc.Citigroupconsumer protection violation2019CA-DFPI$7,800,000
TitleMax of California, Inc.TMX Financeconsumer protection violation2019CA-DFPI$720,140
OneMain Financial Group, LLCOneMain Holdingsconsumer protection violation2019CA-DFPI$150,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020CA-DFPI$52,047
Societe Generale Financial CorporationSociete Generalebanking violation2020CA-DFPI$10,250
Morgan Stanley Smith Barney FA Notes Holdings LLCMorgan Stanleyconsumer protection violation2020CA-DFPI$1,000,000
PHH Mortgage CorporationOcwen Financialconsumer protection violation2020CA-DFPI$62,000
Freedom Mortgage CorporationFreedom Mortgageconsumer protection violation2020CA-DFPI$75,000
BB&T Equipment Finance LLCTruist Financialconsumer protection violation2021CA-DFPI$75,000
Ocwen Loan Servicing, LLCOcwen Financialconsumer protection violation2023CA-DFPI$5,988,704
Harleysville Mutual Insurance Co.Nationwideinsurance violation2002CA-INS$200,000
American International Group et al.American International Groupinsurance violation2002CA-INS$411,500
Federal Insurance Co. et al.Chubb Limitedinsurance violation2003CA-INS$403,652
State Farm Mutual Automobile Insurance Co.State Farm Insuranceinsurance violation2003CA-INS$250,000
The Tokio Marine and Fire Insurance Company, Ltd. and Trans Pacific Insurance Co.Tokio Marineinsurance violation2003CA-INS$42,500
Liberty Mutual Insurance GroupLiberty Mutual Insuranceinsurance violation2003CA-INS$215,000
Progressive Casualty Insurance Co. et al.Progressiveinsurance violation2004CA-INS$100,000
American Bankers Insurance Company of Florida et al.Assurantinsurance violation2004CA-INS$150,000
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2005CA-INS$425,000
Coast National Insurance Co.Zurich Insuranceinsurance violation2005CA-INS$120,000
Philadelphia Indemnity Insurance Co.Tokio Marineinsurance violation2005CA-INS$175,000
American Bankers Insurance Company of Florida et al.Assurantinsurance violation2005CA-INS$250,000
Stewart Title of California, Inc.Stewart Information Servicesinsurance violation2005CA-INS$750,000
Kemper Investors Life Insurance Co. et al.Kemperinsurance violation2005CA-INS$21,000
Allstate Insurance Co.Allstateinsurance violation2005CA-INS$34,000,000
Infinity Insurance Co. et al.Kemperinsurance violation2005CA-INS$600,000
American Title Co. dba Ticor Title Company of AmericaFidelity National Financialinsurance violation2005CA-INS$1,200,000
Amco Insurance Co. and Allied Property and Casualty Insurance Co.Nationwideinsurance violation2005CA-INS$20,000
Unum Life Insurance Company of America et al.Unuminsurance violation2005CA-INS$8,598,503
Fidelity National Title Insurance Co. et al.Fidelity National Financialinsurance violation2005CA-INS$13,300,000
Harleysville Mutual Insurance Co.Nationwideinsurance violation2005CA-INS$100,000
Farmers Insurance Exchange et al.Farmers Insurance Exchangeinsurance violation2006CA-INS$1,000,000
Mercury Insurance Co.Mercury General Corporationinsurance violation2006CA-INS$9,000
Zurich American Insurance Co.Zurich Insuranceinsurance violation2006CA-INS$15,000
Commonwealth Land Title Insurance Co. et al.Fidelity National Financialinsurance violation2006CA-INS$4,499,997
Amex Assurance Co.American Expressinsurance violation2006CA-INS$170,000
Workmen's Auto Insurance Co.Mercury General Corporationinsurance violation2006CA-INS$100,000
Mercury Insurance GroupMercury General Corporationinsurance violation2006CA-INS$300,000
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2006CA-INS$700,000
UnumProvident Corp. et al.Unuminsurance violation2006CA-INS$700,000
Hartford Fire Insurance Co. et al.Hartford Financial Servicesinsurance violation2006CA-INS$125,000
Harleysville Mutual Insurance Co.Nationwideinsurance violation2007CA-INS$299,500
Metropolitan Life Insurance Co.MetLifeinsurance violation2007CA-INS$700,000
21st Century Insurance Co. and 21st Century Casualty Co.Zurich Insuranceinsurance violation2007CA-INS$50,000
QBE Insurance Corp.QBE Insuranceinsurance violation2007CA-INS$120,000
Horace Mann Insurance Co. and Horace Mann Property & Casualty Insurance Co.Horace Mann Educators Corp.insurance violation2007CA-INS$175,000
Stewart Title Guaranty Co. and Electronic Closing Services, Inc. dba E-TitleStewart Information Servicesinsurance violation2007CA-INS$1,500,000
Farmers Insurance Exchange et al.Farmers Insurance Exchangeinsurance violation2007CA-INS$2,000,000
Infinity Insurance CompaniesKemperinsurance violation2007CA-INS$750,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2007CA-INS$1,000,400
American Contractors Indemnity Co.Tokio Marineinsurance violation2007CA-INS$170,000
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2008CA-INS$10,050,000
Philadelphia Indemnity Insurance Co.Tokio Marineinsurance violation2008CA-INS$60,000
American Bankers Life Assurance Company of Florida et al.Assurantinsurance violation2008CA-INS$750,000
New York Life Insurance Co.New York Life Insuranceinsurance violation2009CA-INS$175,000
Fidelity National Title Co.Fidelity National Financialinsurance violation2009CA-INS$365,000
Conseco Senior Health Insurance Co.CNO Financialinsurance violation2009CA-INS$500,000
Coast National Insurance Co.Zurich Insuranceinsurance violation2009CA-INS$150,000
Hartford Accident and Indemnity Co. et al.Hartford Financial Servicesinsurance violation2010CA-INS$40,000
Old Republic Title Co. and Old Republic National Title Insurance Co.Old Republic Internationalinsurance violation2010CA-INS$399,000
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2011CA-INS$185,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2011CA-INS$185,000
John Hancock Life Insurance Co.Manulife Financialinsurance violation2011CA-INS$70,000
First Mercury Insurance Co.Fairfax Financial Holdingsinsurance violation2012CA-INS$330,000
Travelers CompaniesTravelersinsurance violation2012CA-INS$10,500,000
New Hampshire Insurance Co.American International Groupinsurance violation2012CA-INS$142,500
National Union Fire Insurance Co.American International Groupinsurance violation2013CA-INS$5,991,132
Fidelity National Title Insurance Co. et al.Fidelity National Financialinsurance violation2013CA-INS$1,425,000
Homesite Insurance CompanyAmerican Family Insuranceinsurance violation2013CA-INS$360,522
Safeco Insurance CompanyLiberty Mutual Insuranceinsurance violation2013CA-INS$900,000
Ace Limited Insurance GroupChubb Limitedinsurance violation2014CA-INS$100,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.