Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$332,924,888,663
Number of Records: 
6,731
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$82,885,116,051259
JPMorgan Chase$35,851,377,155190
Citigroup$25,535,002,360154
Wells Fargo$21,428,596,719217
Deutsche Bank$18,341,457,30276
UBS$16,845,624,16097
Goldman Sachs$16,381,931,83964
NatWest Group PLC$13,477,129,00031
BNP Paribas$12,147,863,95019
Credit Suisse$10,447,392,62644


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 Parentsort icon Primary Offense Type Year Agency Penalty Amount
Asurion Warranty Services, Inc. Asurion insurance violation 2007 WI-INS $5,000
ASURION, LLC. Asurion workplace safety or health violation 2020 OSHA $5,783
Aviva Life & Annuity Company Athene Holding insurance violation 2013 MULTI-AG $4,000,000
Aviva Life and Annuity Co. Athene Holding insurance violation 2011 CO-INS $25,300
AmerUS Life Insurance Co. Athene Holding insurance violation 2007 MN-FIN $250,000
Athene Annuity and Life Co. Athene Holding insurance violation 2019 MO-INS $5,000
Athene Life Insurance Company of New York Athene Holding insurance violation 2016 NY-DFS $142,193
Athene Life Insurance Company of New York Athene Holding insurance violation 2018 NY-DFS $15,000,000
Athene Holding Ltd. Athene Holding insurance violation 2020 NY-DFS $45,000,000
Liberty Life Insurance Company Athene Holding insurance violation 2001 SC-INS $10,000
Athene Annuity & Life Assurance Company Of New York Athene Holding insurance violation 2011 WA-INS $5,000
Athene Annuity And Life Company Athene Holding insurance violation 2018 WA-INS $10,000
Liberty Life Insurance Company of Greenville, S.C. Athene Holding insurance violation 2005 MULTI-FIN $3,075,950
Athene Annuity and Life Company Athene Holding insurance violation 2021 TX-INS $400,000
CompuCredit Corporation Atlanticus Holdings banking violation 2008 FDIC $116,400,000
CompuCredit Corporation Atlanticus Holdings consumer protection violation 2008 FTC $114,000,000
CompuCredit Corporation Atlanticus Holdings banking violation 2008 FDIC $806,000
CompuCredit Corporation Atlanticus Holdings banking violation 2008 FDIC $558,000
Cadaret, Grant & Co. Inc. Atria Wealth Solutions investor protection violation 2018 SEC $513,194
Sorrento Pacific Financial, LLC Atria Wealth Solutions investor protection violation 2019 SEC $49,162
CUSO Financial Services, L.P. Atria Wealth Solutions investor protection violation 2019 SEC $296,750
Next Financial Group, Inc. Atria Wealth Solutions investor protection violation 2019 SEC $1,405,349
Next Financial Group, Inc. Atria Wealth Solutions investor protection violation 2012 AL-SEC $60,000
Next Financial Group, Inc. Atria Wealth Solutions investor protection violation 2019 MA-SEC $150,000
NEXT Financial Group, Inc. Atria Wealth Solutions investor protection violation 2010 MT-SEC $5,000
Cadaret, Grant & Co., Inc. Atria Wealth Solutions investor protection violation 2008 NE-DBF $10,000
NEXT Financial Group, Inc Atria Wealth Solutions investor protection violation 2014 NH-BSR $140,000
NEXT Financial Group, Inc Atria Wealth Solutions investor protection violation 2019 NH-BSR $325,000
Cadaret Grant & Co. Inc. Atria Wealth Solutions investor protection violation 2019 PA-BKG $90,000
Next Financial Group, Inc. Atria Wealth Solutions investor protection violation 2020 TX-SEC $600,000
NEXT FINANCIAL GROUP, INC. Atria Wealth Solutions investor protection violation 2015 VA-SEC $18,000
NEXT FINANCIAL GROUP, INC. Atria Wealth Solutions investor protection violation 2017 VA-SEC $60,000
Next Financial Group, Inc. Atria Wealth Solutions investor protection violation 2020 VA-SEC $5,000
NEXT Financial Group, Inc. Atria Wealth Solutions investor protection violation 2011 FINRA $2,050,000
NEXT Financial Group, Inc. Atria Wealth Solutions investor protection violation 2009 FINRA $1,000,000
Aurora Bank FSB Aurora Bank banking violation 2013 OCC $242,418,293
Auto-Owners Insurance Co. Auto-Owners Insurance insurance violation 2007 CO-INS $5,000
Auto Owners Insurance Co. Auto-Owners Insurance insurance violation 2017 CO-INS $25,875
Auto-Owners (Mutual) Insurance Co. and Owners Insurance Co. Auto-Owners Insurance insurance violation 2019 KS-INS $10,000
Auto-Owners Insurance Co. Auto-Owners Insurance insurance violation 2000 MN-FIN $15,000
Auto-Owners Insurance Co. Auto-Owners Insurance insurance violation 2003 MN-FIN $5,000
Auto-Owners Insurance Co. Auto-Owners Insurance insurance violation 2016 MN-FIN $10,000
Auto-Owners Insurance Co. and Owners Insurance Co. Auto-Owners Insurance insurance violation 2019 MN-FIN $35,000
Auto-Owners Insurance Co. and Owners Insurance Co. Auto-Owners Insurance insurance violation 2007 MO-INS $28,704
Auto-Owners Insurance Co. Auto-Owners Insurance insurance violation 2015 MO-INS $39,600
Auto-Owners Insurance Company Auto-Owners Insurance insurance violation 2016 SC-INS $7,356
Auto-Owners Insurance Company and Owners Insurance Company Auto-Owners Insurance insurance violation 2011 VA-INS $10,000
AUTO OWNERS INSURANCE COMPANY Auto-Owners Insurance insurance violation 2015 VA-INS $114,217
Auto-Owners Insurance Co. Auto-Owners Insurance insurance violation 2004 WI-INS $5,000
AXA Rosenberg AXA investor protection violation 2011 SEC $242,000,000
Axa S.A. AXA insurance violation 2015 MULTI-AG $3,280,000
T.H.E. INSURANCE COMPANY AXA insurance violation 2001 FL-OFR $15,000
Axa Re Property and Casualty Insurance Co. AXA insurance violation 2005 FL-OFR $15,000
Axa Insurance Co. AXA insurance violation 2019 LA-INS $6,000
XL Specialty Insurance Co. AXA insurance violation 2012 MO-INS $21,000
AXA Art Insurance Corporation AXA insurance violation 2015 NY-DFS $70,000
T.H.E. Insurance Company AXA insurance violation 2009 PA-INS $5,000
AXA Insurance Company AXA insurance violation 2007 SC-INS $8,000
AXA Art Insurance Corporation AXA insurance violation 2012 SC-INS $8,000
Catlin Insurance Company Inc. AXA insurance violation 2013 SD-INS $5,000
XL Specialty Insurance Company AXA insurance violation 2011 TX-INS $25,000
XL Insurance America Inc. AXA insurance violation 2011 TX-INS $7,000
XL Specialty Insurance Company AXA insurance violation 2014 TX-INS $8,500
T.H.E. Insurance Company AXA insurance violation 2015 TX-INS $11,500
XL Insurance America, Inc. AXA insurance violation 2018 TX-INS $32,000
XL Specialty Insurance Company AXA insurance violation 2018 TX-INS $30,000
XL Insurance America, Inc. AXA insurance violation 2019 TX-INS $5,000
Catlin Insurance Company Inc. AXA insurance violation 2018 UT-INS $100,000
XL LIFE INSURANCE AND ANNUITY AXA insurance violation 2006 VA-INS $10,000
XL Specialty Insurance Co. AXA insurance violation 2020 TX-INS $7,000
DENCO II LLC Babcock & Brown environmental violation 2020 MN-ENV $9,352
DENCO II LLC Babcock & Brown environmental violation 2018 MN-ENV $22,141
DENCO II LLC Babcock & Brown environmental violation 2017 MN-ENV $10,500
DENCO II LLC Babcock & Brown environmental violation 2014 MN-ENV $6,000
DENCO II LLC Babcock & Brown environmental violation 2010 MN-ENV $8,922
DENCO II LLC Babcock & Brown environmental violation 2002 MN-ENV $17,488
DENCO II LLC Babcock & Brown workplace safety or health violation 2012 OSHA $9,660
Balli Aviation Ltd. and Balli Group PLC Balli Group export control violation 2010 BIS $15,000,000
Balli Aviation Ltd. Balli Group export control violation 2010 DOJ_NATSEC $2,000,000
BancFirst Insurance Services, Inc. BancFirst wage and hour violation 2014 WHD $20,229
BBVA Suiza S.A. Banco Bilbao Vizcaya Argentaria tax violations 2015 DOJ_TAX $10,390,000
Compass Bank Banco Bilbao Vizcaya Argentaria banking violation 2009 FED $70,625
Compass Bank Banco Bilbao Vizcaya Argentaria discriminatory practices (non-employment) 2007 DOJ_RIGHTS $1,750,000
Banco Bilbao Vizcaya Argentaria, S.A. Banco Bilbao Vizcaya Argentaria banking violation 2016 FED $27,000,000
Banco Bilbao Vizcaya Puerto Rico Banco Bilbao Vizcaya Argentaria wage and hour violation 2006 WHD $31,571
Compass Bank Banco Bilbao Vizcaya Argentaria wage and hour violation 2005 WHD $810,122
Compass Bank Banco Bilbao Vizcaya Argentaria wage and hour violation 2005 WHD $5,105
Compass Bank Banco Bilbao Vizcaya Argentaria wage and hour violation 2015 private lawsuit-federal $500,000
Compass Bank Banco Bilbao Vizcaya Argentaria economic sanction violation 2013 OFAC $19,125
Compass Bank Banco Bilbao Vizcaya Argentaria economic sanction violation 2010 OFAC $607,500
BANCO ESPIRITO SANTO S. A. Banco Espirito Santo banking violation 2012 FED $975,000
Banco Espirito Santo S.A. Banco Espirito Santo investor protection violation 2011 SEC $7,000,000
Banco Espirito Santo S.A. Banco Espirito Santo investor protection violation 2011 NY-AG $975,000
Banco Espirito Santo, S.A. Banco Espirito Santo investor protection violation 2011 NJ-AG $1,900,000
Santander Bank, National Association Banco Santander banking violation 2016 OCC $3,400,000
Santander Bank, National Association Banco Santander banking violation 2015 OCC $6,000,000
Sovereign Bank N.A. Banco Santander banking violation 2013 OCC $16,086,180
Santander Consumer USA Inc. Banco Santander Servicemembers Civil Relief Act 2015 DOJ_RIGHTS $9,350,000
Santander Bank, N.A. Banco Santander consumer protection violation 2016 CFPB $10,000,000
Santander Bank & Trust (Bahamas) Ltd Banco Santander economic sanction violation 2004 OFAC $20,000
Santander Mortage Corporation Banco Santander wage and hour violation 2004 WHD $62,895
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)