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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 Type Yearsort icon Agency Penalty Amount
Scottsdale Insurance Co. Nationwide insurance violation 2005 FL-OFR $5,000
Sentry Insurance A Mutual Company Sentry Insurance insurance violation 2005 FL-OFR $7,500
State Farm Florida Insurance Co. State Farm Insurance insurance violation 2005 FL-OFR $5,000
United Casualty Insurance Company of America Kemper insurance violation 2005 FL-OFR $17,500
Chicago Title Insurance Co. Fidelity National Financial insurance violation 2005 FL-OFR $50,000
Safeco Insurance Company of America et al. Liberty Mutual Insurance insurance violation 2005 FL-OFR $35,350
Ticor Title Insurance Co. Fidelity National Financial insurance violation 2005 FL-OFR $50,000
Janney Montgomery Scott LLC Penn Mutual investor protection violation 2005 IL-SEC $7,500
Bear, Stearns & Co., Inc. JPMorgan Chase investor protection violation 2005 IL-SEC $10,000
Safeco Insurance Co. of America Liberty Mutual Insurance insurance violation 2005 IN-INS $5,000
American Automobile Insurance Company Allianz insurance violation 2005 MA-INS $9,000
Aon Risk Services Inc. of Pennsylvania Aon insurance violation 2005 MA-INS $19,000
New England Life Insurance Company Brighthouse Financial insurance violation 2005 MA-INS $13,000
Bankers Life & Casualty Co. CNO Financial insurance violation 2005 ME-INS $500,000
Metropolitan Property and Casualty Insurance Co. Zurich Insurance insurance violation 2005 MN-FIN $5,000
Fortis Insurance Co. Assurant insurance violation 2005 MN-FIN $7,500
Fortis Insurance Co. Assurant insurance violation 2005 MN-FIN $10,000
American Express Financial Advisors, Inc. Ameriprise Financial investor protection violation 2005 MN-FIN $2,000,000
Oppenheimer & Co., Inc. Oppenheimer Holdings investor protection violation 2005 MO-SEC $122,050
Edward D. Jones & Co. L.P. Jones Financial investor protection violation 2005 MO-SEC $1,500,000
Waddell & Reed, Inc. Macquarie investor protection violation 2005 MT-SEC $25,000
Piper Jaffray & Co. Piper Sandler investor protection violation 2005 ND-SEC $30,000
Morgan Stanley DW Inc. Morgan Stanley investor protection violation 2005 NH-BSR $435,000
American Express Financial Advisors Inc. Ameriprise Financial investor protection violation 2005 NH-BSR $7,375,000
American International Specialty Lines Insurance Co. American International Group insurance violation 2005 NJ-DBI $13,000
American Security Insurance Co. et al. Assurant insurance violation 2005 NJ-DBI $1,775,000
Seneca Insurance Co. Fairfax Financial Holdings insurance violation 2005 NJ-DBI $72,256
ABN AMRO ABN AMRO economic sanction violation 2005 NY-DFS $20,000,000
United of Omaha Life Insurance Company Mutual of Omaha insurance violation 2005 OR-FIN $25,000
Farmers Insurance Company of Oregon Zurich Insurance insurance violation 2005 OR-FIN $11,000
Great American Insurance Company of New York American Financial Group insurance violation 2005 OR-FIN $5,000
MetLife Securities MetLife investor protection violation 2005 OR-FIN $12,000
Progressive Classic Insurance Company Progressive insurance violation 2005 OR-FIN $8,000
Marsh USA, Inc. Marsh & McLennan insurance violation 2005 OR-FIN $75,000
Combined Insurance Company of America Chubb Limited insurance violation 2005 PA-INS $50,000
Great American Insurance Company American Financial Group insurance violation 2005 PA-INS $150,000
Foremost Insurance Company of Grand Rapids, Michigan Zurich Insurance insurance violation 2005 PA-INS $5,000
Safeco Insurance Company of America Liberty Mutual Insurance insurance violation 2005 PA-INS $5,000
Selective Insurance Company of South Carolina Selective Insurance Group insurance violation 2005 PA-INS $5,000
Selective Way Insurance Company Selective Insurance Group insurance violation 2005 PA-INS $5,000
ALLSTATE LIFE INSURANCE CO. Allstate insurance violation 2005 VA-INS $5,000
LIBERTY MUTUAL INSURANCE CO. ET AL. Liberty Mutual Insurance insurance violation 2005 VA-INS $30,000
CUNA MUTUAL INSURANCE SOCIETY CUNA Mutual insurance violation 2005 VA-INS $40,000
UNITED AMERICAN INSURANCE CO. Globe Life Inc. insurance violation 2005 VA-INS $5,000
CONSECO SENIOR HEALTH INS. CNO Financial insurance violation 2005 VA-INS $7,500
AMERICAN HEALTH & LIFE INSURANCE CO OneMain Holdings insurance violation 2005 VA-INS $7,000
St. Paul Fire & Marine Insurance Co. Travelers insurance violation 2005 WI-INS $20,000
Progressive Northern Ins Co. Progressive insurance violation 2005 WI-INS $5,000
Metropolitan Life Insurance Co. MetLife insurance violation 2005 WI-INS $5,000
Hartford Insurance Company of the Midwest Hartford Financial Services insurance violation 2005 WI-INS $9,500
Merrill Lynch Pierce Fenner & Smith Inc. Bank of America investor protection violation 2005 WI-FIN $7,000
Deutsche Bank Securities Inc. Deutsche Bank investor protection violation 2005 MULTI-FIN (*) $28,750,000
Liberty Life Insurance Company of Greenville, S.C. Athene Holding insurance violation 2005 MULTI-FIN $3,075,950
Lincoln National Life Insurance Company Lincoln National insurance violation 2005 MULTI-FIN $264,079
Thomas Weisel Partners LLC Stifel Financial investor protection violation 2005 MULTI-FIN (*) $5,000,000
Waddell & Reed, Inc. Macquarie investor protection violation 2005 MULTI-FIN $18,000,000
Western and Southern Life Insurance Company Western & Southern Financial Group insurance violation 2005 MULTI-FIN $2,400,000
Bank of America, NA Bank of America discriminatory practices (non-employment) 2005 private lawsuit-federal $3,670,000
Bank One, KY, N.A. JPMorgan Chase discriminatory practices (non-employment) 2005 private lawsuit-federal $6,715,000
U.S. Bancorp U.S. Bancorp discriminatory practices (non-employment) 2005 private lawsuit-federal $2,495,000
Vitol Vitol environmental violation 2005 CA-ARB $20,000
WHEELABRATOR SOUTH BROWARD, INC. Macquarie environmental violation 2005 FL-DEP $14,450
LOUIS DREYFUS CITRUS, INC. Louis Dreyfus environmental violation 2005 FL-DEP $8,500
SUN LIFE ASSURANCE CO OF CANADA Sun Life Financial environmental violation 2005 MA-ENV $31,635
Wheelabrator Falls Inc. Macquarie environmental violation 2005 PA-ENV $106,849
Bank Of America NA Bank of America environmental violation 2005 TX-ENV $12,480
Merrill Lynch, Pierce, Fenner & Smith Bank of America investor protection violation 2005 FINRA $14,000,000
Wells Fargo Investments Wells Fargo investor protection violation 2005 FINRA $3,000,000
Chase Investment Services JPMorgan Chase investor protection violation 2005 FINRA $290,262
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2005 FINRA $12,300,000
State Street Global Markets LLC State Street Corp. investor protection violation 2005 FINRA $1,400,000
SG Americas Securities, LLC Societe Generale investor protection violation 2005 FINRA $4,478,000
RBC Capital Markets Corporation Royal Bank of Canada investor protection violation 2005 FINRA $2,108,000
RBC Dain Rauscher, Inc. Royal Bank of Canada investor protection violation 2005 FINRA $1,158,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2005 FINRA $1,250,000
Janney Montgomery Scott LLC Penn Mutual investor protection violation 2005 FINRA $2,200,000
Lincoln Financial Advisors Corporation Lincoln National investor protection violation 2005 FINRA $950,000
Investment Centers of America, Inc. LPL Financial investor protection violation 2005 FINRA $363,500
ING Funds Distributor Voya Financial investor protection violation 2005 FINRA $1,500,000
Edward D. Jones & Co., L.P. Jones Financial investor protection violation 2005 FINRA $300,000
Morgan Stanley DW, Inc. Morgan Stanley investor protection violation 2005 FINRA $6,100,000
Piper Jaffray & Co. Piper Sandler investor protection violation 2005 FINRA $280,000
ABN AMRO Incorporated ABN AMRO investor protection violation 2005 FINRA $220,000
J.P. Morgan Securities, Inc. JPMorgan Chase investor protection violation 2005 FINRA $160,000
Goldman, Sachs & Co. Goldman Sachs investor protection violation 2005 FINRA $140,000
Banc of America Investment Services, Inc. Bank of America investor protection violation 2005 FINRA $90,000
Raymond James & Associates, Inc. Raymond James Financial investor protection violation 2005 FINRA $90,000
Chase Investment Services Corp. JPMorgan Chase investor protection violation 2005 FINRA $60,000
Citigroup Global Markets Inc. Citigroup investor protection violation 2005 FINRA $60,000
CIBC World Markets Corp. Canadian Imperial Bank of Commerce investor protection violation 2005 FINRA $40,000
UBS International Inc. UBS investor protection violation 2005 FINRA $10,000
Morgan Stanley & Co. Morgan Stanley investor protection violation 2005 FINRA $2,650,000
J.P. Morgan Securities, Inc. JPMorgan Chase investor protection violation 2005 FINRA $150,000
Goldman, Sachs & Co. Goldman Sachs investor protection violation 2005 FINRA $125,000
AllianceBernstein Investment Research and Management, Inc. Equitable Holdings investor protection violation 2005 FINRA $3,984,087
Wells Fargo Investments, LLC Wells Fargo investor protection violation 2005 FINRA $2,970,000
SunAmerica Securities, Inc. American International Group investor protection violation 2005 FINRA $2,500,000
RBC Dain Rauscher, Inc. Royal Bank of Canada investor protection violation 2005 FINRA $1,700,000
AXA Advisors, LLC Equitable Holdings investor protection violation 2005 FINRA $900,000
SunTrust Capital Markets, Inc. Truist Financial investor protection violation 2005 FINRA $100,000
Waddell & Reed, Inc. Macquarie investor protection violation 2005 FINRA (*) $16,000,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)