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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.

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CompanyCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount sort icon
Praetorian Insurance CompanyQBE Insuranceinsurance violation2012NJ-DBI$10,000
Lincoln National Life Insurance CompanyLincoln Nationalinsurance violation2015NJ-DBI$10,000
Genworth Life Insurance CompanyGenworth Financialinsurance violation2019NJ-DBI$10,000
Ocwen Loan Servicing LLCOcwen Financialconsumer protection violation2009OH-BKG$10,000
Allied Home Mortgage Capital CorporationAmericus Mortgageconsumer protection violation2009NY-DFS$10,000
Investment Professionals Inc.Ameriprise Financialinsurance violation2014NY-DFS$10,000
Virginia Surety Company, Inc.Assurantinsurance violation2015NY-DFS$10,000
USAA Life Insurance Company of New YorkUSAAinsurance violation2016NY-DFS$10,000
Waddell & Reed Inc.Macquarieinvestor protection violation2008OK-SEC$10,000
Nationwide Mutual Insurance CompanyNationwideinsurance violation2000OR-FIN$10,000
Great American Life Insurance CompanyMassachusetts Mutual Life Insuranceinsurance violation2002OR-FIN$10,000
AIU Insurance CompanyAmerican International Groupinsurance violation2002OR-FIN$10,000
Jackson National Life Insurance CompanyJackson Financialinsurance violation2002OR-FIN$10,000
American Family Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2003OR-FIN$10,000
Combined Insurance Company of AmericaChubb Limitedinsurance violation2004OR-FIN$10,000
ING Life Insurance and Annuity CompanyVoya Financialinsurance violation2004OR-FIN$10,000
AIG Life Insurance CompanyAmerican International Groupinsurance violation2006OR-FIN$10,000
Progressive Northern Insurance CompanyProgressiveinsurance violation2006OR-FIN$10,000
John Alden Life Insurance CompanyAssurantinsurance violation2007OR-FIN$10,000
Fidelity National Title Insurance CompanyFidelity National Financialinsurance violation2007OR-FIN$10,000
Reliance Standard Life Insurance CompanyTokio Marineinsurance violation2007OR-FIN$10,000
Nationwide Mutual Insurance CompanyNationwideinsurance violation2007OR-FIN$10,000
American Home Assurance CompanyAmerican International Groupinsurance violation2007OR-FIN$10,000
Commerce and Industry Insurance CompanyAmerican International Groupinsurance violation2007OR-FIN$10,000
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2007OR-FIN$10,000
Farmers Insurance Company of OregonZurich Insuranceinsurance violation2007OR-FIN$10,000
Virginia Surety Company, Inc.Assurantinsurance violation2009OR-FIN$10,000
Farmers Insurance Company of OregonZurich Insuranceinsurance violation2009OR-FIN$10,000
Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2012OR-FIN$10,000
Progressive Universal Insurance Company et al.Progressiveinsurance violation2017OR-FIN$10,000
Bristol West Insurance CompanyZurich Insuranceinsurance violation2004PA-INS$10,000
Northwestern Mutual Investment ServicesNorthwestern Mutualinsurance violation2006PA-INS$10,000
Freedom Mortgage Corporation dba Jefferson Home Mortgage and LoanFreedom Mortgageconsumer protection violation2010PA-BKG$10,000
Allied Home Mortgage Corporation et al.Americus Mortgageconsumer protection violation2012PA-BKG$10,000
QBE Insurance CorporationQBE Insuranceinsurance violation2015PA-INS$10,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2016PA-BKG$10,000
AGCS Marine Insurance CompanyAllianzinsurance violation2016PA-INS$10,000
Nationwide Mutual Insurance CompanyNationwideinsurance violation2017PA-INS$10,000
AIG National Insurance CompanyAmerican International Groupinsurance violation2008RI-FIN$10,000
Allstate Insurance CompanyAllstateinsurance violation2016RI-FIN$10,000
Progressive Casualty Insurance CompanyProgressiveinsurance violation2019RI-FIN$10,000
Standard Fire Insurance CompanyTravelersinsurance violation2000SC-INS$10,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2012SC-INS$10,000
Allstate Vehicle and Property Insurance CompanyAllstateinsurance violation2018SC-INS$10,000
Guardian Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2018SC-INS$10,000
Hartford Accident and IndemnityHartford Financial Servicesinsurance violation2014SD-INS$10,000
Nationwide Life Insurance CompanyNationwideinsurance violation2015SD-INS$10,000
Hartford Accident and IndemnityHartford Financial Servicesinsurance violation2016SD-INS$10,000
Hartford Life and Accident Insurance CompanyHartford Financial Servicesinsurance violation2018SD-INS$10,000
Transamerica Life Insurance CompanyAegoninsurance violation2018SD-INS$10,000
Edward D. Jones & Co. L.P.Jones Financialinvestor protection violation2019SD-INS$10,000
Selective Insurance Company of South CarolinaSelective Insurance Groupinsurance violation2014TN-INS$10,000
Broadspire Services Inc.Crawford & Co.insurance violation2016TN-INS$10,000
Pruco Securities LLCPrudential Financialinvestor protection violation2004TX-SEC$10,000
Sentinel Insurance Company Ltd.Hartford Financial Servicesinsurance violation2010TX-INS$10,000
Trumbull Insurance CompanyHartford Financial Servicesinsurance violation2010TX-INS$10,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2011TX-INS$10,000
Travelers Casualty Insurance Company of AmericaTravelersinsurance violation2014TX-INS$10,000
Arch Insurance CompanyArch Capitalinsurance violation2014TX-INS$10,000
Travelers Indemnity CompanyTravelersinsurance violation2015TX-INS$10,000
The Travelers Indemnity CompanyTravelersinsurance violation2015TX-INS$10,000
Unitrin County Mutual Insurance CompanyKemperinsurance violation2016TX-INS$10,000
Protective Insurance CompanyProgressiveinsurance violation2017TX-INS$10,000
Travelers Lloyds of Texas Insurance CompanyTravelersinsurance violation2017TX-INS$10,000
Amica Mutual Insurance CompanyAmica Mutual Insuranceinsurance violation2018TX-INS$10,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2018TX-INS$10,000
National Interstate Insurance CompanyAmerican Financial Groupinsurance violation2018TX-INS$10,000
Hartford Insurance Company of the MidwestHartford Financial Servicesinsurance violation2019TX-INS$10,000
Liberty Mutual Insurance CompanyLiberty Mutual Insuranceinsurance violation2019TX-INS$10,000
Hartford Insurance Company of the MidwestHartford Financial Servicesinsurance violation2019TX-INS$10,000
Globe Life and Accident Insurance CompanyGlobe Life Inc.insurance violation2013UT-INS$10,000
Liberty Mutual General Insurance CompanyLiberty Mutual Insuranceinsurance violation2016UT-INS$10,000
UNITED AMERICAN INSURANCE CO.Globe Life Inc.insurance violation2002VA-INS$10,000
ALLSTATE INSURANCE COMPANYAllstateinsurance violation2002VA-INS$10,000
PRINCIPAL LIFE INSURANCE COPrincipal Financialinsurance violation2003VA-INS$10,000
PROTECTIVE LIFE INSURANCE CO.Dai-ichi Lifeinsurance violation2004VA-INS$10,000
SUNAMERICA SECURITIES, INC.American International Groupinvestor protection violation2006VA-SEC$10,000
GENERAL AMERICAN LIFE INSURANCEMetLifeinsurance violation2006VA-INS$10,000
XL LIFE INSURANCE AND ANNUITYAXAinsurance violation2006VA-INS$10,000
AIG CASUALTY INSURANCE CO., ET AL.American International Groupinsurance violation2008VA-INS$10,000
Auto-Owners Insurance Company and Owners Insurance CompanyAuto-Owners Insuranceinsurance violation2011VA-INS$10,000
CAROLINA CASUALTY INSURANCE COW.R. Berkleyinsurance violation2011VA-INS$10,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2011VA-INS$10,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2011VA-INS$10,000
American Family Life Assurance Company of ColumbusAflacinsurance violation2013VA-INS$10,000
SELECTIVE INSURANCE CO. ET AL.Selective Insurance Groupinsurance violation2018VA-INS$10,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2019VA-SEC$10,000
Lincoln Financial Securities CorporationLincoln Nationalinvestor protection violation2010VT-FIN$10,000
Austin Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2010WA-INS$10,000
Austin Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2011WA-INS$10,000
Metropolitan Life Insurance CompanyMetLifeinsurance violation2011WA-INS$10,000
Chicago Title Insurance CompanyFidelity National Financialinsurance violation2011WA-INS$10,000
Farmers Insurance Company Of Washington And Farmers Insurance ExchangeZurich Insuranceinsurance violation2012WA-INS$10,000
American Family Mutual Insurance Company S.I.American Family Insuranceinsurance violation2013WA-INS$10,000
American Alternative Insurance Corporation et al.Munich Reinsurance violation2013WA-INS$10,000
Hartford Fire Insurance Company And Twin City Fire Insurance CompanyHartford Financial Servicesinsurance violation2013WA-INS$10,000
Fidelity & Guaranty Life Insurance CompanyFidelity National Financialinsurance violation2014WA-INS$10,000
Time Insurance Company IiHaven Holdingsinsurance violation2015WA-INS$10,000
Transamerica Casualty Insurance CompanyAegoninsurance violation2015WA-INS$10,000
Allstate Indemnity Company et al.Allstateinsurance violation2015WA-INS$10,000
American Family Mutual Insurance Company S.I.American Family Insuranceinsurance violation2015WA-INS$10,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.