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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Companysort icon Parent Primary Offense Type Year Agency Penalty Amount
Ace Cash Express, Inc. ACE Cash Express consumer protection violation 2010 NE-DBF $6,550
Ace Cash Express, Inc. ACE Cash Express consumer protection violation 2012 NE-DBF $5,400
Ace Cash Express, Inc. ACE Cash Express consumer protection violation 2012 NE-DBF $7,000
Ace Cash Express, Inc. ACE Cash Express consumer protection violation 2012 NE-DBF $5,800
Ace Cash Express, Inc. ACE Cash Express consumer protection violation 2014 NE-DBF $18,900
Ace Cash Express, Inc. ACE Cash Express consumer protection violation 2015 NE-DBF $5,450
Ace Cash Express, Inc. ACE Cash Express consumer protection violation 2015 NE-DBF $20,500
ACE CASH EXPRESS, INC. ACE Cash Express consumer protection violation 2010 VA-FIN $150,000
ACE CASH EXPRESS, INC. ACE Cash Express consumer protection violation 2016 VA-FIN $45,000
ACE Cash Express, Inc. ACE Cash Express consumer protection violation 2016 WA-FIN $76,421
ACE Cash Express, Inc. dba ACE America's Cash Express ACE Cash Express consumer protection violation 2002 FL-OFR $500,000
Ace Cash Express, Inc., ACE Cash Express consumer protection violation 2010 NE-DBF $7,000
Ace Fire Underwriters Insurance Co. Chubb Limited insurance violation 2016 MO-INS $47,500
Ace Fire Underwriters Insurance Company Chubb Limited insurance violation 2010 OR-FIN $7,900
Ace Fire Underwriters Insurance Company Chubb Limited insurance violation 2014 TX-INS $14,615
ACE Group Holdings, Inc. Chubb Limited price-fixing or anti-competitive practices 2007 MULTI-AG $4,500,000
ACE Limited Chubb Limited price-fixing or anti-competitive practices 2007 PA-AG $9,000,000
ACE Limited Chubb Limited economic sanction violation 2019 OFAC $66,212
Ace Limited Insurance Group Chubb Limited insurance violation 2014 CA-INS $100,000
Ace Property and Casualty Insurance Co. Chubb Limited insurance violation 2016 MO-INS $47,500
ACE, Ltd Chubb Limited price-fixing or anti-competitive practices 2006 MULTI-AG $80,000,000
Admiral Insurance Co. W.R. Berkley insurance violation 2017 CA-INS $1,542,500
Admiral Risk Insurance Services, Inc. W.R. Berkley insurance violation 2017 CA-INS $1,542,500
AEGON USA Investment Management LLC et al. Aegon investor protection violation 2018 SEC $97,600,000
AFB&T Synovus Financial banking violation 2009 FDIC $7,040
Affinity Insurance Services Inc. Aon insurance violation 2004 PA-INS $5,000
Affinity Insurance Services Inc. Aon insurance violation 2006 PA-INS $40,000
Aflac Inc. Aflac insurance violation 2017 MULTI-AG $350,000
AGCS Marine Insurance Co. Allianz insurance violation 2017 KS-INS $63,483
AGCS Marine Insurance Company Allianz insurance violation 2016 PA-INS $10,000
AGCS Marine Insurance Company Allianz insurance violation 2015 WA-INS $300,000
AGCS Marine Insurance Company Allianz insurance violation 2016 WA-INS $15,000
AGCS Marine Insurance Company Allianz insurance violation 2017 WA-INS $5,000
Agricultural Bank of China Agricultural Bank of China anti-money-laundering deficiencies 2016 NY-DFS $215,000,000
AIG American International Group insurance violation 2014 NY-DFS $35,000,000
AIG Assurance Company American International Group insurance violation 2016 TX-INS $51,750
AIG Assurance Company et al. American International Group insurance violation 2017 WA-INS $25,000
AIG Casualty Company American International Group insurance violation 2007 OR-FIN $7,500
AIG CASUALTY INSURANCE CO., ET AL. American International Group insurance violation 2008 VA-INS $10,000
AIG Claims Inc. American International Group insurance violation 2018 NY-DFS $177,500
AIG Claims, Inc. American International Group insurance violation 2018 LA-INS $11,000
AIG Federal Savings Bank and Wilmington Finance Inc. American International Group discriminatory practices (non-employment) 2010 DOJ_RIGHTS $6,100,000
AIG Life Insurance Company American International Group insurance violation 2006 OR-FIN $10,000
AIG National Insurance Company American International Group insurance violation 2008 RI-FIN $10,000
AIG Property Casualty Co. American International Group insurance violation 2019 CT-INS $120,000
AIG Property Casualty Co. American International Group insurance violation 2015 MD-INS $22,500
AIG Property Casualty Company American International Group insurance violation 2014 NJ-DBI $25,000
AIG Property Casualty Company American International Group insurance violation 2015 TX-INS $8,500
AIG Property Casualty Company American International Group insurance violation 2016 TX-INS $55,800
AIG Warranty Guard, Inc. American International Group insurance violation 2000 WI-INS $100,000
AIG Warranty Guard, Inc. American International Group insurance violation 2003 WI-INS $50,000
AIM Advisors Invesco investor protection violation 2004 MULTI-AG (*) $125,000,000
AIM Advisors, Inc. and AIM Distributors, Inc. Invesco investor protection violation 2004 SEC $50,000,000
AIU Insurance Co. American International Group insurance violation 2010 ME-INS $11,111
AIU Insurance Company American International Group insurance violation 2002 MA-INS $365,615
AIU Insurance Company American International Group insurance violation 2002 OR-FIN $10,000
AIU Insurance Company American International Group insurance violation 2016 TX-INS $27,180
AIU INSURANCE COMPANY American International Group insurance violation 2012 VA-INS $31,900
AIU Insurance Company et al. American International Group insurance violation 2007 OR-FIN $1,000,000
AIU INSURANCE COMPANY ET AL. American International Group insurance violation 2008 VA-INS $100,000
Alliance Capital Management AXA investor protection violation 2003 NY-AG (*) $600,000,000
Alliance Capital Management L.P. AXA investor protection violation 2003 SEC $250,000,000
AllianceBernstein AXA wage and hour violation 2013 private lawsuit-federal $2,980,000
AllianceBernstein L.P. AXA investor protection violation 2013 CO-SEC $20,232
AllianceBernstein L.P. AXA investor protection violation 2012 DE-SEC $20,000
AllianceBernstein, L.P. AXA investor protection violation 2007 SEC $450,000
Allianz Asset Management of America, L.P. Allianz benefit plan administrator violation 2018 private lawsuit-federal $12,000,000
Allianz Dresdner Asset Management of America LP Allianz investor protection violation 2004 NJ-AG $18,000,000
Allianz Global Risks U.S. Insurance Compan Allianz economic sanction violation 2019 OFAC $170,535
Allianz Life Insurance Company of New York Allianz insurance violation 2013 NY-DFS $135,000
Allianz Life Insurance Company of North America Allianz investor protection violation 2007 MN-AG $500,000
Allianz Life Insurance Company of North America Allianz insurance violation 2015 MULTI-AG $4,700,000
Allianz Life Insurance Company of North America Allianz insurance violation 2012 MULTI-AG $10,000,000
Allianz Life Insurance Company of North America Allianz insurance violation 2005 CA-INS $425,000
Allianz Life Insurance Company of North America Allianz insurance violation 2008 CA-INS $10,050,000
Allianz Life Insurance Company of North America Allianz insurance violation 2006 CO-INS $34,800
Allianz Life Insurance Company of North America Allianz insurance violation 2019 DE-INS $13,500
Allianz Life Insurance Company of North America Allianz insurance violation 2000 FL-OFR $14,000
Allianz Life Insurance Company of North America Allianz insurance violation 2019 KS-INS $60,000
Allianz Life Insurance Company of North America Allianz insurance violation 2017 MD-INS $9,850
Allianz Life Insurance Company of North America Allianz insurance violation 2011 UT-INS $50,000
Allianz Life Insurance Company of North America Allianz insurance violation 2011 UT-INS $29,500
Allianz Life Insurance Company Of North America Allianz insurance violation 2013 WA-INS $150,000
Allianz Life Insurance Company of North America et al. Allianz insurance violation 2016 MN-FIN $550,000
Allianz SE Allianz Foreign Corrupt Practices Act 2012 SEC $12,396,423
Allied Cash Advance California, LLC CNG Financial payday lending violation 2011 CA-DBO $103,709
ALLIED CASH ADVANCE VIRGINIA CNG Financial consumer protection violation 2008 VA-FIN $38,000
Allied Home Mortgage Americus Mortgage wage and hour violation 2004 WHD $14,037
Allied Home Mortgage Americus Mortgage fraud 2017 USAO $296,298,325
ALLIED HOME MORTGAGE CAPITAL Americus Mortgage consumer protection violation 2008 VA-FIN $5,000
ALLIED HOME MORTGAGE CAPITAL Americus Mortgage consumer protection violation 2010 VA-FIN $25,000
Allied Home Mortgage Capital Corp. Americus Mortgage investor protection violation 2009 AR-SEC $10,000
Allied Home Mortgage Capital Corp. Americus Mortgage consumer protection violation 2009 KY-FIN $5,740
Allied Home Mortgage Capital Corporation Americus Mortgage consumer protection violation 2003 HUD $370,000
Allied Home Mortgage Capital Corporation Americus Mortgage wage and hour violation 2006 WHD $14,479
Allied Home Mortgage Capital Corporation Americus Mortgage wage and hour violation 2006 WHD $1,800,282
Allied Home Mortgage Capital Corporation Americus Mortgage wage and hour violation 2006 WHD $30,928
Allied Home Mortgage Capital Corporation Americus Mortgage wage and hour violation 2005 WHD $9,830
Allied Home Mortgage Capital Corporation Americus Mortgage consumer protection violation 2009 NY-DFS $10,000
Allied Home Mortgage Capital Corporation Americus Mortgage consumer protection violation 2009 PA-BKG $8,000
Allied Home Mortgage Corp. Americus Mortgage consumer protection violation 2012 IL-BKG $7,500
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