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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Company Parentsort icon Primary Offense Type Year Agency Penalty Amount
Transamerica Life Insurance Company Aegon insurance violation 2019 WA-INS $15,000
Monumental Life Insurance Company Aegon insurance violation 2003 MULTI-FIN $37,000,000
Transamerica Casualty Insurance Company Aegon insurance violation 2017 MULTI-FIN $3,000,000
Accident Fund Insurance Company of America AF Group insurance violation 2012 AZ-INS $5,000
Accident Fund General Insurance Co. AF Group insurance violation 2018 MO-INS $5,000
Accident Fund National Insurance Co. AF Group insurance violation 2018 MO-INS $5,000
Accident Fund Insurance Company of America AF Group insurance violation 2018 MO-INS $5,000
United Wisconsin Insurance Co. AF Group insurance violation 2018 MO-INS $5,000
Accident Fund Insurance Co. of America AF Group insurance violation 2011 TX-INS $8,000
Accident Fund Insurance Company of America AF Group insurance violation 2014 TX-INS $19,000
Accident Fund General Insurance Company AF Group insurance violation 2014 TX-INS $28,000
Accident Fund Insurance Company of America AF Group insurance violation 2017 TX-INS $20,000
Accident Fund Insurance Company of America AF Group insurance violation 2018 TX-INS $13,500
Accident Fund General Insurance Company AF Group insurance violation 2018 TX-INS $75,000
Accident Fund General Insurance Company AF Group insurance violation 2018 TX-INS $6,400
Accident Fund Insurance Company of America AF Group insurance violation 2018 TX-INS $19,800
Accident Fund National Insurance Company AF Group insurance violation 2018 TX-INS $19,100
Accident Fund National Insurance Company AF Group insurance violation 2019 TX-INS $5,000
American Family Life Assurance Co., known as Aflac Aflac Family and Medical Leave Act 2012 WHD $16,882
Aflac Inc. Aflac insurance violation 2017 MULTI-AG $350,000
Continental American Insurance Co. Aflac consumer protection violation 2010 MA-AG $25,000
Continental American Insurance Co. Aflac insurance violation 2019 CT-INS $10,000
American Family Assurance Company of Columbus Aflac insurance violation 2014 ID-INS $30,000
American Family Life Assurance Company of Columbus Aflac insurance violation 2012 MD-INS $200,000
American Family Life Assurance Company of Columbus Aflac insurance violation 2011 ME-INS $20,000
American Family Life Assurance Company of Columbus Aflac insurance violation 2006 MN-FIN $15,000
American Family Life Assurance Company of New York (AFLAC) Aflac insurance violation 2018 NY-DFS $1,138,368
American Family Life Assurance Company Aflac insurance violation 2019 SD-INS $100,000
AMERICAN FAMILY LIFE ASSURANCE Aflac insurance violation 2003 VA-INS $7,500
American Family Life Assurance Company of Columbus Aflac insurance violation 2013 VA-INS $10,000
American Family Life Assurance Company of Columbus Aflac insurance violation 2012 MULTI-FIN $1,600,000
American Family Life Insurance Company of Columbus Aflac insurance violation 2018 MULTI-FIN $2,500,000
American Family Life Insurance Company of Columbus Aflac insurance violation 2017 MULTI-FIN $350,000
COMMUNICORP INC. Aflac workplace safety or health violation 2011 OSHA $9,900
Agricultural Bank of China Agricultural Bank of China anti-money-laundering deficiencies 2016 NY-DFS $215,000,000
Fred Alger Management, Inc. Alger Associates investor protection violation 2007 SEC $40,000,000
FRED ALGER & COMPANY, INCORPORATED Alger Associates benefit plan administrator violation 2007 EBSA $50,001
FRED ALGER & COMPANY, INCORPORATED Alger Associates benefit plan administrator violation 2006 EBSA $10,001
Fred Alger Management, Inc. Alger Associates investor protection violation 2007 NY-AG (*) $45,000,000
Allianz SE Allianz Foreign Corrupt Practices Act 2012 SEC $12,396,423
Fireman's Fund Insurance Company Allianz False Claims Act and related 2015 DOJ_CIVIL $44,000,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLC Allianz investor protection violation 2004 SEC $11,600,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLC Allianz investor protection violation 2004 SEC $50,000,000
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 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 Global Risks U.S. Insurance Compan Allianz economic sanction violation 2019 OFAC $170,535
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
Fireman' Fund Insurance Co. Allianz insurance violation 2002 FL-OFR $13,850
Fireman's Fund Insurance Co. Allianz insurance violation 2007 FL-OFR $5,500
Chicago Insurance Co. Allianz insurance violation 2008 FL-OFR $130,000
AGCS Marine Insurance Co. Allianz insurance violation 2017 KS-INS $63,483
Allianz Life Insurance Company of North America Allianz insurance violation 2019 KS-INS $60,000
Fireman's Fund Insurance Company Allianz insurance violation 2002 MA-INS $20,000
American Automobile Insurance Company Allianz insurance violation 2005 MA-INS $9,000
American Automobile Insurance Co. Allianz insurance violation 2015 MD-INS $5,000
Fireman's Fund Insurance Co. Allianz insurance violation 2015 MD-INS $5,000
Allianz Life Insurance Company of North America Allianz insurance violation 2017 MD-INS $9,850
Allianz Life Insurance Company of North America et al. Allianz insurance violation 2016 MN-FIN $550,000
Allianz Life Insurance Company of New York Allianz insurance violation 2013 NY-DFS $135,000
AGCS Marine Insurance Company Allianz insurance violation 2016 PA-INS $10,000
Fireman's Fund Insurance Company Allianz insurance violation 2016 TX-INS $15,000
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
American Automobile Insurance Company et al. Allianz insurance violation 2011 VA-INS $10,973
AMERICAN AUTOMOBILE INSURANCE CORP Allianz insurance violation 2012 VA-INS $5,000
Chicago Insurance Company Allianz insurance violation 2010 WA-INS $7,500
Allianz Life Insurance Company Of North America Allianz insurance violation 2013 WA-INS $150,000
AGCS Marine Insurance Company Allianz insurance violation 2015 WA-INS $300,000
Jefferson Insurance Company Allianz insurance violation 2016 WA-INS $5,000
AGCS Marine Insurance Company Allianz insurance violation 2016 WA-INS $15,000
AGCS Marine Insurance Company Allianz insurance violation 2017 WA-INS $5,000
American Automobile Insurance Company Allianz insurance violation 2018 WA-INS $10,000
Jefferson Insurance Company Allianz insurance violation 2017 MULTI-FIN $1,800,000
Allstate Insurance Company Allstate employment discrimination 2009 EEOC $4,500,000
Allstate Insurance Allstate wage and hour violation 2017 private lawsuit-state $2,000,000
Allstate Insurance Allstate wage and hour violation 2005 private lawsuit-state $120,000,000
Allstate Insurance Company Allstate wage and hour violation 2018 private lawsuit-state $5,500,000
Allstate Allstate consumer protection violation 2003 TX-AG $3,440,000
Allstate Company, Inc. Allstate wage and hour violation 2007 MA-AG $125,000
Allstate Insurance Co. Allstate privacy violation 2003 PA-AG $10,000
American Heritage Life Insurance Co. Allstate consumer protection violation 2007 TX-AG $1,700,000
Encompass Insurance Co. Allstate consumer protection violation 2015 MA-AG $25,000
Encompass Insurance Company of Massachusetts Allstate consumer protection violation 2012 MA-AG $1,972,635
Allstate Insurance Co. Allstate insurance violation 2016 CA-MULTI $600,000
Encompass Indemnity Co. and Encompass Insurance Company of America Allstate insurance violation 2019 AR-INS $40,000
Allstate Insurance Co. Allstate insurance violation 2005 CA-INS $34,000,000
Allstate Insurance Co. Allstate insurance violation 2005 CO-INS $10,500
Esurance Insurance Co. Allstate insurance violation 2010 CO-INS $154,500
Allstate Indemnity Co. Allstate insurance violation 2020 CT-INS $7,500
Allstate Insurance Co. Allstate insurance violation 2011 DE-INS $25,000
Allstate Insurance Co. et al. Allstate insurance violation 2019 DE-INS $12,500
American Heritage Life Insurance Co. Allstate insurance violation 2000 FL-OFR $12,750
Allstate Financial Services, LLC Allstate investor protection violation 2002 FL-OFR $21,300
American Heritage Life Insurance Co. Allstate insurance violation 2011 FL-OFR $28,000
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