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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 Parent Primary Offense Type Yearsort icon Agency Penalty Amount
Bankers Life and Casualty Co. CNO Financial insurance violation 2001 FL-OFR $10,500
Globe Life and Accident Insurance Co. Globe Life Inc. insurance violation 2001 FL-OFR $6,000
Sagamore Insurance Co. Protective Insurance Corp. insurance violation 2001 KS-INS $20,000
United Services Automobile Association USAA insurance violation 2001 KS-INS $5,000
Hanover Insurance Company Hanover Insurance insurance violation 2001 MA-INS $7,040
Valley Forge Life Insurance Company Prudential (UK) insurance violation 2001 MA-INS $11,600
American Bankers Insurance Company of Florida Assurant insurance violation 2001 MA-INS $65,000
Sentry Insurance A Mutual Company Sentry Insurance insurance violation 2001 MA-INS $14,500
Fortis Insurance Co. and Fortis Benefits Insurance Co. Assurant insurance violation 2001 MN-FIN $5,000
Metropolitan Property and Casualty Insurance Co. et al. MetLife insurance violation 2001 MN-FIN $10,000
National Union Fire Insurance Company of Pittsburgh, Pa. American International Group insurance violation 2001 MN-FIN $7,500
State Farm Mutual Automobile Insurance Co. and State Farm Fire and Casualty Co. State Farm Insurance insurance violation 2001 MN-FIN $75,000
Allstate Insurance Co. Allstate insurance violation 2001 MN-FIN $10,000
Hartford Accident and Indemnity Co. Hartford Financial Services insurance violation 2001 MN-FIN $6,000
US Bancorp Piper Jaffray Inc. Piper Jaffray investor protection violation 2001 ND-SEC $23,250
Conseco Senior Health Insurance Company CNO Financial insurance violation 2001 ND-INS $5,000
Prudential Insurance Company of America Prudential Financial insurance violation 2001 NJ-DBI $25,100,000
Citigroup Citigroup discriminatory practices (non-employment) 2001 NY-DFS $1,000,000
U.S. Trust Corporation Bank of America anti-money-laundering deficiencies 2001 NY-DFS $5,000,000
Liberty Life Insurance Company Athene Holding insurance violation 2001 SC-INS $10,000
DAIRYLAND INSURANCE CO Sentry Insurance insurance violation 2001 VA-INS $8,500
AMERICAN GENERAL LIFE American International Group insurance violation 2001 VA-INS $14,000
CONSECO HEALTH INSURANCE COMPANY CNO Financial insurance violation 2001 VA-INS $19,000
HARTFORD FIRE INSURANCE CO. ET AL Hartford Financial Services insurance violation 2001 VA-INS $30,000
PROGRESSIVE AMERICAN INSURANCE CO. Progressive insurance violation 2001 VA-INS $23,000
Group Hospitalization and Medical Services, Inc. CareFirst of Maryland insurance violation 2001 VA-INS $12,000
CAREFIRST BLUE CHOICE INC CareFirst of Maryland insurance violation 2001 VA-INS $12,000
MONUMENTAL LIFE INSURANCE CO Aegon insurance violation 2001 VA-INS $5,000
HARLEYSVILLE MUTUAL INSURANCE CO Nationwide insurance violation 2001 VA-INS $21,000
AMERITAS LIFE INSURANCE CORP Ameritas Mutual Holding Company insurance violation 2001 VA-INS $9,000
AMERICAN BANKERS LIFE ASSURANCE OF FLORIDA Assurant insurance violation 2001 VA-INS $15,000
PACIFIC LIFE & ANNUITY COMPANY Pacific Life insurance violation 2001 VA-INS $9,000
RELIASTAR LIFE INSURANCE CO Voya Financial insurance violation 2001 VA-INS $9,000
FORTIS INSURANCE COMPANY Assurant insurance violation 2001 VA-INS $57,000
Hartford Accident and Indemnity Co. Hartford Financial Services insurance violation 2001 WI-INS $15,000
Progressive Northern Insurance Co. Progressive insurance violation 2001 WI-INS $70,000
American Bankers Insurance Group Inc. Assurant insurance violation 2001 MULTI-FIN $3,000,000
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2001 MSHA $5,000
Prudential Securities, Inc. Wells Fargo data submission deficiencies 2002 CFTC $65,000
THE COLUMBIA BANK Fulton Financial banking violation 2002 FDIC $7,000
Dexia, S.A. Dexia banking violation 2002 FED $50,000
Citigroup Inc. Citigroup consumer protection violation 2002 FTC $215,000,000
General American Life Insurance Company, Inc. MetLife False Claims Act and related 2002 DOJ_CIVIL $76,000,000
Bank of China Bank of China banking violation 2002 OCC $10,000,000
Deutsche Bank Securities Inc. Deutsche Bank data submission deficiencies 2002 SEC $1,650,000
Goldman, Sachs & Co. Goldman Sachs data submission deficiencies 2002 SEC $1,650,000
Morgan Stanley & Co. Incorporated Morgan Stanley data submission deficiencies 2002 SEC $1,650,000
Salomon Smith Barney Inc. Morgan Stanley data submission deficiencies 2002 SEC $1,650,000
U.S. Bancorp Piper Jaffray Inc. Piper Jaffray data submission deficiencies 2002 SEC $1,650,000
Credit Suisse First Boston Corporation Credit Suisse investor protection violation 2002 SEC $100,000,000
Conseco Finance Servicing Corp. CNO Financial wage and hour violation 2002 WHD $145,512
MetLife Financial Services MetLife labor relations violation 2002 NLRB $18,500
International Matex Tank Terminals Macquarie railroad safety violation 2002 FRA $9,750
Ditech Ditech Holding Corporation wage and hour violation 2002 private lawsuit-federal $6,150,000
Coast National Insurance Zurich Insurance wage and hour violation 2002 private lawsuit-state $18,000,000
American Express Financial Advisors Ameriprise Financial employment discrimination 2002 private lawsuit-federal $31,000,000
HANOVER INSURANCE GROUP Hanover Insurance environmental violation 2002 EPA $10,000
IMTT BAYONNE 340171219400046 Macquarie environmental violation 2002 EPA $6,000
CORPUS CHRISTI ALUMINA Glencore environmental violation 2002 EPA $5,000
CORPUS CHRISTI ALUMINA Glencore environmental violation 2002 EPA $5,000
U.S. Bancorp Piper Jaffray Inc. Piper Jaffray investor protection violation 2002 SEC $100,000
Dean Witter Reynolds Inc. Morgan Stanley investor protection violation 2002 SEC $500,000
RBC Dain Rauscher Incorporated Royal Bank of Canada investor protection violation 2002 SEC $500,000
Knight Securities, L.P. Virtu Financial investor protection violation 2002 SEC $75,000
Josephthal & Co., Inc. Oppenheimer Holdings investor protection violation 2002 SEC $75,000
Norwest Investment Services, Inc. Wells Fargo investor protection violation 2002 SEC $153,245
ACE Cash Express, Inc. ACE Cash Express consumer protection violation 2002 CO-AG $1,300,000
Bankers Life and Casualty Company CNO Financial privacy violation 2002 KY-AG $5,000
Bear Stearns & Co. LLC JPMorgan Chase investor protection violation 2002 MULTI-AG (*) $80,000,000
Citibank Citigroup consumer protection violation 2002 MULTI-AG $1,600,000
Citibank Citigroup consumer protection violation 2002 CA-AG $1,600,000
Citibank Citigroup illegal gambling business 2002 NY-AG $100,000
Credit Suisse First Boston Corp. Credit Suisse investor protection violation 2002 MULTI-AG (*) $200,000,000
Deutsche Bank Deutsche Bank investor protection violation 2002 MULTI-AG $80,000,000
Discover Financial Services, Inc./Millenium Teleservices, Inc. Discover Financial Services privacy violation 2002 KY-AG $5,000
First American Title Insurance Company First American Financial consumer protection violation 2002 CA-AG $7,000,000
First USA JPMorgan Chase consumer protection violation 2002 MULTI-AG $1,300,000
Goldman Sachs Goldman Sachs investor protection violation 2002 MULTI-AG (*) $110,000,000
Household Finance Corp. HSBC mortgage abuses 2002 MULTI-AG $484,000,000
J.P. Morgan Chase & Co. JPMorgan Chase investor protection violation 2002 MULTI-AG (*) $80,000,000
Lehman Brothers Inc. Lehman Brothers investor protection violation 2002 MULTI-AG (*) $80,000,000
Merrill Lynch Bank of America investor protection violation 2002 DE-AG $500,000
Merrill Lynch Bank of America investor protection violation 2002 NY-AG $100,000,000
Merrill Lynch & Co. Inc. Bank of America investor protection violation 2002 MULTI-AG (*) $100,000,000
Morgan Stanley Morgan Stanley investor protection violation 2002 MULTI-AG (*) $125,000,000
Mutual of Omaha Mutual of Omaha consumer protection violation 2002 NY-AG $10,000
PayPal PayPal Holdings consumer protection violation 2002 NY-AG $200,000
PNC Bank PNC Financial Services privacy violation 2002 KY-AG $5,000
Salomon Smith Barney Inc. Morgan Stanley investor protection violation 2002 MULTI-AG (*) $400,000,000
Stewart Title Company of California Stewart Information Services consumer protection violation 2002 CA-AG $2,500,000
UBS Warburg LLC UBS investor protection violation 2002 MULTI-AG (*) $80,000,000
Old Republic Title Co. Old Republic International consumer protection violation 2002 CA-MULTI $5,096,963
H&R Block H&R Block consumer protection violation 2002 NY-NYCDCWP $4,000,000
Principal Life Insurance Co. Principal Financial insurance violation 2002 AK-INS $16,095
Aon Risk Services Inc. of Washington Aon insurance violation 2002 AK-INS $5,000
Household Finance Corp. of California and Beneficial California, Inc. HSBC mortgage abuses 2002 CA-DBO $8,900,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2002 CA-MHC $5,000
Harleysville Mutual Insurance Co. Nationwide insurance violation 2002 CA-INS $200,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2002 CA-MHC $5,000
American International Group et al. American International Group insurance violation 2002 CA-INS $411,500
Principal Life Insurance Co. Principal Financial insurance violation 2002 FL-OFR $6,500
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