Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$332,924,888,663
Number of Records: 
6,731
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$82,885,116,051259
JPMorgan Chase$35,851,377,155190
Citigroup$25,535,002,360154
Wells Fargo$21,428,596,719217
Deutsche Bank$18,341,457,30276
UBS$16,845,624,16097
Goldman Sachs$16,381,931,83964
NatWest Group PLC$13,477,129,00031
BNP Paribas$12,147,863,95019
Credit Suisse$10,447,392,62644


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
EMPLOYERS INSURANCE OF WAUSAU, A MUTUAL COMPANY Liberty Mutual Insurance insurance violation 2001 FL-OFR $23,075
GREAT AMERICAN ALLIANCE INSURANCE COMPANY American Financial Group insurance violation 2001 FL-OFR $5,500
GREAT AMERICAN ASSURANCE COMPANY American Financial Group insurance violation 2001 FL-OFR $12,500
STANDARD GUARANTY INSURANCE COMPANY Assurant insurance violation 2001 FL-OFR $6,000
T.H.E. INSURANCE COMPANY AXA insurance violation 2001 FL-OFR $15,000
WAUSAU BUSINESS INSURANCE COMPANY Liberty Mutual Insurance insurance violation 2001 FL-OFR $14,625
WAUSAU UNDERWRITERS INSURANCE COMPANY Liberty Mutual Insurance insurance violation 2001 FL-OFR $26,325
ZENITH INSURANCE COMPANY Fairfax Financial Holdings insurance violation 2001 FL-OFR $6,850
Conseco Senior Health Insurance Co. CNO Financial insurance violation 2001 FL-OFR $22,500
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
Fidelity & Guaranty Insurance Company Fidelity National Financial insurance violation 2001 MA-INS $21,037
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. Zurich Insurance 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 Sandler 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
JEFFERSON PILOT LIFE INSURANCE Lincoln National insurance violation 2001 VA-INS $42,000
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
WHEELABRATOR GLOUCESTER COMPANY, L.P. Macquarie environmental violation 2001 NJ-ENV $10,400
WHEELABRATOR GLOUCESTER COMPANY, L.P. Macquarie environmental violation 2001 NJ-ENV $11,200
CUNA Brokerage Services, Inc. CUNA Mutual investor protection violation 2001 FINRA $100,000
Prudential Securities Incorporated Wells Fargo investor protection violation 2001 FINRA $20,000
J.P. Morgan Securities, Inc. JPMorgan Chase investor protection violation 2001 FINRA $10,000
Schwab Capital Markets Charles Schwab Corp. investor protection violation 2001 FINRA $12,000
Spear, Leeds & Kellogg Goldman Sachs investor protection violation 2001 FINRA $10,000
E-Trade Securities Morgan Stanley investor protection violation 2001 FINRA $90,000
Lehman Brothers, Inc. Lehman Brothers investor protection violation 2001 FINRA $65,000
Banc of America Securities LLC Bank of America investor protection violation 2001 FINRA $40,000
Credit Suisse First Boston Corporation Credit Suisse investor protection violation 2001 FINRA $25,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America investor protection violation 2001 FINRA $15,000
Chase Securities, Inc. JPMorgan Chase investor protection violation 2001 FINRA $10,000
Josephthal & Co., Inc. Oppenheimer Holdings investor protection violation 2001 FINRA $2,300,000
Stifel, Nicolaus & Company, Inc. Stifel Financial investor protection violation 2001 FINRA $225,000
Prudential Securities, Inc. Wells Fargo investor protection violation 2001 FINRA $10,000
First Union Brokerage Services, Inc. Wells Fargo investor protection violation 2001 FINRA $32,500
Branch Banking & Trust Corporation Truist Financial campaign finance violation 2001 FEC $22,000
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 Sandler 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
U.S. Bancorp Piper Jaffray Inc. Piper Sandler 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
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)