Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$325,206,110,617
Number of Records: 
5,976
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$82,700,046,034213
JPMorgan Chase$34,530,243,993154
Citigroup$25,045,655,764120
Wells Fargo$21,199,943,231179
Deutsche Bank$18,156,533,87859
UBS$16,792,800,91083
Royal Bank of Scotland$13,455,904,00027
Goldman Sachs$13,140,380,98740
BNP Paribas$12,132,582,95017
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 Year Agencysort icon Penalty Amount
MetLife Investors USA Insurance Co. et al. MetLife insurance violation 2006 MN-FIN $250,000
First American Title Insurance Co. First American Financial insurance violation 2007 MN-FIN $500,000
AmerUS Life Insurance Co. Athene Holding insurance violation 2007 MN-FIN $250,000
Time Insurance Co. Haven Holdings insurance violation 2008 MN-FIN $7,500
Bankers Life and Casualty Co. CNO Financial insurance violation 2008 MN-FIN $7,500
Illinois Farmers Insurance Co. Zurich Insurance insurance violation 2008 MN-FIN $70,000
Allied Property and Casualty Insurance Co. Nationwide insurance violation 2008 MN-FIN $7,000
Sun Life Insurance Company of Canada Sun Life Financial insurance violation 2009 MN-FIN $7,500
Homesite Insurance Company of the Midwest American Family Insurance insurance violation 2009 MN-FIN $15,000
Marsh USA Inc. Marsh & McLennan insurance violation 2009 MN-FIN $325,000
Allstate Indemnity Insurance Co. Allstate insurance violation 2010 MN-FIN $9,000
National Union Fire Insurance Company of Pittsburgh, Pa. American International Group insurance violation 2010 MN-FIN $100,000
First American Title Insurance Co. First American Financial insurance violation 2010 MN-FIN $21,750
American Family Mutual Insurance Co. American Family Insurance insurance violation 2011 MN-FIN $5,000
Safeco Insurance Company of America et al. Liberty Mutual Insurance insurance violation 2011 MN-FIN $25,000
National Union Fire Insurance Company of Pittsburgh, Pa. American International Group insurance violation 2012 MN-FIN $2,731,385
ING Financial Partners, Inc. Voya Financial investor protection violation 2012 MN-FIN $5,000
ING Life Insurance and Annuity Co. et al. Voya Financial insurance violation 2012 MN-FIN $200,000
John Hancock Life Insurance Co. (USA) et al. Manulife Financial insurance violation 2012 MN-FIN $200,000
MetLife Investors USA Insurance Co. et al. MetLife insurance violation 2012 MN-FIN $200,000
Prudential Insurance Company of America Prudential Financial insurance violation 2012 MN-FIN $200,000
State Farm Fire and Casualty Co. State Farm Insurance insurance violation 2012 MN-FIN $5,000
Metropolitan Property and Casualty Insurance Co. MetLife insurance violation 2012 MN-FIN $10,000
Allstate Insurance Co. Allstate insurance violation 2012 MN-FIN $5,000
Jackson National Life Insurance Co. Prudential (UK) insurance violation 2012 MN-FIN $60,000
Transamerica Life Insurance Co. et al. Aegon insurance violation 2012 MN-FIN $50,000
Lincoln National Life Insurance Co. and Lincoln Financial Group Lincoln National insurance violation 2013 MN-FIN $150,000
American Family Mutual Insurance Co. American Family Insurance insurance violation 2013 MN-FIN $5,000
AMCO Insurance Co. Nationwide insurance violation 2013 MN-FIN $20,000
The Northwestern Mutual Life Insurance Co. Northwestern Mutual insurance violation 2013 MN-FIN $150,000
The Prudential Insurance Company of America Prudential Financial insurance violation 2013 MN-FIN $1,000,000
Depositors Insurance Co. Nationwide insurance violation 2013 MN-FIN $40,000
QBE Insurance Co. QBE Insurance insurance violation 2013 MN-FIN $5,000
American Security Insurance Company Assurant insurance violation 2013 MN-FIN $5,000
QBE Insurance Co. QBE Insurance insurance violation 2014 MN-FIN $20,000
Progressive Casualty Insurance Co. Progressive insurance violation 2014 MN-FIN $5,000
MetLife, Inc. et al. MetLife insurance violation 2014 MN-FIN $1,500,000
Transamerica Life Insurance Co. et al. Aegon insurance violation 2014 MN-FIN $2,500,000
Conseco Life Insurance Co. CNO Financial insurance violation 2014 MN-FIN $250,000
American Family Mutual Insurance Co. American Family Insurance insurance violation 2014 MN-FIN $7,500
Allstate Insurance Co. Allstate insurance violation 2014 MN-FIN $10,000
Protective Life Insurance Co. Dai-ichi Life insurance violation 2014 MN-FIN $25,000
QBE North America QBE Insurance insurance violation 2014 MN-FIN $5,000
The Lincoln National Life Insurance Co. et al. Lincoln National insurance violation 2014 MN-FIN $2,500,000
Voya Insurance and Annuity Co. et al. Voya Financial insurance violation 2014 MN-FIN $1,250,000
USAA Casualty Insurance Co. USAA insurance violation 2014 MN-FIN $5,000
United States Fire Insurance Co. Fairfax Financial Holdings insurance violation 2014 MN-FIN $10,000
ReliaStar Life Insurance Co. Voya Financial insurance violation 2014 MN-FIN $30,000
Esurance Property and Casualty Insurance Co. Allstate insurance violation 2015 MN-FIN $60,000
The Hanover Insurance Co. Hanover Insurance insurance violation 2015 MN-FIN $7,500
Philadelphia Indemnity Insurance Co. Tokio Marine insurance violation 2015 MN-FIN $5,000
Bankers Life and Casualty Co. CNO Financial insurance violation 2015 MN-FIN $22,500
Farmers Insurance Exchange Farmers Insurance Exchange insurance violation 2015 MN-FIN $10,000
American General Life Insurance Co. American International Group insurance violation 2015 MN-FIN $10,000
Genworth Mortgage Insurance Corp. Genworth Financial insurance violation 2015 MN-FIN $90,000
John Hancock Life Insurance Co. (USA) et al. Manulife Financial insurance violation 2015 MN-FIN $900,000
Transamerica Premier Life Insurance Co. Aegon insurance violation 2015 MN-FIN $5,000
Selective Insurance Company of America Selective Insurance Group insurance violation 2015 MN-FIN $15,000
Chicago Title Insurance Co. Fidelity National Financial insurance violation 2015 MN-FIN $10,000
Bankers Life and Casualty Co. CNO Financial insurance violation 2015 MN-FIN $7,500
Philadelphia Indemnity Insurance Co. Tokio Marine insurance violation 2015 MN-FIN $5,000
USAA Casualty Insurance Co. USAA insurance violation 2015 MN-FIN $50,000
Stewart Title Guaranty Co. Stewart Information Services insurance violation 2015 MN-FIN $17,500
Prudential Insurance Company of America Prudential Financial insurance violation 2016 MN-FIN $5,000
AXA Equitable Life Insurance Co. et al. AXA insurance violation 2016 MN-FIN $900,000
Jackson National Life Insurance Co. Prudential (UK) insurance violation 2016 MN-FIN $1,250,000
New York Life Insurance Co. et al. New York Life Insurance insurance violation 2016 MN-FIN $800,000
The Lincoln National Life Insurance Co. Lincoln National insurance violation 2016 MN-FIN $10,000
Genworth Life Insurance Co. Genworth Financial insurance violation 2016 MN-FIN $7,500
Travelers Home and Marine Insurance Co. Travelers insurance violation 2016 MN-FIN $10,000
American Modern Insurance Group, Inc. et al. Munich Re insurance violation 2016 MN-FIN $1,000,000
CMFG Life Insurance Co. CUNA Mutual insurance violation 2016 MN-FIN $15,000
Auto-Owners Insurance Co. Auto-Owners Insurance insurance violation 2016 MN-FIN $10,000
Safeco Insurance Company of Illinois Liberty Mutual Insurance insurance violation 2016 MN-FIN $50,000
AXA Equitable Life Insurance Co. AXA insurance violation 2016 MN-FIN $5,000
State Farm Mutual Automobile Insurance Co. State Farm Insurance insurance violation 2016 MN-FIN $5,000
HCC Life Insurance Co. Tokio Marine insurance violation 2016 MN-FIN $5,000
The Travelers Home and Marine Insurance Co. Travelers insurance violation 2016 MN-FIN $15,000
Allstate Insurance Co. Allstate insurance violation 2016 MN-FIN $5,000
John Hancock Life & Health Insurance Co. Manulife Financial insurance violation 2016 MN-FIN $5,000
Allianz Life Insurance Company of North America et al. Allianz insurance violation 2016 MN-FIN $550,000
American Security Insurance Company et al. Assurant insurance violation 2016 MN-FIN $5,000,000
State Farm Mutual Automobile Insurance Co. State Farm Insurance insurance violation 2017 MN-FIN $50,000
American National Property and Casualty Co. American National Insurance insurance violation 2017 MN-FIN $5,000
Bristol West Casualty Insurance Co. Zurich Insurance insurance violation 2017 MN-FIN $20,000
ReliaStar Insurance Co. Voya Financial insurance violation 2017 MN-FIN $5,000
Farmers Insurance Exchange Farmers Insurance Exchange insurance violation 2017 MN-FIN $75,000
QBE Holdings, Inc. et al. QBE Insurance insurance violation 2017 MN-FIN $750,000
Safeco Surplus Lines Insurance Co. Liberty Mutual Insurance insurance violation 2017 MN-FIN $10,000
Washington National Insurance Co. CNO Financial insurance violation 2017 MN-FIN $140,000
Bankers Life and Casualty Co. and Colonial Penn Life Insurance Co. CNO Financial insurance violation 2018 MN-FIN $10,000
Transamerica Premier Life Insurance Co. Aegon insurance violation 2018 MN-FIN $40,000
Nationwide Insurance Company of America et al. Nationwide insurance violation 2018 MN-FIN $25,000
Liberty Insurance Corp. et al. Liberty Mutual Insurance insurance violation 2018 MN-FIN $30,000
Progressive Casualty Insurance Co. et al. Progressive insurance violation 2018 MN-FIN $40,000
Auto-Owners Insurance Co. and Owners Insurance Co. Auto-Owners Insurance insurance violation 2019 MN-FIN $35,000
Esurance Property and Casualty Co. and Esurance Insurance Co. Allstate insurance violation 2019 MN-FIN $35,000
Transamerica Life Insurance Co. and Transamerica Premier Life Insurance Co. Aegon insurance violation 2019 MN-FIN $100,000
Allstate Insurance Co. and Encompass Indemnity Co. et al. Allstate insurance violation 2019 MN-FIN $75,000
Lincoln National Life Insurance Co. Lincoln National insurance violation 2019 MN-FIN $10,000
Austin Mutual Insurance Co. American Family Insurance insurance violation 2019 MN-FIN $10,000
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