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
Zurich American Insurance Co. Zurich Insurance insurance violation 2011 MD-INS $125,000
The Prudential Insurance Company of America Prudential Financial insurance violation 2011 MD-INS $75,000
Hartford Accident and Indemnity Co. et al. Hartford Financial Services insurance violation 2011 MD-INS $125,000
Commonwealth Land Title Insurance Co. Fidelity National Financial insurance violation 2011 MD-INS $30,000
First American Title Insurance Co. First American Financial insurance violation 2011 MD-INS $15,000
Federal Insurance Co. et al. Chubb Limited insurance violation 2011 MD-INS $15,000
State Farm Mutual Automobile Insurance Co. et al. State Farm Insurance insurance violation 2011 MD-INS $10,000
Praetorian Insurance Co. and Redland Insurance Co. QBE Insurance insurance violation 2011 MD-INS $10,000
Carefirst of Maryland, Inc. CareFirst of Maryland insurance violation 2011 MD-INS $5,500
Titan Indemnity Co. and Victoria Fire and Casualty Co. Nationwide insurance violation 2011 MD-INS $20,000
Liberty Mutual Fire Insurance Co. et al. Liberty Mutual Insurance insurance violation 2011 MD-INS $15,000
Liberty Mutual Fire Insurance Co. et al. Liberty Mutual Insurance insurance violation 2011 MD-INS $15,000
CareFirst BlueChoice, Inc. CareFirst of Maryland insurance violation 2011 MD-INS $7,500
Carefirst of Maryland, Inc. CareFirst of Maryland insurance violation 2011 MD-INS $6,500
Hartford Life and Accident Insurance Co. Hartford Financial Services insurance violation 2011 MD-INS $95,000
Hartford Life and Accident Insurance Co. Hartford Financial Services insurance violation 2011 MD-INS $12,500
Allstate Insurance Co. and Allstate Indemnity Co. Allstate insurance violation 2011 MD-INS $40,000
Allstate Insurance Co. and Allstate Indemnity Co. Allstate insurance violation 2011 MD-INS $40,000
CareFirst BlueChoice, Inc. CareFirst of Maryland insurance violation 2011 MD-INS $150,000
Metropolitan Life Insurance Co. MetLife insurance violation 2011 MD-INS $125,000
Bankers Life & Casualty Co. CNO Financial insurance violation 2011 ME-INS $102,801
CUNA Mutual Insurance Society CUNA Mutual insurance violation 2011 ME-INS $100,000
Progressive Northwestern Insurance Co. Progressive insurance violation 2011 ME-INS $100,000
Homesite Insurance Company of the Midwest American Family Insurance insurance violation 2011 ME-INS $7,500
American Family Life Assurance Company of Columbus Aflac insurance violation 2011 ME-INS $20,000
Prosper Marketplace, Inc. Prosper Marketplace investor protection violation 2011 ME-SEC $5,000
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
A.G. Edwards & Sons, Inc. Wells Fargo investor protection violation 2011 MO-SEC $765,993
Berthel Fisher & Company Financial Services, Inc. Berthel Fisher investor protection violation 2011 MO-SEC $5,000
Sentry Insurance a Mutual Company Sentry Insurance insurance violation 2011 MO-INS $5,200
National Interstate Insurance Co. American Financial Group insurance violation 2011 MO-INS $43,000
Old Republic National Title Insurance Co. Old Republic International insurance violation 2011 MO-INS $74,000
Genworth Life and Annuity Insurance Co. Genworth Financial insurance violation 2011 MT-INS $5,000
American Express Travel Related Services Company, Inc. American Express consumer protection violation 2011 NE-DBF $35,000
UBS Financial Services Inc. UBS investor protection violation 2011 NH-BSR $1,000,000
PHH Mortgage Corporation Ocwen Financial consumer protection violation 2011 NJ-DBI $9,000
Quicken Loans Inc. Quicken Loans consumer protection violation 2011 OH-BKG $35,000
HealthNow Highmark Inc. insurance violation 2011 NY-DFS $4,492,327
Bankers Life and Casualty Company CNO Financial insurance violation 2011 OR-FIN $5,000
United of Omaha Life Insurance Company Mutual of Omaha insurance violation 2011 OR-FIN $5,000
Metropolitan Life Insurance Company MetLife insurance violation 2011 OR-FIN $5,000
Standard Insurance Company Meiji Yasuda Life Insurance insurance violation 2011 OR-FIN $15,000
AXA Advisors LLC AXA investor protection violation 2011 OR-FIN $80,000
LPL Financial LLC LPL Financial investor protection violation 2011 OR-FIN $100,000
New Day Financial LLC New Day Financial LLC consumer protection violation 2011 PA-BKG $57,500
MLD Mortgage Inc. dba The Money Store MLD Mortgage Inc. dba The Money Store consumer protection violation 2011 PA-BKG $27,500
Bankers Life & Casualty Company CNO Financial insurance violation 2011 RI-FIN $975,000
Morgan Stanley & Co. Inc. Morgan Stanley investor protection violation 2011 SC-SEC $30,000
American Family Home Insurance Co. Munich Re insurance violation 2011 SC-INS $9,800
United Services Automobile Association USAA insurance violation 2011 SC-INS $8,000
Bristol West Insurance Company Zurich Insurance insurance violation 2011 SC-INS $7,500
XL Specialty Insurance Company AXA insurance violation 2011 TX-INS $25,000
SCOR Global Life U.S. Re Insurance Company SCOR insurance violation 2011 TX-INS $99,000
SCOR Global Life U.S. Re Insurance Company of Texas SCOR insurance violation 2011 TX-INS $90,000
Ace American Insurance Company Chubb Limited insurance violation 2011 TX-INS $48,000
Indemnity Insurance Company of North America Chubb Limited insurance violation 2011 TX-INS $68,000
Virginia Surety Company Inc. Assurant insurance violation 2011 TX-INS $200,000
LM Insurance Corporation Liberty Mutual Insurance insurance violation 2011 TX-INS $18,000
Marsh USA Inc. Marsh & McLennan insurance violation 2011 TX-INS $121,189
American Zurich Insurance Company Zurich Insurance insurance violation 2011 TX-INS $9,000
Hanover Insurance Company Hanover Insurance insurance violation 2011 TX-INS $15,000
Indemnity Insurance Company of North America Chubb Limited insurance violation 2011 TX-INS $15,500
New Hampshire Insurance Company American International Group insurance violation 2011 TX-INS $5,000
Zurich American Insurance Company Zurich Insurance insurance violation 2011 TX-INS $10,000
Hartford Casualty Insurance Corporation Hartford Financial Services insurance violation 2011 TX-INS $5,500
Hartford Fire Insurance Company Hartford Financial Services insurance violation 2011 TX-INS $85,000
XL Insurance America Inc. AXA insurance violation 2011 TX-INS $7,000
America First Lloyds Insurance Company Liberty Mutual Insurance insurance violation 2011 TX-INS $9,000
Ace American Insurance Company Chubb Limited insurance violation 2011 TX-INS $40,000
Great American Assurance Co. et al. American Financial Group insurance violation 2011 TX-INS $195,000
Accident Fund Insurance Co. of America AF Group insurance violation 2011 TX-INS $8,000
Chubb Indemnity Insurance Co. Chubb Limited insurance violation 2011 TX-INS $24,000
Federal Insurance Co. Chubb Limited insurance violation 2011 TX-INS $17,500
BNY Mellon Capital Markets LLC Bank of New York Mellon investor protection violation 2011 TX-SEC $500,000
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
Lincoln National life Insurance Company Lincoln National insurance violation 2011 UT-INS $6,000
Genworth Life and Annuity Insurance Company Genworth Financial insurance violation 2011 UT-INS $6,000
Sentry Insurance A Mutual Company Sentry Insurance insurance violation 2011 UT-INS $6,000
Selective Insurance Company of America Selective Insurance Group insurance violation 2011 VA-INS $8,000
STATE FARM MUTUAL, ET AL. State Farm Insurance insurance violation 2011 VA-INS $60,000
CAREFIRST BLUECHOICE, INC. CareFirst of Maryland insurance violation 2011 VA-INS $20,000
EMPIRE FIRE & MARINE INSURANCE CO Zurich Insurance insurance violation 2011 VA-INS $25,000
Property & Casualty Insurance Company of Hartford and Trumbull Insurance Company Hartford Financial Services insurance violation 2011 VA-INS $126,386
NATIONAL UNION FIRE INSURANCE American International Group insurance violation 2011 VA-INS $40,000
Auto-Owners Insurance Company and Owners Insurance Company Auto-Owners Insurance insurance violation 2011 VA-INS $10,000
CAROLINA CASUALTY INSURANCE CO W.R. Berkley insurance violation 2011 VA-INS $10,000
National Union Fire Insurance Company of Pittsburgh, PA American International Group insurance violation 2011 VA-INS $10,000
NATIONWIDE MUTUAL FIRE, ET AL. Nationwide insurance violation 2011 VA-INS $51,384
American Guarantee and Liability Insurance Company Zurich Insurance insurance violation 2011 VA-INS $5,000
Allied Property & Casualty Insurance Company Nationwide insurance violation 2011 VA-INS $27,911
American Automobile Insurance Company et al. Allianz insurance violation 2011 VA-INS $10,973
National Union Fire Insurance Company of Pittsburgh, PA American International Group insurance violation 2011 VA-INS $10,000
BRISTOL WEST INSURANCE CO. Zurich Insurance insurance violation 2011 VA-INS $75,400
CONSECO SENIOR & CONSECO LIFE CNO Financial insurance violation 2011 VA-INS $25,000
PEERLESS INDEMNITY INSURANCE CO. ET AL. Liberty Mutual Insurance insurance violation 2011 VA-INS $40,057
American Economy Insurance Co. et al. Liberty Mutual Insurance insurance violation 2011 VA-INS $12,000
Austin Mutual Insurance Company American Family Insurance insurance violation 2011 WA-INS $10,000
Chubb Group Of Companies Chubb Limited insurance violation 2011 WA-INS $534,000
Homesite Insurance Company Of The Midwest American Family Insurance insurance violation 2011 WA-INS $12,000
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