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 Year Agency Penalty Amountsort icon
American Modern Home Insurance Company Munich Re insurance violation 2015 NY-DFS $150,000
Granite State Insurance Company American International Group insurance violation 2015 NY-DFS $150,000
Bankers Life and Casualty Company CNO Financial insurance violation 2008 OR-FIN $150,000
Great American Insurance Company American Financial Group insurance violation 2005 PA-INS $150,000
LendingClub Corporation LendingClub Corp. investor protection violation 2015 SC-SEC $150,000
MARSH USA, INC. Marsh & McLennan insurance violation 2006 VA-INS $150,000
ACE CASH EXPRESS, INC. ACE Cash Express consumer protection violation 2010 VA-FIN $150,000
Allianz Life Insurance Company Of North America Allianz insurance violation 2013 WA-INS $150,000
Transamerica Premier Life Insurance Company Aegon insurance violation 2013 WA-INS $150,000
Allstate Life Insurance Company Allstate insurance violation 2018 MULTI-FIN $150,000
Titan Insurance Company Nationwide insurance violation 2019 NY-DFS $149,300
American Fire and Casualty Company and Ohio Security Insurance Company Liberty Mutual Insurance insurance violation 2019 VA-INS $148,910
American International Group American International Group economic sanction violation 2017 OFAC $148,698
Companion Life Insurance Co. BlueCross BlueShield of South Carolina insurance violation 2019 CO-INS $147,775
Ace American Insurance Company Chubb Limited insurance violation 2010 TX-INS $147,000
Companion Life Insurance Company BlueCross BlueShield of South Carolina insurance violation 2016 NY-DFS $146,485
Bannockburn Global Forex, LLC First Financial Bancorp. consumer protection violation 2016 MI-FIN $146,000
Conseco Finance Servicing Corp. CNO Financial wage and hour violation 2002 WHD $145,512
Arch Insurance Co. Arch Capital insurance violation 2016 MO-INS $145,000
Claritas Investments Ltd. Principal Financial investor protection violation 2013 SEC $144,819
IMTT-BAYONNE Macquarie environmental violation 2018 PHMSA $144,000
New Hampshire Insurance Co. American International Group insurance violation 2012 CA-INS $142,500
Athene Life Insurance Company of New York Athene Holding insurance violation 2016 NY-DFS $142,193
Trumbull Insurance Co. Hartford Financial Services insurance violation 2019 CT-INS $141,500
Ace American Insurance Co. Chubb Limited insurance violation 2009 UT-INS $141,500
U.S. Bancorp U.S. Bancorp wage and hour violation 2006 WHD $140,788
U.S. Bank U.S. Bancorp wage and hour violation 2008 WHD $140,787
Safeco Insurance Company of America Liberty Mutual Insurance insurance violation 2015 CO-INS $140,500
BNP Paribas Securities BNP Paribas investor protection violation 2015 CFTC $140,000
J.P. Morgan Securities LLC JPMorgan Chase investor protection violation 2012 CFTC $140,000
FCStone, LLC INTL FCStone investor protection violation 2015 CFTC $140,000
1ST FINANCIAL BANK USA 1st Financial Bank USA banking violation 2009 FDIC (*) $140,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2016 CA-MHC $140,000
Washington National Insurance Co. CNO Financial insurance violation 2017 MN-FIN $140,000
NEXT Financial Group, Inc Atria Wealth Solutions investor protection violation 2014 NH-BSR $140,000
TIAA-CREF Life Insurance Company TIAA insurance violation 2016 NY-DFS $139,940
Liberty Mutual Insurance Group Liberty Mutual Insurance insurance violation 2017 RI-FIN $139,547
Bank of New York Bank of New York Mellon economic sanction violation 2004 OFAC $137,500
Synovus Bank Synovus Financial banking violation 2013 FDIC $135,050
Doral Bank Doral Financial banking violation 2013 FDIC $135,000
Regions Bank Regions Financial banking violation 2009 FED $135,000
BANK OF THE WEST BNP Paribas banking violation 2011 FDIC $135,000
MetLife Securities, Inc. MetLife investor protection violation 2010 IL-SEC $135,000
Allianz Life Insurance Company of New York Allianz insurance violation 2013 NY-DFS $135,000
Edward D. Jones & Co. LP Jones Financial investor protection violation 2016 PA-BKG $135,000
Old Republic Insurance Co. Old Republic International insurance violation 2012 MO-INS $134,750
Omega Advisors, Inc. Omega Advisors investor protection violation 2015 SEC $134,026
FEDERAL INSURANCE CO., Chubb Limited insurance violation 2015 VA-INS $132,761
US BANK U.S. Bancorp wage and hour violation 2014 IL-DOL $131,922
CareFirst BlueChoice, Inc. CareFirst of Maryland insurance violation 2012 MD-INS $130,700
Noble Americas Corp. Vitol investor protection violation 2010 CFTC $130,000
UBS AG UBS investor protection violation 2010 CFTC $130,000
Chicago Insurance Co. Allianz insurance violation 2008 FL-OFR $130,000
HCC Life Insurance Co. and HCC Medical Insurance Services, LLC Tokio Marine insurance violation 2017 MT-INS $130,000
Citigroup Global Markets Inc. Citigroup investor protection violation 2010 TX-SEC $130,000
Accordia Life And Annuity Company Global Atlantic Financial Group insurance violation 2018 WA-INS $130,000
Wachovia Securities, LLC Wells Fargo financial institution supervision failures 2010 AK-DBS $129,131
East West Bank East West Bancorp banking violation 2020 FED $129,108
H & R Block H&R Block wage and hour violation 2014 WHD $128,872
ProEquities, Inc. Dai-ichi Life investor protection violation 2015 MO-SEC $128,528
Ameriprise Financial, Inc. Ameriprise Financial employment discrimination 2016 OFCCP $128,200
Stewart Title Guarantee Co. Stewart Information Services insurance violation 2012 MO-INS $128,000
Progressive Insurance Company of Ohio Progressive consumer protection violation 2001 IA-AG $127,500
Property & Casualty Insurance Company of Hartford and Trumbull Insurance Company Hartford Financial Services insurance violation 2011 VA-INS $126,386
HOMESITE INSURANCE COMPANY American Family Insurance insurance violation 2010 VA-INS $126,252
USAA Insurance USAA labor relations violation 2005 NLRB $125,361
WELLS FARGO FINANCIAL BANK Wells Fargo banking violation 2009 FDIC $125,000
DORAL BANK Doral Financial banking violation 2007 FDIC $125,000
Capital One, National Association Capital One Financial banking violation 2009 OCC $125,000
Northern Trust, National Association Northern Trust banking violation 2008 OCC $125,000
First Tennessee Bank National Association First Horizon National banking violation 2007 OCC $125,000
Lasalle Bank MidWest National Association Bank of America banking violation 2007 OCC $125,000
U.S. Bank National Association U.S. Bancorp banking violation 2006 OCC $125,000
A.G. Edwards & Sons, Inc. Wells Fargo investor protection violation 2006 SEC $125,000
Morgan Keegan & Company, Inc. Raymond James Financial investor protection violation 2006 SEC $125,000
Piper Jaffray & Co. Piper Jaffray investor protection violation 2006 SEC $125,000
SunTrust Capital Markets Inc. Truist Financial investor protection violation 2006 SEC $125,000
Wachovia Capital Markets, LLC Wells Fargo investor protection violation 2006 SEC $125,000
Friedman, Billings, Ramsey & Co., Inc. Arlington Asset Investment Corp. investor protection violation 2004 SEC $125,000
SG Cowen & Co., LLC f/k/a SG Cowen Securities Corporation Cowen Inc. investor protection violation 2004 SEC $125,000
Wilmington Trust Company M&T Bank investor protection violation 2004 SEC $125,000
Fifth Third Bank Fifth Third Bancorp discriminatory practices (non-employment) 2006 HUD $125,000
RBC Capital Markets Corporation Royal Bank of Canada investor protection violation 2009 SEC $125,000
Prudential Equity Group, LLC Prudential Financial investor protection violation 2005 SEC $125,000
Allstate Company, Inc. Allstate wage and hour violation 2007 MA-AG $125,000
Jackson Hewitt Inc. Jackson Hewitt consumer protection violation 2004 NY-NYCDCWP $125,000
American Express Financial Advisors Ameriprise Financial investor protection violation 2000 AZ-SEC $125,000
Moneygram Payment Systems, Inc. MoneyGram International consumer protection violation 2007 AZ-DFS $125,000
Hartford Fire Insurance Co. et al. Hartford Financial Services insurance violation 2006 CA-INS $125,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2016 CA-MHC $125,000
Sun LIfe Assurance Company of Canada et al. Sun Life Financial insurance violation 2004 IN-INS $125,000
Progressive Direct Insurance Co. Progressive insurance violation 2011 MA-INS $125,000
CareFirst BlueChoice, Inc. CareFirst of Maryland insurance violation 2011 MD-INS $125,000
Zurich American Insurance Co. Zurich Insurance insurance violation 2011 MD-INS $125,000
Hartford Accident and Indemnity Co. et al. Hartford Financial Services insurance violation 2011 MD-INS $125,000
Metropolitan Life Insurance Co. MetLife insurance violation 2011 MD-INS $125,000
Raymond James Financial Services Inc. Raymond James Financial investor protection violation 2017 PA-BKG $125,000
Washington National Insurance Company CNO Financial insurance violation 2013 SD-INS $125,000
Sentry Insurance Group Sentry Insurance insurance violation 2015 SD-INS $125,000
Charles Schwab & Co. Inc. Charles Schwab Corp. investor protection violation 2016 TX-SEC $125,000
Time Insurance Company Haven Holdings insurance violation 2018 TX-INS $125,000
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