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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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 Current Parent CompaniesTotal Penalty $Number of Records
Bank of America$87,286,650,890328
JPMorgan Chase$39,340,688,209275
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,780,502,443203
BNP Paribas$10,363,464,66623

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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CompanyCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount sort icon
Indiana Insurance Co.Liberty Mutual Insuranceinsurance violation2010IL-INS$25,000
Bannockburn Global Forex, LLCFirst Financial Bancorp.consumer protection violation2015KY-FIN$25,000
LendingTree, LLCLendingTreeconsumer protection violation2016KY-FIN$25,000
Allstate Life Insurance CompanyAllstateinsurance violation2004MA-INS$25,000
AmeriSave Mortgage Corp.AmeriSave Mortgageconsumer protection violation2010MA-BKG$25,000
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2011MA-BKG$25,000
Prospect Mortgage, LLCHomebridge Financial Servicesconsumer protection violation2013MA-BKG$25,000
Guaranteed Rate, Inc.Guaranteed Rate Inc.consumer protection violation2014MA-BKG$25,000
Federal Insurance Co. et al.Chubb Limitedinsurance violation2011MD-INS$25,000
United States Life Insurance Company In the City of New YorkAmerican International Groupinsurance violation2014MD-INS$25,000
Time Insurance Co.Haven Holdingsinsurance violation2014MD-INS$25,000
Federal Insurance Co. et al.Chubb Limitedinsurance violation2015MD-INS$25,000
American Security Insurance Co. et al.Assurantinsurance violation2017MD-INS$25,000
Allstate Indemnity Co.Allstateinsurance violation2017MD-INS$25,000
Indiana Insurance Co.Liberty Mutual Insuranceinsurance violation2000MN-FIN$25,000
Safeco Insurance Company of America et al.Liberty Mutual Insuranceinsurance violation2011MN-FIN$25,000
Protective Life Insurance Co.Dai-ichi Lifeinsurance violation2014MN-FIN$25,000
Nationwide Insurance Company of America et al.Nationwideinsurance violation2018MN-FIN$25,000
Waddell & Reed, Inc.Macquarieinvestor protection violation2005MT-FIN$25,000
Safeco Insurance Company of IllinoisLiberty Mutual Insuranceinsurance violation2010MT-FIN$25,000
Unigard Insurance Co.QBE Insuranceinsurance violation2016MT-FIN$25,000
Horace Mann Insurance Co.Horace Mann Educators Corp.insurance violation2019MT-FIN$25,000
Selective Insurance Co. of AmericaSelective Insurance Groupinsurance violation2004NJ-DBI$25,000
AIG Property Casualty CompanyAmerican International Groupinsurance violation2014NJ-DBI$25,000
Liberty MutualLiberty Mutual Insuranceinsurance violation2015NJ-DBI$25,000
Mercury Indemnity Company of AmericaMercury General Corporationinsurance violation2018NJ-DBI$25,000
American Family Home Insurance CompanyMunich Reinsurance violation2015NY-DFS$25,000
21st Century National Insurance CompanyZurich Insuranceinsurance violation2015NY-DFS$25,000
Variable Annuity Life Insurance CompanyAmerican International Groupinsurance violation2017NY-DFS$25,000
Equitable Life and Casualty Insurance CompanyEquitable Holdingsinsurance violation2002OR-FIN$25,000
United of Omaha Life Insurance CompanyMutual of Omahainsurance violation2005OR-FIN$25,000
Virginia Surety Company, Inc.Assurantinsurance violation2008OR-FIN$25,000
Transamerica Life Insurance CompanyAegoninsurance violation2009OR-FIN$25,000
AMEX Assurance CompanyAmerican Expressinsurance violation2009OR-FIN$25,000
Bankers Life and Casualty CompanyCNO Financialinsurance violation2010OR-FIN$25,000
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2020OR-FIN$25,000
Great American Assurance CompanyAmerican Financial Groupinsurance violation2004PA-INS$25,000
Great American Spirit Insurance CompanyAmerican Financial Groupinsurance violation2004PA-INS$25,000
Allstate Life Insurance CompanyAllstateinsurance violation2004PA-INS$25,000
Seabury & Smith Inc.Marsh & McLennaninsurance violation2007PA-INS$25,000
Progressive Casualty Insurance CompanyProgressiveinsurance violation2009PA-INS$25,000
American General Life Insurance CompanyAmerican International Groupinsurance violation2020RI-FIN$25,000
Ameritas Investment CorporationAmeritas Mutual Holding Companyinvestor protection violation2003TX-SEC$25,000
National General Insurance CompanyAllstateinsurance violation2010TX-INS$25,000
Fidelity National Title Insurance Co. et al.Fidelity National Financialinsurance violation2010TX-INS$25,000
XL Specialty Insurance CompanyAXAinsurance violation2011TX-INS$25,000
Travelers Property Casualty Company of AmericaTravelersinsurance violation2012TX-INS$25,000
Everest National Insurance CompanyEverest Re Groupinsurance violation2014TX-INS$25,000
Unitrin County Mutual Insurance CompanyKemperinsurance violation2018TX-INS$25,000
ALLIED HOME MORTGAGE CAPITALAmericus Mortgageconsumer protection violation2010VA-FIN$25,000
EMPIRE FIRE & MARINE INSURANCE COZurich Insuranceinsurance violation2011VA-INS$25,000
CONSECO SENIOR & CONSECO LIFECNO Financialinsurance violation2011VA-INS$25,000
UNITED STATES FIRE INSURANCE COFairfax Financial Holdingsinsurance violation2017VA-INS$25,000
Bankers Standard Insurance CompanyChubb Limitedinsurance violation2015WA-INS$25,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2016WA-INS$25,000
Farmers Insurance Exchange et al.Farmers Insurance Exchangeinsurance violation2017WA-INS$25,000
AIG Assurance Company et al.American International Groupinsurance violation2017WA-INS$25,000
Nationwide Agribusiness Insurance CompanyNationwideinsurance violation2018WA-INS$25,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2019WA-INS$25,000
Bankers Standard Insurance Company et al.Chubb Limitedinsurance violation2019WA-INS$25,000
Freedom Mortgage Corp.Freedom Mortgageconsumer protection violation2020MA-BKG$25,000
Federal Insurance Co.Chubb Limitedinsurance violation2020SD-INS$25,000
Vitol S.A.Vitolenvironmental violation2002CA-ARB$25,000
ProEquities, Inc.Dai-ichi Lifeinvestor protection violation2009FINRA$25,000
Credit Suisse First Boston CorporationUBSinvestor protection violation2001FINRA$25,000
USAA Casualty Insurance Company et al.USAAinsurance violation2021NH-INS$25,000
Great American Assurance CompanyAmerican Financial Groupinsurance violation2021MN-FIN$25,000
North River Insurance Company et al.Fairfax Financial Holdingsinsurance violation2021WA-INS$25,000
Mutual of Omaha Mortgage, Inc.Mutual of Omahaconsumer protection violation2022MA-BKG$25,000
Zurich American Life Insurance Company of New YorkZurich Insuranceinsurance violation2020NY-DFS$25,000
Horace Mann Insurance Company et al.Horace Mann Educators Corp.insurance violation2021TX-INS$25,000
Allstate Vehicle And Property Insurance CompanyAllstateinsurance violation2022WA-INS$25,000
American Family Mutual Insurance Company S.I.American Family Insuranceinsurance violation2022WA-INS$25,000
American Family Insurance CompanyAmerican Family Insuranceinsurance violation2022WA-INS$25,000
American Family Life Assurance Company of ColumbusAflacinsurance violation2022MN-FIN$25,000
Transamerica Life Insurance CompanyAegoninsurance violation2022NE-DOI$25,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2022PA-INS$25,000
STANDARD INSURANCE COMPANYMeiji Yasuda Life Insuranceinsurance violation2022WA-INS$25,000
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceinsurance violation2023MD-INS$25,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2023OR-FIN$25,000
Arch Insurance CompanyArch Capitalinsurance violation2023TX-INS$25,000
Standard Fire Insurance CompanyTravelersinsurance violation2023TX-INS$25,000
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2009MSHA$25,000
Edward JonesJones Financialinvestor protection violation2004FINRA$25,181
Navient Solutions, LLCNavientconsumer protection violation2021CT-BKG$25,400
Hartford Fire Insurance CompanyHartford Financial Serviceswage and hour violation2010WHD$25,448
American Home Assurance Co.American International Groupinsurance violation2007FL-OFR$25,500
R.R. Donnelley & Sons CompanyChatham Asset Managementenvironmental violation2002CT-ENV$25,500
Penn Mutual Life Insurance Co.Penn Mutualinsurance violation2017MD-INS$25,600
MERCURY CASUALTY COMPANYMercury General Corporationinsurance violation2007VA-INS$25,600
A.G. Edwards & Sons, Inc.Wells Fargoinvestor protection violation2017MO-SEC$25,672
Sun Life Assurance Company of Canada (U.S.)Sun Life Financialwage and hour violation2009WHD$25,744
MUTUAL OF OMAHA INSURANCE CO.Mutual of Omahainsurance violation2002VA-INS$25,800
ABN AMRO Bank, IncABN AMROeconomic sanction violation2004OFAC$25,847
HIGHMARK INC.Highmark Inc.workplace safety or health violation2018OSHA$25,868
Auto Owners Insurance Co.Auto-Owners Insuranceinsurance violation2017CO-INS$25,875
Globe Life and Accident Insurance Co.Globe Life Inc.insurance violation2008ID-INS$26,000
Transamerica Life Insurance Co.Aegoninsurance violation2019MO-INS$26,000
Monumental Life Insurance Co.Aegoninsurance violation2009MO-INS$26,001
State Farm Fire and Casualty Co.State Farm Insuranceinsurance violation2015MD-INS$26,020
Scottsdale Insurance CompanyNationwideinsurance violation2000MA-INS$26,208
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.