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
JPMorgan Chase Bank, N.A. JPMorgan Chase investor protection violation 2017 MD-SEC $100,000
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
American Bankers Insurance Company of Florida Assurant insurance violation 2003 MN-FIN $100,000
American Bankers Life Assurance Company of Florida Assurant insurance violation 2003 MN-FIN $100,000
National Union Fire Insurance Company of Pittsburgh, Pa. American International Group insurance violation 2010 MN-FIN $100,000
Transamerica Life Insurance Co. and Transamerica Premier Life Insurance Co. Aegon insurance violation 2019 MN-FIN $100,000
Edward Jones Jones Financial investor protection violation 2010 MT-SEC $100,000
National Union Fire Insurance Company of Pittsburgh, PA American International Group insurance violation 2010 NH-INS $100,000
Horizon Healthcare Services, Inc. Horizon Healthcare Services insurance violation 2012 NJ-DBI $100,000
Pruco Securities, LLC Prudential Financial investor protection violation 2013 NJ-BOS $100,000
Travelers Home & Marine Insurance Company Travelers insurance violation 2014 NY-DFS $100,000
New Hampshire Insurance Company American International Group insurance violation 2015 NY-DFS $100,000
BCS Insurance Company BCS Financial Corporation insurance violation 2016 NY-DFS $100,000
LPL Financial LLC LPL Financial investor protection violation 2011 OR-FIN $100,000
Travelers Indemnity Co. Travelers insurance violation 2017 PA-INS $100,000
Zurich American Insurance Company Zurich Insurance insurance violation 2015 SD-INS $100,000
American Family Life Assurance Company Aflac insurance violation 2019 SD-INS $100,000
Scottrade Inc. TD Ameritrade investor protection violation 2016 TX-SEC $100,000
Lincoln National Life Insurance Company Lincoln National insurance violation 2016 TX-INS $100,000
Travelers Casualty and Surety Company of America Travelers insurance violation 2016 TX-INS $100,000
The General Automobile Insurance Company Inc. American Family Insurance insurance violation 2018 TX-INS $100,000
Catlin Insurance Company Inc. AXA insurance violation 2018 UT-INS $100,000
UBS FINANCIAL SERVICES, INC. UBS investor protection violation 2007 VA-SEC $100,000
AIU INSURANCE COMPANY ET AL. American International Group insurance violation 2008 VA-INS $100,000
National Union Fire Insurance Company Of Pittsburgh, Pa American International Group insurance violation 2010 WA-INS $100,000
Hartford Accident & Indemnity Company et al. Hartford Financial Services insurance violation 2013 WA-INS $100,000
Farmers Insurance Company Of Washington Zurich Insurance insurance violation 2015 WA-INS $100,000
Metropolitan Life Insurance Company MetLife insurance violation 2016 WA-INS $100,000
Lincoln National Life Insurance Company Lincoln National insurance violation 2019 WA-INS $100,000
Premera Blue Cross Premera Blue Cross insurance violation 2020 WA-INS $100,000
Principal Life Insurance Co. Principal Financial insurance violation 2000 WA-INS $100,000
AIG Warranty Guard, Inc. American International Group insurance violation 2000 WI-INS $100,000
Conseco Senior Health Insurance Co. CNO Financial insurance violation 2008 WI-INS $100,000
Universal Property & Casualty Insurance Co. Universal Insurance Holdings insurance violation 2009 FL-OFR $99,000
SCOR Global Life U.S. Re Insurance Company SCOR insurance violation 2011 TX-INS $99,000
Glencore Ltd. Glencore environmental violation 2013 EPA $98,954
Forethought Life Insurance Co. Global Atlantic Financial Group insurance violation 2019 DE-INS $98,000
Peter Cremer North America Cremer environmental violation 2013 EPA $98,000
Branch Banking and Trust Company Truist Financial investor protection violation 2016 SC-SEC $97,500
AMERICAN BANKERS LIFE Assurant insurance violation 2007 VA-INS $97,000
Travelers Indemnity Co. et al. Travelers insurance violation 2016 VT-FIN $96,000
Independent Bank Independent Bank Corp. (Michigan) benefit plan administrator violation 2011 EBSA $95,700
Swiss Re Financial Products Corporation Swiss Re investor protection violation 2007 SEC $95,000
Regions Financial Corporation Regions Financial employment discrimination 2013 EEOC $95,000
Hartford Life and Accident Insurance Co. Hartford Financial Services insurance violation 2011 MD-INS $95,000
Safeco Insurance Company of Illinois Liberty Mutual Insurance insurance violation 2015 MT-INS $95,000
LPL Financial LLC LPL Financial investor protection violation 2016 TX-SEC $95,000
VITOL SA, INC Vitol environmental violation 2002 EPA $95,000
HOMESITE INSURANCE COMPANY American Family Insurance insurance violation 2016 VA-INS $94,986
New York Life New York Life Insurance wage and hour violation 2016 private lawsuit-federal $94,818
Zenith Insurance Co. Fairfax Financial Holdings insurance violation 2012 MO-INS $93,842
Lawyers Title Company Fidelity National Financial insurance violation 2018 UT-INS $93,500
NOBLE AMERICAS SOUTH BEND ETHANOL LLC Vitol environmental violation 2008 EPA $92,500
AXA Advisors, LLC AXA investor protection violation 2010 MO-SEC $92,015
Bristol West Casualty Insurance Company and Bristol West Insurance Company Zurich Insurance insurance violation 2020 VA-INS $91,872
ACADIA INSURANCE COMPANY ET AL W.R. Berkley insurance violation 2018 VA-INS $91,793
Hartford Life and Annuity Insurance Company Hartford Financial Services insurance violation 2012 NC-INS $91,500
Watson Wyatt & Co. Willis Towers Watson labor relations violation 2005 NLRB $91,000
UBS, Inc. UBS wage and hour violation 2013 WHD $90,902
UMPQUA BANK Umpqua Holdings banking violation 2008 FDIC $90,240
GOODRICH AVIATION TECHNICAL SERVICES INC Macquarie aviation safety violation 2005 FAA $90,000
Goldman Sachs Bank USA Goldman Sachs banking violation 2018 FED $90,000
John Alden Life Insurance Co. Assurant insurance violation 2013 AZ-INS $90,000
Farmers Insurance Exchange Farmers Insurance Exchange insurance violation 2020 MD-INS $90,000
Genworth Mortgage Insurance Corp. Genworth Financial insurance violation 2015 MN-FIN $90,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2014 NH-BSR $90,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 NH-BSR $90,000
United States Fire Insurance Company Fairfax Financial Holdings insurance violation 2013 NJ-DBI $90,000
National Interstate Insurance Company American Financial Group insurance violation 2015 NY-DFS $90,000
Cadaret Grant & Co. Inc. Atria Wealth Solutions investor protection violation 2019 PA-BKG $90,000
National Union Fire Insurance Company of Pittsburgh, PA American International Group insurance violation 2016 SC-INS $90,000
SCOR Global Life U.S. Re Insurance Company of Texas SCOR insurance violation 2011 TX-INS $90,000
Zurich American Insurance Company Zurich Insurance insurance violation 2015 TX-INS $90,000
American Home Assurance Company American International Group insurance violation 2015 TX-INS $90,000
Standard Fire Insurance Co. Travelers insurance violation 2015 MO-INS $89,000
New Hampshire Insurance Company American International Group insurance violation 2014 TX-INS $89,000
American Bankers Insurance Company of Florida Assurant insurance violation 2007 IN-INS $87,500
IMTT- BAYONNE LLC Macquarie workplace safety or health violation 2016 OSHA $87,297
Mid-Century Insurance Co. Zurich Insurance insurance violation 2015 MO-INS $87,000
United American Insurance Co. Globe Life Inc. insurance violation 2012 CO-INS $86,500
John Alden Life Insurance Co. Assurant insurance violation 2012 CO-INS $86,500
State Farm Fire & Casualty Co. State Farm Insurance insurance violation 2015 MO-INS $85,750
Safeco Insurance Company of America Liberty Mutual Insurance wage and hour violation 2009 WHD $85,353
Wilmington Savings Fund Society, Federal Savings Bank WSFS Financial Corp. banking violation 2019 OCC $85,265
Capital City Bank Capital City Bank Group banking violation 2007 FED $85,045
Credit Lyonnais Rouse Limited Credit Agricole investor protection violation 2005 CFTC $85,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2019 CA-MHC $85,000
American General Life Insurance Co. American International Group insurance violation 2019 DE-INS $85,000
American Alternative Insurance Corp. Munich Re insurance violation 2019 MO-INS $85,000
Hartford Fire Insurance Company Hartford Financial Services insurance violation 2011 TX-INS $85,000
United Services Automobile Association (USAA) USAA insurance violation 2017 VT-FIN $85,000
Federal Insurance Co. Chubb Limited insurance violation 2016 MO-INS $84,500
Ocwen Financial Corporation Ocwen Financial consumer protection violation 2019 ME-AG $84,000
Sentinel Insurance Co. Hartford Financial Services insurance violation 2019 CT-INS $84,000
Group Hospitalization & Medical Services, Inc. CareFirst of Maryland insurance violation 2012 MD-INS $83,200
Progressive Casualty Insurance Co. Progressive insurance violation 2018 MD-INS $81,520
Nationwide Insurance Company of America Nationwide insurance violation 2007 CO-INS $81,500
CMFG Life Insurance Co. CUNA Mutual insurance violation 2016 MO-INS $81,500
CitiFinancial, Inc. Citigroup consumer protection violation 2007 NE-DBF $81,500
Farmers Insurance Exchange Farmers Insurance Exchange insurance violation 2011 CO-INS $81,400
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