Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$20,847,113,321
Number of Records: 
756
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
Morgan Stanley$9,755,070,712124
Ocwen Financial$2,546,423,80428
Rabobank$1,220,536,2598
State Street Corp.$1,098,869,17417
Western Union$802,359,50812
Ally Financial$669,319,62315
ING$619,000,0003
TD Ameritrade$473,210,80010
American Express$359,868,54630
Ameriprise Financial$308,951,27248


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 Parentsort icon Primary Offense Type Year Agency Penalty Amount
USAA Life Insurance Company of New York USAA insurance violation 2016 NY-DFS $10,000
United Services Automobile Association USAA insurance violation 2018 OR-FIN $6,200
USAA General Indemnity Company USAA insurance violation 2018 OR-FIN $5,000
USAA General Indemnity Company USAA insurance violation 2016 RI-FIN $15,000
USAA Casualty Insurance Company USAA insurance violation 2019 RI-FIN $8,000
USAA Casualty Insurance Company USAA insurance violation 2020 RI-FIN $12,000
USAA Casualty Insurance Co. USAA insurance violation 2010 SC-INS $7,000
United Services Automobile Association USAA insurance violation 2011 SC-INS $8,000
United Services Automobile Association et al. USAA insurance violation 2018 TX-INS $40,000
United Services Automobile Association USAA insurance violation 2006 VA-INS $5,000
United Services Automobile Association USAA insurance violation 2007 VA-INS $6,000
UNITED SERVICES AUTOMOBILE ASSOCIATION ET AL. USAA insurance violation 2017 VA-INS $182,209
USAA CASUALTY INSURANCE CO ET AL. USAA insurance violation 2018 VA-INS $4,396,720
United Services Automobile Association (USAA) USAA insurance violation 2017 VT-FIN $85,000
Knight Securities, L.P. Virtu Financial investor protection violation 2004 SEC $66,500,000
KCG Americas LLC Virtu Financial investor protection violation 2015 SEC $1,055,197
Knight Capital Americas LLC Virtu Financial investor protection violation 2013 SEC $12,000,000
Knight Financial Products, LLC Virtu Financial investor protection violation 2009 SEC $2,040,000
Knight Securities, L.P. Virtu Financial investor protection violation 2002 SEC $75,000
Virtu Americas LLC Virtu Financial investor protection violation 2019 SEC $1,500,000
Visa Inc. Visa consumer protection violation 2018 NM-AG $2,270,000
Visa USA Inc. Visa price-fixing or anti-competitive practices 2008 WV-AG $6,400,000
Voya Financial Advisors, Inc. Voya Financial investor protection violation 2017 SEC $3,095,953
Voya Holdings Inc. Voya Financial investor protection violation 2018 SEC $3,600,000
ING Life Insurance and Annuity Co. Voya Financial benefit plan administrator violation 2013 EBSA $5,200,000
Voya Financial Advisors Inc. Voya Financial investor protection violation 2018 SEC $1,000,000
ING Life Insurance & Annuity Co. Voya Financial benefit plan administrator violation 2014 private lawsuit-federal $14,950,000
ING Groep N.V. Voya Financial benefit plan administrator violation 2013 private lawsuit-federal $3,500,000
ING Voya Financial investor protection violation 2006 MULTI-AG $33,000,000
ING Life Insurance and Annuity Company Voya Financial insurance violation 2013 MULTI-AG $10,700,000
ING USA Annuity and Life Insurance Co. Voya Financial insurance violation 2007 CO-INS $5,000
Voya Financial Advisors, Inc. fka ING Financial Partners, Inc. Voya Financial investor protection violation 2019 CT-SEC $1,015,000
Security Life of Denver Insurance Co. Voya Financial insurance violation 2016 FL-OFR $25,000
ING Financial Partners, Inc. Voya Financial investor protection violation 2008 IL-SEC $4,677,326
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
Voya Insurance and Annuity Co. et al. Voya Financial insurance violation 2014 MN-FIN $1,250,000
ReliaStar Life Insurance Co. Voya Financial insurance violation 2014 MN-FIN $30,000
ReliaStar Insurance Co. Voya Financial insurance violation 2017 MN-FIN $5,000
ING Life Insurance and Annuity Company Voya Financial investor protection violation 2006 NH-BSR $3,000,000
ING Life Insurance and Annuity Company Voya Financial insurance violation 2004 OR-FIN $10,000
Security Life of Denver Insurance Company Voya Financial insurance violation 2008 PA-INS $20,000
RELIASTAR LIFE INSURANCE CO Voya Financial insurance violation 2001 VA-INS $9,000
RELIASTAR LIFE INSURANCE CO. Voya Financial insurance violation 2007 VA-INS $8,000
Paymap Inc. Western Union consumer protection violation 2015 CFPB $38,400,000
Ruesch International, Inc. Western Union economic sanction violation 2004 OFAC $7,811
Western Union Company Western Union anti-money-laundering deficiencies 2017 DOJ_CRIMINAL $586,000,000
Western Union Financial Services, Inc. Western Union economic sanction violation 2019 OFAC $401,697
Western Union Co. Western Union consumer protection violation 2017 MULTI-AG $5,000,000
Western Union Financial Services Western Union consumer protection violation 2005 MULTI-AG $8,529,000
Western Union Financial Services, Inc. Western Union anti-money-laundering deficiencies 2010 MULTI-AG $94,000,000
Western Union Financial Services, Inc. Western Union consumer protection violation 2008 AZ-DFS $2,000,000
Western Union International Services LLC Western Union consumer protection violation 2019 FL-OFR $10,000
Western Union Financial Services, Inc. Western Union anti-money-laundering deficiencies 2002 NY-DFS $8,000,000
Western Union Western Union anti-money-laundering deficiencies 2018 NY-DFS $60,000,000
WESTERN UNION Western Union workplace safety or health violation 2015 OSHA $11,000
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