Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$331,558,339,161
Number of Records: 
6,166
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$82,764,013,078219
JPMorgan Chase$35,819,302,225162
Citigroup$25,454,366,764125
Wells Fargo$21,358,750,745184
Deutsche Bank$18,286,625,30261
UBS$16,792,860,91083
Goldman Sachs$16,365,468,98744
Royal Bank of Scotland$13,473,904,00028
BNP Paribas$12,132,582,95017
Credit Suisse$10,410,557,62632


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.
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
Company Parent Primary Offense Type Yearsort icon Agency Penalty Amount
Bank of America Bank of America mortgage abuses 2012 MULTI-AG (*) $2,382,415,075
Bear Stearns JPMorgan Chase investor protection violation 2012 MI-AG $275,000,000
Citigroup Citigroup mortgage abuses 2012 MULTI-AG (*) $413,041,577
E*Trade Morgan Stanley price-fixing or anti-competitive practices 2012 MULTI-AG $100,000
Encompass Insurance Company of Massachusetts Allstate consumer protection violation 2012 MA-AG $1,972,635
JPMorgan Chase JPMorgan Chase mortgage abuses 2012 MULTI-AG (*) $1,121,188,661
Lender Processing Services, Inc. Fidelity National Financial mortgage abuses 2012 CO-AG $1,800,000
Lender Processing Services, Inc. Fidelity National Financial mortgage abuses 2012 DE-AG $250,000
Lender Processing Services, Inc. Fidelity National Financial mortgage abuses 2012 MO-AG $2,000,000
MetLife MetLife insurance violation 2012 MULTI-AG $40,000,000
Metropolitan Life Insurance Co. MetLife privacy violation 2012 CT-AG $10,000
Metropolitan Property and Casualty Insurance Co. MetLife consumer protection violation 2012 MA-AG $395,000
Midland Funding, LLC Encore Capital Group consumer protection violation 2012 MN-AG $500,000
Nationwide Mutual Insurance Company Nationwide insurance violation 2012 MULTI-AG $7,200,000
Prudential Insurance Company of America Prudential Financial insurance violation 2012 MULTI-AG $17,000,000
RBS Financial Products Royal Bank of Scotland toxic securities abuses 2012 NV-AG $42,000,000
Wells Fargo Wells Fargo mortgage abuses 2012 MULTI-AG (*) $1,005,233,716
Wells Fargo Wells Fargo mortgage abuses 2012 MD-AG $940,056
German American Bancorp German American Bancorp banking violation 2012 FDIC $15,000
Capmark Bank Capmark Bank banking violation 2012 FDIC $8,500
HSBC Holdings plc HSBC economic sanction violation 2012 NY-MANDA (*) $187,500,000
Standard Chartered Bank Standard Chartered economic sanction violation 2012 NY-MANDA (*) $113,500,000
ING Bank, NV ING economic sanction violation 2012 NY-MANDA (*) $309,500,000
Brown & Brown of Washington, Inc. Brown & Brown insurance violation 2012 AK-INS $30,000
Next Financial Group, Inc. Atria Wealth Solutions investor protection violation 2012 AL-SEC $60,000
Morgan Keegan & Co. Raymond James Financial investor protection violation 2012 AR-SEC $59,659
Accident Fund Insurance Company of America AF Group insurance violation 2012 AZ-INS $5,000
Infinity Insurance Co. Kemper insurance violation 2012 AZ-INS $38,000
Safeco Insurance Company of America Liberty Mutual Insurance insurance violation 2012 AZ-INS $30,000
Midland Credit Management, Inc. Encore Capital Group consumer protection violation 2012 AZ-DFS $750,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2012 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2012 CA-MHC $5,000
First Mercury Insurance Co. Fairfax Financial Holdings insurance violation 2012 CA-INS $330,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2012 CA-MHC $7,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2012 CA-MHC $5,000
Travelers Companies Travelers insurance violation 2012 CA-INS $10,500,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2012 CA-MHC $5,000
New Hampshire Insurance Co. American International Group insurance violation 2012 CA-INS $142,500
Blue Shield of California Promise Health Plan California Physicians' Service insurance violation 2012 CA-MHC $50,000
Farmers Insurance Exchange Farmers Insurance Exchange insurance violation 2012 CO-INS $218,000
United American Insurance Co. Globe Life Inc. insurance violation 2012 CO-INS $86,500
Transamerica Life Insurance Co. Aegon insurance violation 2012 CO-INS $6,270
John Alden Life Insurance Co. Assurant insurance violation 2012 CO-INS $86,500
Stewart Title Guaranty Co. Stewart Information Services insurance violation 2012 CO-INS $70,400
North River Insurance Co. Fairfax Financial Holdings insurance violation 2012 CO-INS $62,700
United States Fire Insurance Co. Fairfax Financial Holdings insurance violation 2012 CO-INS $111,500
Prosper Marketplace, Inc. Prosper Marketplace investor protection violation 2012 CT-SEC $40,000
MetLife Securities, Inc. MetLife investor protection violation 2012 DC-DISB $25,000
AllianceBernstein L.P. Equitable Holdings investor protection violation 2012 DE-SEC $20,000
State Farm Fire & Casualty Co. State Farm Insurance insurance violation 2012 DE-INS $150,000
Saxon Mortgage Services, Inc. Morgan Stanley consumer protection violation 2012 FL-OFR $15,000
LendingClub Corp. LendingClub Corp. investor protection violation 2012 FL-OFR $100,000
State Farm Life Insurance Co. State Farm Insurance insurance violation 2012 FL-OFR $10,500
Pacific Life Insurance Co. Pacific Life insurance violation 2012 FL-OFR $10,500
Metropolitan Life Insurance Co. MetLife insurance violation 2012 FL-OFR $103,000
Merrill Lynch Pierce Fenner & Smith Inc. Bank of America investor protection violation 2012 IL-SEC $25,930,000
PHH Mortgage Corp. Ocwen Financial mortgage abuses 2012 IL-BKG $150,000
Allied Home Mortgage Corp. Americus Mortgage consumer protection violation 2012 IL-BKG $7,500
Southwest Securities, Inc. Hilltop Holdings investor protection violation 2012 IL-SEC $7,500
North Pointe Insurance Co. QBE Insurance insurance violation 2012 IN-INS $75,575
Morgan Stanley & Co. Inc. Morgan Stanley investor protection violation 2012 IN-SEC $210,000
Mid-Century Insurance Co. Zurich Insurance insurance violation 2012 IN-INS $5,000
Time Insurance Co. and John Alden Life Insurance Co. and Union Securitiy Insurance Co. Haven Holdings insurance violation 2012 IN-INS $2,950,000
Globe Life & Accident Insurance Co. Globe Life Inc. insurance violation 2012 KS-INS $17,250
Continental Western Insurance Co. W.R. Berkley insurance violation 2012 KS-INS $6,000
Safeco Insurance Company of America Liberty Mutual Insurance insurance violation 2012 KS-INS $5,000
State Street Global Advisors State Street Corp. investor protection violation 2012 MA-SEC $5,000,000
RBC Capital Markets, LLC Royal Bank of Canada investor protection violation 2012 MA-SEC $250,000
Citigroup Global Markets Inc. Citigroup investor protection violation 2012 MA-SEC $2,000,000
Morgan Stanley & Co. LLC Morgan Stanley investor protection violation 2012 MA-SEC $5,000,000
CareFirst BlueChoice, Inc. CareFirst of Maryland insurance violation 2012 MD-INS $6,168,545
American Family Life Assurance Company of Columbus Aflac insurance violation 2012 MD-INS $200,000
Metropolitan Life Insurance Co. MetLife insurance violation 2012 MD-INS $11,400
Unum Life Insurance Company of America Unum insurance violation 2012 MD-INS $19,000
Wells Fargo Advisors LLC Wells Fargo investor protection violation 2012 MD-SEC $50,000
Group Hospitalization & Medical Services, Inc. CareFirst of Maryland insurance violation 2012 MD-INS $6,500
Metropolitan Life Insurance Co. MetLife insurance violation 2012 MD-INS $175,000
Carefirst of Maryland, Inc. CareFirst of Maryland insurance violation 2012 MD-INS $22,000
Carefirst of Maryland, Inc. CareFirst of Maryland insurance violation 2012 MD-INS $5,000
Thrivent Financial For Lutherans Thrivent Financial insurance violation 2012 MD-INS $8,000
Carefirst of Maryland, Inc. CareFirst of Maryland insurance violation 2012 MD-INS $164,000
Group Hospitalization & Medical Services, Inc. CareFirst of Maryland insurance violation 2012 MD-INS $83,200
CareFirst BlueChoice, Inc. CareFirst of Maryland insurance violation 2012 MD-INS $130,700
Carefirst of Maryland, Inc. CareFirst of Maryland insurance violation 2012 MD-INS $5,000
Carefirst of Maryland, Inc. CareFirst of Maryland insurance violation 2012 MD-INS $5,000
Group Hospitalization & Medical Services, Inc. CareFirst of Maryland insurance violation 2012 MD-INS $5,300
CareFirst BlueChoice, Inc. CareFirst of Maryland insurance violation 2012 MD-INS $7,800
Carefirst of Maryland, Inc. CareFirst of Maryland insurance violation 2012 MD-INS $8,750
The United States Life Insurance Company In the City of New York American International Group insurance violation 2012 MD-INS $75,000
Erie Insurance Exchange Erie Indemnity insurance violation 2012 MD-INS $50,000
Metropolitan Life Insurance Co. MetLife insurance violation 2012 MD-INS $5,000
Bankers Life and Casualty Co. CNO Financial insurance violation 2012 MD-INS $15,000
Carefirst of Maryland, Inc. CareFirst of Maryland insurance violation 2012 MD-INS $30,000
National Union Fire Insurance Company of Pittsburgh, Pa. American International Group insurance violation 2012 MN-FIN $2,731,385
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
John Hancock Life Insurance Co. (USA) et al. Manulife Financial insurance violation 2012 MN-FIN $200,000
MetLife Investors USA Insurance Co. et al. MetLife insurance violation 2012 MN-FIN $200,000
Prudential Insurance Company of America Prudential Financial insurance violation 2012 MN-FIN $200,000
State Farm Fire and Casualty Co. State Farm Insurance insurance violation 2012 MN-FIN $5,000
Metropolitan Property and Casualty Insurance Co. MetLife insurance violation 2012 MN-FIN $10,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)