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 Typesort icon Year Agency Penalty Amount
AXA Art Insurance Corporation AXA insurance violation 2015 NY-DFS $70,000
Bankers Conseco Life Insurance Company CNO Financial insurance violation 2015 NY-DFS $10,270
Metropolitan Group Property and Casualty Insurance Company MetLife insurance violation 2015 NY-DFS $30,000
Erie Insurance Company of New York Erie Indemnity insurance violation 2015 NY-DFS $21,000
Nationwide Property & Casualty Insurance Company Nationwide insurance violation 2015 NY-DFS $7,000
National Interstate Insurance Company American Financial Group insurance violation 2015 NY-DFS $90,000
Allstate Fire and Casualty Insurance Company Allstate insurance violation 2016 NY-DFS $50,000
HealthNow New York Inc. Highmark Inc. insurance violation 2016 NY-DFS $750,000
Athene Life Insurance Company of New York Athene Holding insurance violation 2016 NY-DFS $142,193
Hartford Life Insurance Company Hartford Financial Services insurance violation 2016 NY-DFS $50,000
TIAA-CREF Life Insurance Company TIAA insurance violation 2016 NY-DFS $29,325
USAA Life Insurance Company of New York USAA insurance violation 2016 NY-DFS $10,000
TIAA-CREF Life Insurance Company TIAA insurance violation 2016 NY-DFS $139,940
Companion Life Insurance Company BlueCross BlueShield of South Carolina insurance violation 2016 NY-DFS $146,485
Hartford Casualty Insurance Company Hartford Financial Services insurance violation 2016 NY-DFS $15,000
Guardian Life Insurance Company of America Guardian Life Insurance insurance violation 2016 NY-DFS $50,000
BCS Insurance Company BCS Financial Corporation insurance violation 2016 NY-DFS $100,000
Combined Life Insurance Company of New York Chubb Limited insurance violation 2017 NY-DFS $23,740
Globe Life Insurance Company of New York Globe Life Inc. insurance violation 2017 NY-DFS $538,375
United States Life Insurance Company in the City of New York American International Group insurance violation 2017 NY-DFS $873,918
Variable Annuity Life Insurance Company American International Group insurance violation 2017 NY-DFS $25,000
Lincoln Financial Group Lincoln National insurance violation 2017 NY-DFS $52,200,000
John Hancock Life Insurance Company of New York Manulife Financial insurance violation 2017 NY-DFS $73,000
Tokio Marine Kiln Syndicates Limited and Beazley Furlonge Limited Tokio Marine insurance violation 2017 NY-DFS $920,000
Amica Mutual Insurance Company Amica Mutual Insurance insurance violation 2018 NY-DFS $20,000
QBE Insurance Corp. QBE Insurance insurance violation 2018 NY-DFS $750,000
AIG Claims Inc. American International Group insurance violation 2018 NY-DFS $177,500
J P Morgan Securities LLC JPMorgan Chase insurance violation 2018 NY-DFS $11,750
Marsh USA Inc Marsh & McLennan insurance violation 2018 NY-DFS $12,950
Chubb Ltd. Chubb Limited insurance violation 2018 NY-DFS $1,300,000
Athene Life Insurance Company of New York Athene Holding insurance violation 2018 NY-DFS $15,000,000
American Family Life Assurance Company of New York (AFLAC) Aflac insurance violation 2018 NY-DFS $1,138,368
Transamerica Financial Life Insurance Company Aegon insurance violation 2018 NY-DFS $1,345,136
Sentinel Insurance Company Hartford Financial Services insurance violation 2018 NY-DFS $1,816,596
Selective Insurance Companies Selective Insurance Group insurance violation 2018 NY-DFS $4,666,268
HealthNow New York, Inc. Highmark Inc. insurance violation 2018 NY-DFS $118,583
National Integrity Life Insurance Company Western & Southern Financial Group insurance violation 2018 NY-DFS $240,000
Oscar Insurance Corp. Mulberry Health insurance violation 2018 NY-DFS $576,950
Arch Insurance Company Arch Capital insurance violation 2019 NY-DFS $5,000,000
National Union Fire Insurance Company American International Group insurance violation 2019 NY-DFS $5,200,000
Globe Life Insurance Company of New York Globe Life Inc. insurance violation 2019 NY-DFS $7,769,000
MetLife Insurance Company MetLife insurance violation 2019 NY-DFS $208,750,000
Mercury Casualty Company Mercury General Corporation insurance violation 2019 NY-DFS $31,000
Mid-Century Insurance Company Zurich Insurance insurance violation 2019 NY-DFS $50,000
Titan Insurance Company Nationwide insurance violation 2019 NY-DFS $149,300
Bankers Conseco Life Insurance CNO Financial insurance violation 2019 NY-DFS $27,900
Companion Life Insurance Co. BlueCross BlueShield of South Carolina insurance violation 2019 NY-DFS $648,122
The Guardian Insurance & Annuity Company, Inc. Guardian Life Insurance insurance violation 2019 NY-DFS $442,589
Northwestern Mutual Life Insurance Co. Northwestern Mutual insurance violation 2019 NY-DFS $57,937
The Penn Mutual Life Insurance Co. Penn Mutual insurance violation 2019 NY-DFS $455,584
The Prudential Insurance Company of America Prudential Financial insurance violation 2019 NY-DFS $49,020
The United States Life Insurance Company American International Group insurance violation 2019 NY-DFS $171,902
Asurion Insurance Services, Inc. and Asurion Protection Services LLC Asurion insurance violation 2020 NY-DFS $4,000,000
Lincoln Life & Annuity Company of New York Lincoln National insurance violation 2020 NY-DFS $193,166
MassMutual Life Insurance Company Massachusetts Mutual Life Insurance insurance violation 2020 NY-DFS $1,399,708
Pacific Life & Annuity Company Pacific Life insurance violation 2020 NY-DFS $425,533
Athene Holding Ltd. Athene Holding insurance violation 2020 NY-DFS $45,000,000
Nationwide Mutual Insurance Company Nationwide insurance violation 2000 OR-FIN $10,000
Equitable Life and Casualty Insurance Company Equitable Holdings insurance violation 2002 OR-FIN $25,000
Fortis Insurance Company Assurant insurance violation 2002 OR-FIN $42,500
LifeWise, A Premera Health Plan, Inc. Premera Blue Cross insurance violation 2002 OR-FIN $5,000
Great American Life Insurance Company American Financial Group insurance violation 2002 OR-FIN $10,000
American Bankers Insurance Company of Florida Assurant insurance violation 2002 OR-FIN $30,000
AIU Insurance Company American International Group insurance violation 2002 OR-FIN $10,000
Jackson National Life Insurance Company Prudential (UK) insurance violation 2002 OR-FIN $10,000
Globe Life And Accident Insurance Compan Globe Life Inc. insurance violation 2002 OR-FIN $5,000
American Family Mutual Insurance Company American Family Insurance insurance violation 2003 OR-FIN $10,000
Conseco Life Insurance Company CNO Financial insurance violation 2003 OR-FIN $8,300
Fortis Insurance Company Assurant insurance violation 2003 OR-FIN $20,000
Combined Insurance Company of America Chubb Limited insurance violation 2004 OR-FIN $10,000
ING Life Insurance and Annuity Company Voya Financial insurance violation 2004 OR-FIN $10,000
United of Omaha Life Insurance Company Mutual of Omaha insurance violation 2005 OR-FIN $25,000
Farmers Insurance Company of Oregon Zurich Insurance insurance violation 2005 OR-FIN $11,000
Great American Insurance Company of New York American Financial Group insurance violation 2005 OR-FIN $5,000
Progressive Classic Insurance Company Progressive insurance violation 2005 OR-FIN $8,000
Marsh USA, Inc. Marsh & McLennan insurance violation 2005 OR-FIN $75,000
Ameritas Life Insurance Corp. Ameritas Mutual Holding Company insurance violation 2006 OR-FIN $5,000
Hartford Life and Accident Insurance Company Hartford Financial Services insurance violation 2006 OR-FIN $17,500
Combined Insurance Company of America Chubb Limited insurance violation 2006 OR-FIN $9,000
LifeWise Health Plan of Oregon Inc. Premera Blue Cross insurance violation 2006 OR-FIN $20,000
ACE American Reinsurance Company Chubb Limited insurance violation 2006 OR-FIN $8,300
AIG Life Insurance Company American International Group insurance violation 2006 OR-FIN $10,000
National Union Fire Insurance Company of Pittsburgh, PA American International Group insurance violation 2006 OR-FIN $30,000
United States Life Insurance Company in the City of New York American International Group insurance violation 2006 OR-FIN $20,000
Progressive Northern Insurance Company Progressive insurance violation 2006 OR-FIN $10,000
John Alden Life Insurance Company Assurant insurance violation 2007 OR-FIN $10,000
Time Insurance Company Haven Holdings insurance violation 2007 OR-FIN $60,000
Farmers Insurance Company of Oregon Zurich Insurance insurance violation 2007 OR-FIN $20,000
Mid-Century Insurance Company Zurich Insurance insurance violation 2007 OR-FIN $20,000
Reliance Standard Life Insurance Company Tokio Marine insurance violation 2007 OR-FIN $10,000
ACE American Insurance Company Chubb Limited insurance violation 2007 OR-FIN $15,000
AIU Insurance Company et al. American International Group insurance violation 2007 OR-FIN $1,000,000
Ticor Title Insurance Company Fidelity National Financial insurance violation 2007 OR-FIN $6,000
Nationwide Mutual Insurance Company Nationwide insurance violation 2007 OR-FIN $10,000
AIG Casualty Company American International Group insurance violation 2007 OR-FIN $7,500
American Home Assurance Company American International Group insurance violation 2007 OR-FIN $10,000
Commerce and Industry Insurance Company American International Group insurance violation 2007 OR-FIN $10,000
Granite State Insurance Company American International Group insurance violation 2007 OR-FIN $5,000
The Insurance Company of the State of Pennsylvania American International Group insurance violation 2007 OR-FIN $10,000
Reliance Standard Life Insurance Company Tokio Marine insurance violation 2007 OR-FIN $5,000
Farmers Insurance Company of Oregon Zurich Insurance insurance violation 2007 OR-FIN $10,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)