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 Parentsort icon Primary Offense Type Year Agency Penalty Amount
American Heritage Life Insurance Co. Allstate insurance violation 2011 FL-OFR $28,000
Allstate Insurance Company Allstate insurance violation 2003 IN-INS $12,220
Allstate Fire and Casualty Co. Allstate insurance violation 2014 KS-INS $10,000
Allstate Life Insurance Company Allstate insurance violation 2004 MA-INS $25,000
Allstate Indemnity Co. et al. Allstate insurance violation 2010 MD-INS $10,000
Allstate Insurance Co. and Allstate Indemnity Co. Allstate insurance violation 2011 MD-INS $40,000
Allstate Insurance Co. and Allstate Indemnity Co. Allstate insurance violation 2011 MD-INS $40,000
Allstate Insurance Co. Allstate insurance violation 2013 MD-INS $17,954
Allstate Indemnity Co. et al. Allstate insurance violation 2013 MD-INS $18,000
Allstate Indemnity Co. Allstate insurance violation 2014 MD-INS $5,000
Encompass Home and Auto Insurance Co. Allstate insurance violation 2014 MD-INS $7,500
Allstate Insurance Co. Allstate insurance violation 2015 MD-INS $5,000
Allstate Insurance Co. Allstate insurance violation 2017 MD-INS $18,000
Allstate Indemnity Co. Allstate insurance violation 2017 MD-INS $25,000
Allstate Insurance Co. Allstate insurance violation 2018 MD-INS $32,500
Allstate Insurance Co. Allstate insurance violation 2001 MN-FIN $10,000
Allstate Indemnity Insurance Co. Allstate insurance violation 2010 MN-FIN $9,000
Allstate Insurance Co. Allstate insurance violation 2012 MN-FIN $5,000
Allstate Insurance Co. Allstate insurance violation 2014 MN-FIN $10,000
Esurance Property and Casualty Insurance Co. Allstate insurance violation 2015 MN-FIN $60,000
Allstate Insurance Co. Allstate insurance violation 2016 MN-FIN $5,000
Esurance Property and Casualty Co. and Esurance Insurance Co. Allstate insurance violation 2019 MN-FIN $35,000
Allstate Insurance Co. and Encompass Indemnity Co. et al. Allstate insurance violation 2019 MN-FIN $75,000
Allstate Insurance Co. Allstate insurance violation 2006 MO-INS $60,000
Allstate Insurance Co. et al. Allstate insurance violation 2008 MO-INS $9,483
Allstate Fire and Casualty Insurance Co. et al. Allstate insurance violation 2017 MT-INS $10,000
Allstate Insurance Company Allstate insurance violation 2010 NC-INS $680,718
Allstate Life Insurance Co. Allstate insurance violation 2004 NJ-DBI $15,000
Allstate New Jersey Insurance Company Allstate insurance violation 2009 NJ-DBI $5,000
Allstate Life Insurance Company of New York Allstate insurance violation 2007 NY-DFS $18,250,000
Encompass Indemnity Company Allstate insurance violation 2014 NY-DFS $40,100
Allstate Fire and Casualty Insurance Company Allstate insurance violation 2016 NY-DFS $50,000
Allstate Insurance Company Allstate insurance violation 2013 OR-FIN $50,000
Allstate Life Insurance Company Allstate insurance violation 2004 PA-INS $25,000
Allstate Insurance Company Allstate insurance violation 2009 RI-FIN $5,000
Allstate Property & Casualty Insurance Company Allstate insurance violation 2012 RI-FIN $8,000
Allstate Insurance Company Allstate insurance violation 2016 RI-FIN $10,000
Allstate Insurance Company Allstate insurance violation 2017 RI-FIN $103,414
Esurance Property and Casualty Insurance Company Allstate insurance violation 2018 RI-FIN $233,963
Allstate Fire & Casualty Insurance Company Allstate insurance violation 2018 RI-FIN $60,000
Allstate Vehicle and Property Insurance Company Allstate insurance violation 2018 SC-INS $10,000
Allstate Texas Lloyd's Allstate insurance violation 2008 TX-INS $71,300,000
Allstate Insurance Company Allstate insurance violation 2010 TX-INS $879,510
Esurance Property and Casualty Insurance Company Allstate insurance violation 2018 TX-INS $12,500
Allstate Indemnity Company Allstate insurance violation 2018 UT-INS $5,000
ALLSTATE INSURANCE COMPANY Allstate insurance violation 2002 VA-INS $10,000
AMERICAN HERITAGE LIFE INSURANCE CO Allstate insurance violation 2002 VA-INS $15,000
ALLSTATE INSURANCE & ALLSTATE INDEMNITY CO Allstate insurance violation 2003 VA-INS $31,300
ALLSTATE INSURANCE CO., ET AL. Allstate insurance violation 2003 VA-INS $50,000
ALLSTATE LIFE INSURANCE CO. Allstate insurance violation 2005 VA-INS $5,000
AMERICAN HERITAGE LIFE INSURANCE CO Allstate insurance violation 2006 VA-INS $18,000
Allstate Insurance Company and Allstate Indemnity Company Allstate insurance violation 2007 VA-INS $8,000
ALLSTATE FIRE & CASUALTY ET AL Allstate insurance violation 2009 VA-INS $36,000
ESURANCE INSURANCE COMPANY Allstate insurance violation 2009 VA-INS $20,000
ALLSTATE INSURANCE COMPANY Allstate insurance violation 2010 VA-INS $15,000
ALLSTATE INSURANCE COMPANY Allstate insurance violation 2013 VA-INS $5,000
ALLSTATE INSURANCE COMPANY Allstate insurance violation 2015 VA-INS $197,201
ESURANCE INSURANCE COMPANY Allstate insurance violation 2015 VA-INS $50,508
Allstate Insurance Company Allstate insurance violation 2011 WA-INS $50,000
Allstate Fire & Casualty Insurance Company Allstate insurance violation 2013 WA-INS $15,000
Allstate Indemnity Company et al. Allstate insurance violation 2015 WA-INS $10,000
Allstate Financial Services, Inc. Allstate consumer protection violation 2003 WA-FIN $58,988
Allstate Allstate insurance violation 2010 MULTI-FIN $10,000,000
Allstate Life Insurance Company Allstate insurance violation 2018 MULTI-FIN $150,000
ALLSTATE Allstate workplace safety or health violation 2002 OSHA $69,500
Ally Financial Inc. and Ally Bank Ally Financial consumer protection violation 2013 CFPB $98,000,000
Ally Financial Inc. Ally Financial banking violation 2012 FED $207,000,000
Ally Financial Inc. (formerly GMAC) Ally Financial mortgage abuses 2012 DOJ $309,600,000
Ally Financial Inc. Ally Financial toxic securities abuses 2016 USAO $52,000,000
GMAC Mortgage Ally Financial wage and hour violation 2014 private lawsuit-federal $2,000,000
Ally Financial Services Ally Financial wage and hour violation 2019 WHD $198,311
Ally Financial Ally Financial mortgage abuses 2012 MULTI-AG (*) $109,628,425
GMAC Bank Ally Financial consumer protection violation 2008 NY-AG $200,000
Ally Financial Inc Ally Financial wage and hour violation 2017 WHD $34,169
Ally Financial, LLC Ally Financial wage and hour violation 2017 WHD $164,143
GMAC Mortgage, LLC dba Ditech Ally Financial consumer protection violation 2011 AZ-DFS $7,500
GMAC Mortgage, LLC Ally Financial consumer protection violation 2011 AZ-DFS $7,500
GMAC Mortgage, LLC Ally Financial consumer protection violation 2010 IL-BKG $50,000
GMAC Mortgage, LLC dba Ditech Ally Financial consumer protection violation 2013 IL-BKG $15,000
GMAC Mortgage LLC dba Ditech Ally Financial consumer protection violation 2010 PA-BKG $43,000
Nationwide Credit, Inc. Altisource Portfolio Solutions wage and hour violation 2005 WHD $68,433
Ambac Financial Group et al. Ambac Financial toxic securities abuses 2013 USAO $101,900,000
Ambac Financial Group, Inc. Ambac Financial benefit plan administrator violation 2012 private lawsuit-federal $2,550,000
American Express American Express consumer protection violation 2013 CFPB $69,100,000
American Express American Express consumer protection violation 2012 CFPB $99,100,000
American Express Centurion Bank American Express banking violation 2013 FDIC $3,600,000
American Express Centurion Bank American Express banking violation 2012 FDIC $3,900,000
American Express Bank, FSB American Express banking violation 2013 OCC $7,500,000
American Express Bank, FSB American Express banking violation 2012 OCC $6,500,000
AMERICAN EXPRESS COMPANY American Express banking violation 2012 FED $9,000,000
American Express Centurion Bank American Express banking violation 2009 FDIC $250,000
American Express Bank International American Express anti-money-laundering deficiencies 2007 DOJ_CRIMINAL $55,000,000
American Express Travel Related Services Co., Inc. American Express economic sanction violation 2007 OFAC $16,625
American Express American Express economic sanction violation 2004 OFAC $18,391
American Express Bank Ltd. American Express economic sanction violation 2004 OFAC $5,041
American Express Company American Express economic sanction violation 2004 OFAC $5,500
American Express Travel Related Services Comp American Express Family and Medical Leave Act 2004 WHD $26,722
American Express American Express consumer protection violation 2017 CFPB $96,000,000
American Express American Express economic sanction violation 2017 OFAC $204,277
American Express Centurion Bank American Express tax violations 2012 CT-AG $14,970
American Express Co. American Express consumer protection violation 2003 NY-AG $3,285,000
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