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Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$332,924,888,663
Number of Records: 
6,731
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$82,885,116,051259
JPMorgan Chase$35,851,377,155190
Citigroup$25,535,002,360154
Wells Fargo$21,428,596,719217
Deutsche Bank$18,341,457,30276
UBS$16,845,624,16097
Goldman Sachs$16,381,931,83964
NatWest Group PLC$13,477,129,00031
BNP Paribas$12,147,863,95019
Credit Suisse$10,447,392,62644


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
First American Title Insurance Company First American Financial consumer protection violation 2002 CA-AG $7,000,000
First USA JPMorgan Chase consumer protection violation 2002 MULTI-AG $1,300,000
Goldman Sachs Goldman Sachs investor protection violation 2002 MULTI-AG (*) $110,000,000
Household Finance Corp. HSBC mortgage abuses 2002 MULTI-AG $484,000,000
J.P. Morgan Chase & Co. JPMorgan Chase investor protection violation 2002 MULTI-AG (*) $80,000,000
Lehman Brothers Inc. Lehman Brothers investor protection violation 2002 MULTI-AG (*) $80,000,000
Merrill Lynch Bank of America investor protection violation 2002 DE-AG $500,000
Merrill Lynch Bank of America investor protection violation 2002 NY-AG $100,000,000
Merrill Lynch & Co. Inc. Bank of America investor protection violation 2002 MULTI-AG (*) $100,000,000
Morgan Stanley Morgan Stanley investor protection violation 2002 MULTI-AG (*) $125,000,000
Mutual of Omaha Mutual of Omaha consumer protection violation 2002 NY-AG $10,000
PayPal PayPal Holdings consumer protection violation 2002 NY-AG $200,000
PNC Bank PNC Financial Services privacy violation 2002 KY-AG $5,000
Salomon Smith Barney Inc. Morgan Stanley investor protection violation 2002 MULTI-AG (*) $400,000,000
Stewart Title Company of California Stewart Information Services consumer protection violation 2002 CA-AG $2,500,000
UBS Warburg LLC UBS investor protection violation 2002 MULTI-AG (*) $80,000,000
Old Republic Title Co. Old Republic International consumer protection violation 2002 CA-MULTI $5,096,963
H&R Block H&R Block consumer protection violation 2002 NY-NYCDCWP $4,000,000
Principal Life Insurance Co. Principal Financial insurance violation 2002 AK-INS $16,095
Aon Risk Services Inc. of Washington Aon insurance violation 2002 AK-INS $5,000
Household Finance Corp. of California and Beneficial California, Inc. HSBC mortgage abuses 2002 CA-DFPI $8,900,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2002 CA-MHC $5,000
Harleysville Mutual Insurance Co. Nationwide insurance violation 2002 CA-INS $200,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2002 CA-MHC $5,000
American International Group et al. American International Group insurance violation 2002 CA-INS $411,500
Principal Life Insurance Co. Principal Financial insurance violation 2002 FL-OFR $6,500
Wausau Underwriters Insurance Co. Liberty Mutual Insurance insurance violation 2002 FL-OFR $53,000
Fireman' Fund Insurance Co. Allianz insurance violation 2002 FL-OFR $13,850
Progressive Express Insurance Co. et al. Progressive insurance violation 2002 FL-OFR $5,750,000
New Hampshire Insurance Co. American International Group insurance violation 2002 FL-OFR $5,400
Zurich American Insurance Co. Zurich Insurance insurance violation 2002 FL-OFR $44,500
American Guarantee and Liability Insurance Co. Zurich Insurance insurance violation 2002 FL-OFR $10,850
Allstate Financial Services, LLC Allstate investor protection violation 2002 FL-OFR $21,300
Security National Insurance Co. Zurich Insurance insurance violation 2002 FL-OFR $31,500
ACE Cash Express, Inc. dba ACE America's Cash Express ACE Cash Express consumer protection violation 2002 FL-OFR $500,000
Conseco Finance Servicing Corp. CNO Financial consumer protection violation 2002 KS-BKG $7,275,000
Bank of Louisville Truist Financial investor protection violation 2002 KY-INS $27,000,000
New Hampshire Insurance Company American International Group insurance violation 2002 MA-INS $639,576
Insurance Company of the State of PA American International Group insurance violation 2002 MA-INS $124,532
AIU Insurance Company American International Group insurance violation 2002 MA-INS $365,615
American Home Assurance Company American International Group insurance violation 2002 MA-INS $64,546
Fireman's Fund Insurance Company Allianz insurance violation 2002 MA-INS $20,000
Travelers Insurance Company Travelers insurance violation 2002 MA-INS $8,600
Zurich Direct Zurich Insurance insurance violation 2002 MA-INS $6,000
Zurich Life Insurance Company of America Zurich Insurance insurance violation 2002 MA-INS $12,000
Harleysville Worcester Insurance Company Nationwide insurance violation 2002 MA-INS $6,000
Valley Forge Life Insurance Company Prudential (UK) insurance violation 2002 MA-INS $24,500
Ace Cash Express Inc. ACE Cash Express consumer protection violation 2002 MD-FIN $164,000
Fortis Insurance Co. and John Alden Life Insurance Co. Assurant insurance violation 2002 MN-FIN $10,000
American Express Financial Advisors, Inc. Ameriprise Financial investor protection violation 2002 MN-FIN $5,000
Metropolitan Property and Casualty Insurance Co. Zurich Insurance insurance violation 2002 MN-FIN $7,500
American Family Mutual Insurance Co. American Family Insurance insurance violation 2002 MN-FIN $5,000
Austin Mutual Insurance Co. and Northern Mutual Insurance Co. American Family Insurance insurance violation 2002 MN-FIN $12,500
Travelers Indemnity Co. Travelers insurance violation 2002 MN-FIN $5,000
Harleysville Insurance Co. Nationwide insurance violation 2002 MN-FIN $80,000
Illinois Union Insurance Co. Chubb Limited insurance violation 2002 MN-FIN $5,000
American Family Mutual Insurance Co. American Family Insurance insurance violation 2002 MN-FIN $10,000
Chubb Indemnity Insurance Co. Chubb Limited insurance violation 2002 MN-FIN $5,000
Fortis Insurance Co. and John Alden Life Insurance Co. Assurant insurance violation 2002 MN-FIN $75,000
American Income Life Insurance Co. Globe Life Inc. insurance violation 2002 MS-INS $50,000
Trumbull Insurance Co. Hartford Financial Services insurance violation 2002 MT-INS $5,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler investor protection violation 2002 NE-DBF $5,000
Merrill Lynch Bank of America investor protection violation 2002 NH-BSR $500,000
USAA USAA insurance violation 2002 OH-INS $30,000
Western Union Financial Services, Inc. Western Union anti-money-laundering deficiencies 2002 NY-DFS $8,000,000
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 Massachusetts Mutual Life Insurance 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
Farmers Insurance Group Zurich Insurance insurance violation 2002 TX-INS $15,000,000
NEW YORK LIFE INSURANCE CO New York Life Insurance insurance violation 2002 VA-INS $13,500
UNITED AMERICAN INSURANCE CO. Globe Life Inc. insurance violation 2002 VA-INS $10,000
FIDELITY & GUARANTY LIFE INSURANCE Fidelity National Financial insurance violation 2002 VA-INS $15,000
AMERICAN NATIONAL INSURANCE CO. et al. American National Insurance insurance violation 2002 VA-INS $103,200
AVEMCO INSURANCE COMPANY Tokio Marine insurance violation 2002 VA-INS $12,000
FORTIS INSURANCE CO., ET AL. Assurant insurance violation 2002 VA-INS $27,000
NEW ENGLAND LIFE INSURANCE CO. Brighthouse Financial insurance violation 2002 VA-INS $9,000
Combined Insurance Company of America Chubb Limited insurance violation 2002 VA-INS $27,000
PRINCIPAL LIFE INSURANCE CO. Principal Financial insurance violation 2002 VA-INS $12,000
SAFECO INSURANCE CO. ET AL. Liberty Mutual Insurance insurance violation 2002 VA-INS $28,200
ALLSTATE INSURANCE COMPANY Allstate insurance violation 2002 VA-INS $10,000
MUTUAL OF OMAHA INSURANCE CO. Mutual of Omaha insurance violation 2002 VA-INS $25,800
AMERICAN HERITAGE LIFE INSURANCE CO Allstate insurance violation 2002 VA-INS $15,000
AMICA MUTUAL INSURANCE COMPANY Amica Mutual Insurance insurance violation 2002 VA-INS $14,000
PRUDENTIAL INSURANCE COMPANY Prudential Financial insurance violation 2002 VA-INS $15,000
Life Insurance Company of Georgia and Southland Life Insurance Company Prudential (UK) insurance violation 2002 MULTI-FIN $4,000,000
Unitrin Inc. Kemper insurance violation 2002 MULTI-FIN $33,000,000
MetLife MetLife discriminatory practices (non-employment) 2002 NY-DFS $160,000,000
Vitol S.A. Vitol environmental violation 2002 CA-ARB $25,000
MBNA Lloyds Banking Group environmental violation 2002 DE-ENV $225,000
HANOVER INSURANCE GROUP Hanover Insurance environmental violation 2002 MA-ENV $10,000
DENCO II LLC Babcock & Brown environmental violation 2002 MN-ENV $17,488
American Express Financial Advisors Inc. Ameriprise Financial investor protection violation 2002 FINRA $350,000
Deutsche Bank Securities Inc. Deutsche Bank investor protection violation 2002 FINRA (*) $1,650,000
Goldman, Sachs & Co. Goldman Sachs investor protection violation 2002 FINRA (*) $1,650,000
Morgan Stanley & Co. Incorporated Morgan Stanley investor protection violation 2002 FINRA (*) $1,650,000
Salomon Smith Barney Inc. Morgan Stanley investor protection violation 2002 FINRA (*) $1,650,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)