« Return to search form

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
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. MetLife 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 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
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
ALLSTATE Allstate workplace safety or health violation 2002 OSHA $69,500
VITOL SA, INC Vitol environmental violation 2002 EPA $95,000
Morgan Stanley Capital Group, Inc. Morgan Stanley environmental violation 2002 EPA $7,500
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2002 MSHA $25,000
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
A.G. Edwards & Sons, Inc. Wells Fargo data submission deficiencies 2003 CFTC $45,000
SCOTIABANK DE PUERTO RICO Scotiabank banking violation 2003 FDIC $8,000
Cleco Corporation Macquarie energy market violation 2003 FERC $2,850,000
Crawford Healthcare Management of Norfolk & Baltimore Crawford & Co. fraud 2003 DOJ_CRIMINAL $8,000,000
PNC ICLC Corp. PNC Financial Services accounting fraud or deficiencies 2003 DOJ_CRIMINAL $115,000,000
Bank of America Bank of America economic sanction violation 2003 OFAC $158,038
Bank of New York Bank of New York Mellon economic sanction violation 2003 OFAC $24,750
Barclays Bank PLC Barclays economic sanction violation 2003 OFAC $10,107
Credit Lyonnais, NY Credit Agricole economic sanction violation 2003 OFAC $5,500
Deutsche Bank A.G. Deutsche Bank economic sanction violation 2003 OFAC $5,500
Guy Carpenter & Company, Inc Marsh & McLennan economic sanction violation 2003 OFAC $50,000
HSBC Bank USA HSBC economic sanction violation 2003 OFAC $5,500
HSBC Bank USA HSBC economic sanction violation 2003 OFAC $11,000
National City Bank PNC Financial Services economic sanction violation 2003 OFAC $5,500
Northern Trust, IBC Northern Trust economic sanction violation 2003 OFAC $18,027
Societe Generale Societe Generale economic sanction violation 2003 OFAC $6,600
Societe Generale Societe Generale economic sanction violation 2003 OFAC $11,000
State Street Bank & Trust Co State Street Corp. economic sanction violation 2003 OFAC $22,000
UBS (USA) Inc UBS economic sanction violation 2003 OFAC $14,750
UBS (USA) Inc UBS economic sanction violation 2003 OFAC $5,000
Wells Fargo Bank Wells Fargo economic sanction violation 2003 OFAC $5,500
National City Bank PNC Financial Services banking violation 2003 OCC $56,800
Canadian Imperial Bank of Commerce Canadian Imperial Bank of Commerce accounting fraud or deficiencies 2003 SEC $80,000,000
Alliance Capital Management L.P. Equitable Holdings investor protection violation 2003 SEC $250,000,000
Morgan Stanley DW Inc. Morgan Stanley investor protection violation 2003 SEC $50,000,000
J.P. Morgan Securities Inc. JPMorgan Chase investor protection violation 2003 SEC $25,000,000
American International Group, Inc. American International Group accounting fraud or deficiencies 2003 SEC $10,000,000
Goldman Sachs Goldman Sachs investor protection violation 2003 SEC $9,305,382
Massachusetts Financial Services Company Sun Life Financial investor protection violation 2003 SEC $917,858
UBS PaineWebber, Inc. UBS investor protection violation 2003 SEC $500,000
Deutsche Asset Management, Inc. Deutsche Bank investor protection violation 2003 SEC $750,000
Lehman Brothers, Inc. Lehman Brothers investor protection violation 2003 SEC $2,500,000
SG Cowen Securities Corporation Cowen Inc. investor protection violation 2003 SEC $5,000,000
Citigroup, Inc. Citigroup accounting fraud or deficiencies 2003 SEC $101,000,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)