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 Parent Primary Offense Type Year Agency Penalty Amountsort icon
CNO Services, LLC CNO Financial wage and hour violation 2010 WHD $69,610
ALLSTATE Allstate workplace safety or health violation 2002 OSHA $69,500
ALLIED PROPERTY & CASUALTY INSURANCE CO. Nationwide insurance violation 2016 VA-INS $68,669
Safeco Insurance Company of America et al. Liberty Mutual Insurance insurance violation 2007 MO-INS $68,524
Nationwide Credit, Inc. Altisource Portfolio Solutions wage and hour violation 2005 WHD $68,433
BANK OF THE WEST BNP Paribas banking violation 2010 FDIC $68,200
Chubb National Insurance Co. Chubb Limited insurance violation 2012 MO-INS $68,000
Indemnity Insurance Company of North America Chubb Limited insurance violation 2011 TX-INS $68,000
Investment Professionals Inc. Ameriprise Financial investor protection violation 2014 SEC $67,800
Wells Fargo Bank, N.A Wells Fargo economic sanction violation 2010 OFAC $67,500
Trumbull Insurance Co. Hartford Financial Services insurance violation 2017 MD-INS $67,500
Travelers Casualty and Surety Co. Travelers insurance violation 2018 MD-INS $67,500
United States Fire Insurance Company Fairfax Financial Holdings insurance violation 2017 UT-INS $67,500
Wedbush Securities Inc. Wedbush Securities investor protection violation 2014 SEC $67,200
THE GENERAL AUTOMOBILE INSURANCE CO. American Family Insurance insurance violation 2018 VA-INS $66,996
American International Insurance Co. and AIG National Insurance Company, Inc. American International Group insurance violation 2003 FL-OFR $66,750
SENTINEL INSURANCE COMPANY LTD Hartford Financial Services insurance violation 2012 VA-INS $66,735
TRUMBULL INSURANCE COMPANY Hartford Financial Services insurance violation 2010 VA-INS $66,684
ACE Limited Chubb Limited economic sanction violation 2019 OFAC $66,212
Mid-Century Insurance Co. Zurich Insurance insurance violation 2011 CO-INS $66,000
Chicago Title Insurance Co. Fidelity National Financial insurance violation 2015 CO-INS $66,000
Provident Funding Associates, LP Provident Funding Associates consumer protection violation 2011 KY-FIN $66,000
SELECTIVE INSURANCE CO., ET AL. Selective Insurance Group insurance violation 2010 VA-INS $66,000
Prudential Securities, Inc. Wells Fargo data submission deficiencies 2002 CFTC $65,000
Blue Shield of California Promise Health Plan California Physicians' Service insurance violation 2019 CA-MHC $65,000
The Lincoln National Life Insurance Co. Lincoln National insurance violation 2019 CT-INS $65,000
Cincinnati Insurance Co. Cincinnati Financial insurance violation 2007 FL-OFR $65,000
American Bankers Insurance Company of Florida Assurant insurance violation 2001 MA-INS $65,000
Allied Property & Casualty Insurance Co. et al. Nationwide insurance violation 2006 MO-INS $65,000
Fortis Insurance Co. Assurant insurance violation 2004 MT-INS $65,000
National Union Fire Insurance Company of Pittsburgh, PA American International Group insurance violation 2009 OR-FIN $65,000
Property and Casualty Insurance Company of Hartford Hartford Financial Services insurance violation 2018 TX-INS $65,000
FEDERAL INSURANCE CO., ET AL. Chubb Limited insurance violation 2004 VA-INS $65,000
Genworth Life Insurance Co. Genworth Financial insurance violation 2012 WI-INS $65,000
UBS Financial Services, Inc. UBS investor protection violation 2013 AK-DBS $64,661
American Home Assurance Company American International Group insurance violation 2002 MA-INS $64,546
NATIONWIDE MUTUAL INSURANCE CO ET AL Nationwide insurance violation 2003 VA-INS $64,080
Mid-Century Insurance Co. Zurich Insurance insurance violation 2019 CT-INS $64,000
Fidelity Brokerage Services, Inc. dba Fidelity Investments Fidelity Investments economic sanction violation 2005 OFAC $63,853
AGCS Marine Insurance Co. Allianz insurance violation 2017 KS-INS $63,483
Santander Mortage Corporation Banco Santander wage and hour violation 2004 WHD $62,895
North River Insurance Co. Fairfax Financial Holdings insurance violation 2012 CO-INS $62,700
Hartford Fire Insurance Co. Hartford Financial Services insurance violation 2016 MO-INS $62,541
Hartford Accident and Indemnity Co. Hartford Financial Services insurance violation 2016 MO-INS $62,541
Hartford Casualty Insurance Co. Hartford Financial Services insurance violation 2016 MO-INS $62,541
Hartford Underwriters Insurance Co. Hartford Financial Services insurance violation 2016 MO-INS $62,541
Hartford Insurance Company of the Midwest Hartford Financial Services insurance violation 2016 MO-INS $62,541
Twin City Fire Insurance Co. Hartford Financial Services insurance violation 2016 MO-INS $62,541
Vitol, Inc. Vitol employment discrimination 2012 EEOC $62,500
LM Insurance Corporation Liberty Mutual Insurance insurance violation 2012 TX-INS $62,500
National Union Fire Insurance Company of Pittsburgh, PA American International Group insurance violation 2003 FL-OFR $62,250
Chicago Title Insurance Company, Fidelity National Financial insurance violation 2010 CT-INS $62,000
Travelers Property Casualty Company of America Travelers insurance violation 2016 TX-INS $62,000
THE GUARDIAN LIFE INSURANCE CO Guardian Life Insurance insurance violation 2010 VA-INS $62,000
Charles Schwab & Co. Charles Schwab Corp. investor protection violation 2014 SEC $61,800
Safety National Casualty Co. Tokio Marine insurance violation 2013 MO-INS $61,250
Oppenheimer & Co. Oppenheimer Holdings investor protection violation 2014 SEC $61,200
Massachusetts Mutual Life Insurance Company, Inc. Massachusetts Mutual Life Insurance insurance violation 2019 CT-INS $61,000
Stifel, Nicolaus & Company Inc. Stifel Financial investor protection violation 2014 NE-DBF $61,000
First American Title Insurance Company First American Financial insurance violation 2009 OR-FIN $61,000
J.P. Morgan Chase & Co. and Forum Temporary Services JPMorgan Chase labor relations violation 2006 NLRB $60,760
John Hancock Life Insurance Company Manulife Financial insurance violation 2020 VA-INS $60,600
Mutual of Omaha Insurance Co. Mutual of Omaha insurance violation 2019 CT-INS $60,500
Old Republic National Title Insurance Co. Old Republic International insurance violation 2019 MO-INS $60,050
The Northern Trust Company Northern Trust investor protection violation 2015 SEC $60,000
Stifel Nicolaus & Co. Stifel Financial investor protection violation 2014 SEC $60,000
Comerica Securities, Inc. Comerica investor protection violation 2015 SEC $60,000
U.S. Bank Municipal Securities Group U.S. Bancorp investor protection violation 2015 SEC $60,000
Citibank NA Citigroup export control violation 2018 BIS $60,000
Healthnow New York Highmark Inc. consumer protection violation 2016 NY-AG $60,000
Next Financial Group, Inc. Atria Wealth Solutions investor protection violation 2012 AL-SEC $60,000
Time Insurance Co. Haven Holdings insurance violation 2013 AZ-INS $60,000
Philadelphia Indemnity Insurance Co. Tokio Marine insurance violation 2008 CA-INS $60,000
Liberty National Life Insurance Co. Globe Life Inc. insurance violation 2011 FL-OFR $60,000
Allianz Life Insurance Company of North America Allianz insurance violation 2019 KS-INS $60,000
Hartford Life and Accident Insurance Co. Hartford Financial Services insurance violation 2016 MD-INS $60,000
Jackson National Life Insurance Co. Prudential (UK) insurance violation 2012 MN-FIN $60,000
Esurance Property and Casualty Insurance Co. Allstate insurance violation 2015 MN-FIN $60,000
Allstate Insurance Co. Allstate insurance violation 2006 MO-INS $60,000
Tokio Marine Kiln Syndicates Limited et al. Tokio Marine insurance violation 2018 NJ-DBI $60,000
Time Insurance Company Haven Holdings insurance violation 2007 OR-FIN $60,000
Allstate Fire & Casualty Insurance Company Allstate insurance violation 2018 RI-FIN $60,000
Commerce and Industry Insurance Company American International Group insurance violation 2010 TX-INS $60,000
Travelers Indemnity Company Travelers insurance violation 2010 TX-INS $60,000
Travelers Indemnity Company of Connecticut Travelers insurance violation 2015 TX-INS $60,000
STATE FARM MUTUAL, ET AL. State Farm Insurance insurance violation 2011 VA-INS $60,000
NEXT FINANCIAL GROUP, INC. Atria Wealth Solutions investor protection violation 2017 VA-SEC $60,000
Prosper Marketplace Inc. Prosper Marketplace consumer protection violation 2016 VT-FIN $60,000
Titan Indemnity Company; Victoria Fire & Casualty Company Nationwide insurance violation 2017 WA-INS $60,000
Nationstar Mortgage LLC Mr. Cooper Group consumer protection violation 2016 WA-FIN $59,678
Morgan Keegan & Co. Raymond James Financial investor protection violation 2012 AR-SEC $59,659
Stewart Title Co. Stewart Information Services insurance violation 2015 IN-INS $59,400
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP N.A. INC Invesco workplace safety or health violation 2008 OSHA $59,000
Allstate Financial Services, Inc. Allstate consumer protection violation 2003 WA-FIN $58,988
Rabobank National Association Rabobank banking violation 2017 OCC $58,000
IAC SPARTANBURG INC Invesco environmental violation 2015 EPA $58,000
Foremost Insurance Company Grand Rapids, Michigan Zurich Insurance insurance violation 2015 AZ-INS $58,000
Northwestern Mutual Life Insurance Co. Northwestern Mutual insurance violation 2019 NY-DFS $57,937
Wells Fargo Bank N.A. Wells Fargo wage and hour violation 2019 WHD $57,675
Hartford Casualty Insurance Co. Hartford Financial Services insurance violation 2019 CT-INS $57,500
New Day Financial LLC New Day Financial LLC consumer protection violation 2011 PA-BKG $57,500
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