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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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 Current Parent CompaniesTotal Penalty $Number of Records
Bank of America$87,286,650,890328
JPMorgan Chase$39,340,688,209275
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,780,502,443203
BNP Paribas$10,363,464,66623

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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CompanyCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount sort icon
USAA Casualty Insurance Co.USAAinsurance violation2021CT-INS$36,500
TMX Finance LLCTMX FinanceFamily and Medical Leave Act2012WHD$36,596
Buckeye Partners, LPIFM Investorsenvironmental violation2017PHMSA$36,600
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2018PHMSA$36,600
AMCO Insurance Co.Nationwideinsurance violation2016MO-INS$36,750
Southwest Securities, Inc.Hilltop Holdingsinvestor protection violation2004FINRA$36,971
LIBERTY MUTUAL INSURANCE CO., ET ALLiberty Mutual Insuranceinsurance violation2004VA-INS$37,000
Esurance Insurance CompanyAllstateinsurance violation2022CT-INS$37,000
Wells Fargo Bank, National AssociationWells Fargowage and hour violation2013CA-LCO$37,036
United Insurance Company of AmericaKemperemployment discrimination2012EEOC$37,500
Scottsdale Insurance Co.Nationwideinsurance violation2010AZ-DIFI$37,500
American Bankers Life Assurance Company of FloridaAssurantinsurance violation2018MO-INS$37,500
American Bankers Insurance Company of FloridaAssurantinsurance violation2018MO-INS$37,500
Ace American Insurance CompanyChubb Limitedinsurance violation2008TX-INS$37,500
LPL Financial Corp.LPL Financialinvestor protection violation2010MO-SEC$37,540
Federal Insurance CompanyChubb Limitedinsurance violation2014TX-INS$37,597
Brown & Brown Insurance of Arizona, Inc.Brown & Browntax violations2014CT-AG$37,650
Genworth Life Insurance Co.Genworth Financialinsurance violation2016MD-INS$37,800
Dairyland Insurance CompanySentry Insuranceinsurance violation2013VT-FIN$37,852
Safeco Insurance Company of AmericaLiberty Mutual Insurancewage and hour violation2009WHD$37,951
Coast National Insurance Co.Zurich Insuranceinsurance violation2009AZ-DIFI$38,000
Infinity Insurance Co.Kemperinsurance violation2012AZ-DIFI$38,000
Pacific Life & Annuity Co.Pacific Lifeinsurance violation2006FL-OFR$38,000
Home Loan Center, Inc. dba Lending Tree LoansLendingTreeconsumer protection violation2012MA-BKG$38,000
CMFG Life Insurance Co.CUNA Mutualinsurance violation2016MD-INS$38,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2017TX-INS$38,000
ALLIED CASH ADVANCE VIRGINIACNG Financialconsumer protection violation2008VA-FIN$38,000
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2021TX-INS$38,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2010TX-PUC$38,000
First American TitleFirst American Financialenvironmental violation2006CA-SCAQMD$38,211
Wells Fargo BankWells Fargowage and hour violation2016WHD$38,230
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2004FINRA$38,312
JP Morgan Chase Bank N.A.JPMorgan Chasewage and hour violation2019WHD$38,336
BANKERS LIFE AND CASUALTY COMPANYCNO Financialinsurance violation2022MO-INS$38,500
Ace American Insurance CompanyChubb Limitedinsurance violation2023TX-INS$38,500
Progressive Specialty Insurance CompanyProgressiveinsurance violation2023MD-INS$38,500
State Farm Mutual Automobile Insurance Co.State Farm Insuranceinsurance violation2014MT-FIN$38,638
John Hancock Assignment Co.Manulife Financialtax violations2014CT-AG$38,910
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$38,925
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$38,925
CitigroupCitigroupwage and hour violation2009WHD$38,926
Prosper Funding LLC and Prosper Marketplace, Inc.Prosper Marketplaceconsumer protection violation2016NH-BKG$39,000
Praetorian Insurance CompanyQBE Insuranceinsurance violation2021TX-INS$39,000
Safety National Casualty Corp.Tokio Marineinsurance violation2021TX-INS$39,000
CINCINNATI BELLMacquarielabor relations violation2004NLRB$39,200
Seabury & Smith, Inc.Marsh & McLennaninsurance violation2009AK-INS$39,378
American Family Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2018UT-INS$39,400
Wachovia Securities, LLC.Wells Fargoinvestor protection violation2004FINRA$39,486
HARTFORD ACCIDENT & INDEMNITYHartford Financial Servicesinsurance violation2017VA-INS$39,488
Auto-Owners Insurance Co.Auto-Owners Insuranceinsurance violation2015MO-INS$39,600
Arthur J. Gallagher Risk Management Services, Inc.Arthur J. Gallagher & Co.insurance violation2020NY-DFS$39,750
Torchmark CorporationGlobe Life Inc.Medicare Parts C and D Enforcement Action2014CMS$40,000
PNC BankPNC Financial Serviceslabor relations violation2006NLRB$40,000
Mercury Air Centers, Inc.Macquarielabor relations violation2006NLRB$40,000
John Hancock Life Insurance Co.Manulife Financialconsumer protection violation2013MA-AG$40,000
Encompass Indemnity Co. and Encompass Insurance Company of AmericaAllstateinsurance violation2019AR-INS$40,000
LPL Financial LLCLPL Financialinvestor protection violation2019AR-SEC$40,000
Titan Insurance Co.Nationwideinsurance violation2006AZ-DIFI$40,000
QBE Insurance Corp.QBE Insuranceinsurance violation2010AZ-DIFI$40,000
Union Security Insurance Co.Assurantinsurance violation2013AZ-DIFI$40,000
Hartford Accident and Indemnity Co. et al.Hartford Financial Servicesinsurance violation2010CA-INS$40,000
Prosper Marketplace, Inc.Prosper Marketplaceinvestor protection violation2012CT-SEC$40,000
Ameritrade, Inc.Charles Schwab Corp.investor protection violation2009DE-SEC$40,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2007IL-SEC$40,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2003MA-INS$40,000
Allstate Insurance Co. and Allstate Indemnity Co.Allstateinsurance violation2011MD-INS$40,000
Allstate Insurance Co. and Allstate Indemnity Co.Allstateinsurance violation2011MD-INS$40,000
Depositors Insurance Co.Nationwideinsurance violation2013MN-FIN$40,000
Transamerica Premier Life Insurance Co.Aegoninsurance violation2018MN-FIN$40,000
Progressive Casualty Insurance Co. et al.Progressiveinsurance violation2018MN-FIN$40,000
LPL Financial LLCLPL Financialinvestor protection violation2018MS-SEC$40,000
Hanover Insurance Co.Hanover Insuranceinsurance violation2004NJ-DBI$40,000
Time Insurance CompanyHaven Holdingsinsurance violation2014OR-FIN$40,000
Affinity Insurance Services Inc.Aoninsurance violation2006PA-INS$40,000
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2008PA-INS$40,000
LPL Financial LLCLPL Financialinvestor protection violation2019SC-SEC$40,000
Nationwide Life Insurance CompanyNationwideinsurance violation2012SD-INS$40,000
Companion Life Insurance CompanyBlueCross BlueShield of South Carolinainsurance violation2017SD-INS$40,000
Lincoln Financial Securities CorporationLincoln Nationalinvestor protection violation2010TX-SEC$40,000
State Farm General Insurance CompanyState Farm Insuranceinsurance violation2010TX-INS$40,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2010TX-INS$40,000
Ace American Insurance CompanyChubb Limitedinsurance violation2011TX-INS$40,000
Hartford Insurance Company of the MidwestHartford Financial Servicesinsurance violation2014TX-INS$40,000
Broadspire Services, Inc.Crawford & Co.insurance violation2017TX-INS$40,000
Wausau Underwriters Insurance CompanyLiberty Mutual Insuranceinsurance violation2017TX-INS$40,000
Security National Insurance CompanyZurich Insuranceinsurance violation2018TX-INS$40,000
United Services Automobile Association et al.USAAinsurance violation2018TX-INS$40,000
CUNA MUTUAL INSURANCE SOCIETYCUNA Mutualinsurance violation2005VA-INS$40,000
NATIONWIDE LIFE INSURANCE CO.Nationwideinsurance violation2006VA-INS$40,000
NATIONAL UNION FIRE INSURANCEAmerican International Groupinsurance violation2011VA-INS$40,000
National Union Fire Insurance Company Of Pittsburgh, PaAmerican International Groupinsurance violation2010WA-INS$40,000
American General Life Insurance Company of DelawareAmerican International Groupinsurance violation2012WI-INS$40,000
Bankers Life & Casualty Co.CNO Financialinsurance violation2012WI-INS$40,000
First American Title insurance Co.First American Financialinsurance violation2020CT-INS$40,000
CIBC World Markets Corp.Canadian Imperial Bank of Commerceinvestor protection violation2005FINRA$40,000
Banc of America Securities LLCBank of Americainvestor protection violation2001FINRA$40,000
LM Insurance Corp.Liberty Mutual Insuranceinsurance violation2021TX-INS$40,000
Arthur J. Gallagher & Co.Arthur J. Gallagher & Co.employment discrimination2021EEOC$40,000
Philadelphia Indemnity Insurance CompanyTokio Marineinsurance violation2022TX-INS$40,000
Ameritas Life Insurance Corp.Ameritas Mutual Holding Companyinsurance violation2022WA-INS$40,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2022CA-MHC$40,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.