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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 TypeYearAgency sort iconPenalty Amount
Liberty Mutual Insurance Co.Liberty Mutual Insuranceconsumer protection violation2010MA-AG$20,000
Liberty Mutual Insurance Co.Liberty Mutual Insuranceconsumer protection violation2010MA-AG$3,100,000
Liberty Mutual Insurance Group Inc.Liberty Mutual Insuranceconsumer protection violation2018MA-AG$50,000
Merrill LynchBank of Americatoxic securities abuses2009MA-AG$300,000
Merrill LynchBank of Americatoxic securities abuses2008MA-AG$13,700,000
Metropolitan Life Insurance Co.MetLifeconsumer protection violation2004MA-AG$150,000
Metropolitan Life Insurance Co.MetLifeconsumer protection violation2000MA-AG$1,200,000
Metropolitan Property & CasualtyZurich Insuranceconsumer protection violation2010MA-AG$20,000
Metropolitan Property & Casualty Insurance Co.Zurich Insuranceconsumer protection violation2010MA-AG$3,500,000
Metropolitan Property and Casualty Insurance Co.Zurich Insuranceconsumer protection violation2013MA-AG$50,000
Metropolitan Property and Casualty Insurance Co.Zurich Insuranceconsumer protection violation2012MA-AG$395,000
Metropolitan Property and Casualty Insurance Co.Zurich Insuranceconsumer protection violation2000MA-AG$1,840,000
Morgan Stanley & Co.Morgan Stanleytoxic securities abuses2010MA-AG$102,000,000
Morgan Stanley & Co.Morgan Stanleytoxic securities abuses2008MA-AG$1,500,000
Mutual of Omaha Insurance Co.Mutual of Omahaconsumer protection violation2019MA-AG$25,000
Nationstar Mortgage LLC dba Mr. CooperMr. Cooper Groupmortgage abuses2018MA-AG$500,000
Nationwide Life InsuranceNationwideconsumer protection violation2005MA-AG$650,000
Ocwen Financial Corp.Ocwen Financialmortgage abuses2014MA-AG$3,700,000
Ocwen Loan Servicing LLCOcwen Financialmortgage abuses2019MA-AG$2,000,000
Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLCOppenheimer Holdingsinvestor protection violation2013MA-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,800,000
Peerless Insurance Co.Liberty Mutual Insuranceconsumer protection violation2010MA-AG$20,000
Premier Insurance Company of MassachusettsTravelersconsumer protection violation2011MA-AG$5,000,386
Progressive Direct Insurance Co.Progressiveconsumer protection violation2009MA-AG$120,000
QBE InsuranceQBE Insuranceconsumer protection violation2018MA-AG$2,400,000
QBE InsuranceQBE Insuranceconsumer protection violation2016MA-AG$375,000
RBS Financial Products Inc.NatWest Group PLCtoxic securities abuses2011MA-AG$52,000,000
Santander Consumer USA Holdings Inc.Banco Santanderconsumer protection violation2017MA-AG$22,000,000
Santander Securities LLCBanco Santanderconsumer protection violation2019MA-AG$100,000
Santander USA Holdings Inc.Banco Santanderconsumer protection violation2015MA-AG$5,400,000
Sentry InsuranceSentry Insuranceconsumer protection violation2014MA-AG$53,430
State Street Bank & Trust Co.State Street Corp.investor protection violation2010MA-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $300,000,000
State Street Bank and Trust Co.State Street Corp.investor protection violation2016MA-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $75,500,000
State Street Corp.State Street Corp.consumer protection violation2019MA-AG$53,500,000
TD Ameritrade, Inc.Charles Schwab Corp.investor protection violation2015MA-AG$160,000
TD BankToronto-Dominion Bankprivacy violation2014MA-AG$625,000
The Chubb Corp.Chubb Limitedconsumer protection violation2009MA-AG$239,011
The Guardian Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2007MA-AG$20,000
The Insurance Company of the State of PennsylvaniaAmerican International Groupconsumer protection violation2015MA-AG$430,000
Time Insurance CompanyHaven Holdingsconsumer protection violation2007MA-AG$16,000
Transamerica Life Insurance Co.Aegoninsurance violation2013MA-AG$1,330,000
Transamerica Premier Life Insurance Co.Aegoninsurance violation2018MA-AG$19,647
UBS Financial Services, Inc. and UBS Securities LLCUBStoxic securities abuses2008MA-AG$35,000,000
Union Security Insurance CompanyAssurantconsumer protection violation2007MA-AG$28,000
Union Security Life Insurance CoAssurantconsumer protection violation2000MA-AG$1,000,000
United Services Automobile AssociationUSAAdiscriminatory practices (non-employment)2014MA-AG$50,000
United Services Automobile AssociationUSAAconsumer protection violation2010MA-AG$25,000
United Services Automobile AssociationUSAAconsumer protection violation2010MA-AG$2,300,000
United States Fidelity and Guaranty Co.TravelersFalse Claims Act and related2010MA-AG$2,925,000
United States Life Insurance Company in the City of New YorkAmerican International Groupconsumer protection violation2011MA-AG$760,000
Unum Life Insurance Co.UnumFalse Claims Act and related2005MA-AG$650,000
Wells Fargo BankWells Fargomortgage abuses2015MA-AG$675,000
Western Sky Financial, LLC, WS Funding, LLC, CashCall, Inc., Delbert Services Corp.CashCall Inc.consumer protection violation2015MA-AG$259,115
Wheelabrator Saugus, Wheelabrator Andover and Wheelabrator MillburyMacquarieenvironmental violation2011MA-AG$7,500,000
LendingClub CorporationLendingClub Corp.consumer protection violation2020MA-AG$1,250,000
American General Life Insurance CompanyAmerican International Groupinsurance violation2020MA-AG$363,000
Hartford Life and Accident Insurance Co.Hartford Financial Servicesinsurance violation2020MA-AG$145,000
Credit Acceptance CorporationCredit Acceptance Corp.consumer protection violation2021MA-AG$27,200,000
U.S. BankU.S. Bancorpconsumer protection violation2021MA-AG$230,000
Santander Consumer USABanco Santanderconsumer protection violation2022MA-AG$5,560,000
Encore Capital Group, Inc. et al.Encore Capital Groupconsumer protection violation2022MA-AG$12,000,000
Nelnet, Inc.Nelnetconsumer protection violation2024MA-AG$1,800,000
AmeriSave Mortgage Corp.AmeriSave Mortgageconsumer protection violation2010MA-BKG$25,000
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2011MA-BKG$25,000
Home Loan Center, Inc. dba Lending Tree LoansLendingTreeconsumer protection violation2012MA-BKG$38,000
Prospect Mortgage, LLCHomebridge Financial Servicesconsumer protection violation2013MA-BKG$25,000
Guaranteed Rate, Inc.Guaranteed Rate Inc.consumer protection violation2014MA-BKG$25,000
Freedom Mortgage Corp.Freedom Mortgagemortgage abuses2016MA-BKG$2,000,000
LendingClub Corp. and Springstone Financial, LLCLendingClub Corp.consumer protection violation2018MA-BKG$2,000,000
Quicken Loans, Inc. and One Reverse Mortgage, LLCRocket Companies Inc.consumer protection violation2018MA-BKG$250,000
Freedom Mortgage Corp.Freedom Mortgageconsumer protection violation2020MA-BKG$25,000
Mutual of Omaha Mortgage, Inc.Mutual of Omahaconsumer protection violation2022MA-BKG$25,000
LendingTree, LLCLendingTreeconsumer protection violation2021MA-BKG$34,000
LIBERTY MUTUAL INSURANCE CO IH LABLiberty Mutual Insuranceenvironmental violation2011MA-ENV$8,000
MANULIFE FINANCIALManulife Financialenvironmental violation2008MA-ENV$18,030
SUN LIFE ASSURANCE CO OF CANADASun Life Financialenvironmental violation2005MA-ENV$31,635
HANOVER INSURANCE GROUPHanover Insuranceenvironmental violation2002MA-ENV$10,000
Scottsdale Insurance CompanyNationwideinsurance violation2000MA-INS$26,208
National Casualty CompanyNationwideinsurance violation2000MA-INS$6,500
Philadelphia Indemnity Insurance CompanyTokio Marineinsurance violation2000MA-INS$7,040
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2002MA-INS$639,576
Insurance Company of the State of PAAmerican International Groupinsurance violation2002MA-INS$124,532
Hanover Insurance CompanyHanover Insuranceinsurance violation2001MA-INS$7,040
Fidelity & Guaranty Insurance CompanyFidelity National Financialinsurance violation2001MA-INS$21,037
Valley Forge Life Insurance CompanyPrudential PLCinsurance violation2001MA-INS$11,600
American Bankers Insurance Company of FloridaAssurantinsurance violation2001MA-INS$65,000
Sentry Insurance A Mutual CompanySentry Insuranceinsurance violation2001MA-INS$14,500
AIU Insurance CompanyAmerican International Groupinsurance violation2002MA-INS$365,615
American Home Assurance CompanyAmerican International Groupinsurance violation2002MA-INS$64,546
Fireman's Fund Insurance CompanyAllianzinsurance violation2002MA-INS$20,000
Travelers Insurance CompanyTravelersinsurance violation2002MA-INS$8,600
Zurich DirectZurich Insuranceinsurance violation2002MA-INS$6,000
Zurich Life Insurance Company of AmericaZurich Insuranceinsurance violation2002MA-INS$12,000
Harleysville Worcester Insurance CompanyNationwideinsurance violation2002MA-INS$6,000
Banner Life Insurance CompanyLegal & General Group PLCinsurance violation2002MA-INS$10,900
Valley Forge Life Insurance CompanyPrudential PLCinsurance violation2002MA-INS$24,500
Protective Life Insurance CompanyDai-ichi Lifeinsurance violation2003MA-INS$30,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2003MA-INS$40,000
American Home Assurance CompanyAmerican International Groupinsurance violation2003MA-INS$12,500
Allstate Life Insurance CompanyAllstateinsurance violation2004MA-INS$25,000
American Automobile Insurance CompanyAllianzinsurance violation2005MA-INS$9,000
Aon Risk Services Inc. of PennsylvaniaAoninsurance violation2005MA-INS$19,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.