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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 Type sort iconYearAgencyPenalty Amount
Granite State Insurance CompanyAmerican International Groupinsurance violation2015NY-DFS$150,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2015NY-DFS$250,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2015NY-DFS$100,000
Harleysville Worcester Insurance CompanyNationwideinsurance violation2015NY-DFS$76,500
Virginia Surety Company, Inc.Assurantinsurance violation2015NY-DFS$10,000
Ameritas Life Insurance Corp. of New YorkAmeritas Mutual Holding Companyinsurance violation2015NY-DFS$72,975
Combined Life Insurance Company of New YorkChubb Limitedinsurance violation2015NY-DFS$50,000
21st Century Centennial Insurance CompanyZurich Insuranceinsurance violation2015NY-DFS$36,500
21st Century National Insurance CompanyZurich Insuranceinsurance violation2015NY-DFS$25,000
AXA Art Insurance CorporationAXAinsurance violation2015NY-DFS$70,000
Bankers Conseco Life Insurance CompanyCNO Financialinsurance violation2015NY-DFS$10,270
Metropolitan Group Property and Casualty Insurance CompanyZurich Insuranceinsurance violation2015NY-DFS$30,000
Erie Insurance Company of New YorkErie Indemnityinsurance violation2015NY-DFS$21,000
Nationwide Property & Casualty Insurance CompanyNationwideinsurance violation2015NY-DFS$7,000
National Interstate Insurance CompanyAmerican Financial Groupinsurance violation2015NY-DFS$90,000
Allstate Fire and Casualty Insurance CompanyAllstateinsurance violation2016NY-DFS$50,000
HealthNow New York Inc.Highmark Inc.insurance violation2016NY-DFS$750,000
Hartford Life Insurance CompanyHartford Financial Servicesinsurance violation2016NY-DFS$50,000
TIAA-CREF Life Insurance CompanyTIAAinsurance violation2016NY-DFS$29,325
USAA Life Insurance Company of New YorkUSAAinsurance violation2016NY-DFS$10,000
TIAA-CREF Life Insurance CompanyTIAAinsurance violation2016NY-DFS$139,940
Companion Life Insurance CompanyBlueCross BlueShield of South Carolinainsurance violation2016NY-DFS$146,485
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2016NY-DFS$15,000
Guardian Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2016NY-DFS$50,000
BCS Insurance CompanyBCS Financial Corporationinsurance violation2016NY-DFS$100,000
Combined Life Insurance Company of New YorkChubb Limitedinsurance violation2017NY-DFS$23,740
Globe Life Insurance Company of New YorkGlobe Life Inc.insurance violation2017NY-DFS$538,375
United States Life Insurance Company in the City of New YorkAmerican International Groupinsurance violation2017NY-DFS$873,918
Variable Annuity Life Insurance CompanyAmerican International Groupinsurance violation2017NY-DFS$25,000
Lincoln Financial GroupLincoln Nationalinsurance violation2017NY-DFS$52,200,000
John Hancock Life Insurance Company of New YorkManulife Financialinsurance violation2017NY-DFS$73,000
Tokio Marine Kiln Syndicates Limited and Beazley Furlonge LimitedTokio Marineinsurance violation2017NY-DFS$920,000
Amica Mutual Insurance CompanyAmica Mutual Insuranceinsurance violation2018NY-DFS$20,000
QBE Insurance Corp.QBE Insuranceinsurance violation2018NY-DFS$750,000
AIG Claims Inc.American International Groupinsurance violation2018NY-DFS$177,500
J P Morgan Securities LLCJPMorgan Chaseinsurance violation2018NY-DFS$11,750
Marsh USA IncMarsh & McLennaninsurance violation2018NY-DFS$12,950
William Penn Life Insurance CompanyLegal & General Group PLCinsurance violation2018NY-DFS$6,300,000
Chubb Ltd.Chubb Limitedinsurance violation2018NY-DFS$1,300,000
American Family Life Assurance Company of New York (AFLAC)Aflacinsurance violation2018NY-DFS$1,138,368
Transamerica Financial Life Insurance CompanyAegoninsurance violation2018NY-DFS$1,345,136
Sentinel Insurance CompanyHartford Financial Servicesinsurance violation2018NY-DFS$1,816,596
Selective Insurance CompaniesSelective Insurance Groupinsurance violation2018NY-DFS$4,666,268
HealthNow New York, Inc.Highmark Inc.insurance violation2018NY-DFS$118,583
National Integrity Life Insurance CompanyWestern & Southern Financial Groupinsurance violation2018NY-DFS$240,000
Oscar Insurance Corp.Oscar Health Inc.insurance violation2018NY-DFS$576,950
Arch Insurance CompanyArch Capitalinsurance violation2019NY-DFS$5,000,000
National Union Fire Insurance CompanyAmerican International Groupinsurance violation2019NY-DFS$5,200,000
Globe Life Insurance Company of New YorkGlobe Life Inc.insurance violation2019NY-DFS$7,769,000
MetLife Insurance CompanyMetLifeinsurance violation2019NY-DFS$208,750,000
Mercury Casualty CompanyMercury General Corporationinsurance violation2019NY-DFS$31,000
Mid-Century Insurance CompanyZurich Insuranceinsurance violation2019NY-DFS$50,000
Titan Insurance CompanyNationwideinsurance violation2019NY-DFS$149,300
Bankers Conseco Life InsuranceCNO Financialinsurance violation2019NY-DFS$27,900
Companion Life Insurance Co.BlueCross BlueShield of South Carolinainsurance violation2019NY-DFS$648,122
The Guardian Insurance & Annuity Company, Inc.Guardian Life Insuranceinsurance violation2019NY-DFS$442,589
Northwestern Mutual Life Insurance Co.Northwestern Mutualinsurance violation2019NY-DFS$57,937
The Penn Mutual Life Insurance Co.Penn Mutualinsurance violation2019NY-DFS$455,584
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2019NY-DFS$49,020
The United States Life Insurance CompanyAmerican International Groupinsurance violation2019NY-DFS$171,902
Asurion Insurance Services, Inc. and Asurion Protection Services LLCAsurioninsurance violation2020NY-DFS$4,000,000
Lincoln Life & Annuity Company of New YorkLincoln Nationalinsurance violation2020NY-DFS$193,166
MassMutual Life Insurance CompanyMassachusetts Mutual Life Insuranceinsurance violation2020NY-DFS$1,399,708
Pacific Life & Annuity CompanyPacific Lifeinsurance violation2020NY-DFS$425,533
Nationwide Mutual Insurance CompanyNationwideinsurance violation2000OR-FIN$10,000
Equitable Life and Casualty Insurance CompanyEquitable Holdingsinsurance violation2002OR-FIN$25,000
Fortis Insurance CompanyAssurantinsurance violation2002OR-FIN$42,500
Great American Life Insurance CompanyMassachusetts Mutual Life Insuranceinsurance violation2002OR-FIN$10,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2002OR-FIN$30,000
AIU Insurance CompanyAmerican International Groupinsurance violation2002OR-FIN$10,000
Jackson National Life Insurance CompanyJackson Financialinsurance violation2002OR-FIN$10,000
Globe Life And Accident Insurance CompanGlobe Life Inc.insurance violation2002OR-FIN$5,000
American Family Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2003OR-FIN$10,000
Conseco Life Insurance CompanyCNO Financialinsurance violation2003OR-FIN$8,300
Fortis Insurance CompanyAssurantinsurance violation2003OR-FIN$20,000
Combined Insurance Company of AmericaChubb Limitedinsurance violation2004OR-FIN$10,000
ING Life Insurance and Annuity CompanyVoya Financialinsurance violation2004OR-FIN$10,000
United of Omaha Life Insurance CompanyMutual of Omahainsurance violation2005OR-FIN$25,000
Farmers Insurance Company of OregonZurich Insuranceinsurance violation2005OR-FIN$11,000
Great American Insurance Company of New YorkAmerican Financial Groupinsurance violation2005OR-FIN$5,000
Progressive Classic Insurance CompanyProgressiveinsurance violation2005OR-FIN$8,000
Marsh USA, Inc.Marsh & McLennaninsurance violation2005OR-FIN$75,000
Ameritas Life Insurance Corp.Ameritas Mutual Holding Companyinsurance violation2006OR-FIN$5,000
Hartford Life and Accident Insurance CompanyHartford Financial Servicesinsurance violation2006OR-FIN$17,500
Combined Insurance Company of AmericaChubb Limitedinsurance violation2006OR-FIN$9,000
Fidelity National Title Company of OregonFidelity National Financialinsurance violation2006OR-FIN$6,000
ACE American Reinsurance CompanyChubb Limitedinsurance violation2006OR-FIN$8,300
AIG Life Insurance CompanyAmerican International Groupinsurance violation2006OR-FIN$10,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2006OR-FIN$30,000
United States Life Insurance Company in the City of New YorkAmerican International Groupinsurance violation2006OR-FIN$20,000
Progressive Northern Insurance CompanyProgressiveinsurance violation2006OR-FIN$10,000
John Alden Life Insurance CompanyAssurantinsurance violation2007OR-FIN$10,000
Time Insurance CompanyHaven Holdingsinsurance violation2007OR-FIN$60,000
Fidelity National Title Insurance CompanyFidelity National Financialinsurance violation2007OR-FIN$10,000
Farmers Insurance Company of OregonZurich Insuranceinsurance violation2007OR-FIN$20,000
Mid-Century Insurance CompanyZurich Insuranceinsurance violation2007OR-FIN$20,000
Reliance Standard Life Insurance CompanyTokio Marineinsurance violation2007OR-FIN$10,000
ACE American Insurance CompanyChubb Limitedinsurance violation2007OR-FIN$15,000
AIU Insurance Company et al.American International Groupinsurance violation2007OR-FIN$1,000,000
Ticor Title Insurance CompanyFidelity National Financialinsurance violation2007OR-FIN$6,000
Nationwide Mutual Insurance CompanyNationwideinsurance violation2007OR-FIN$10,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.