Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$344,899,848,624
Number of Records: 
6,989
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$82,898,016,192264
JPMorgan Chase$36,107,446,133199
Citigroup$25,540,645,217156
Wells Fargo$21,881,892,841222
Deutsche Bank$18,341,457,30276
UBS$16,854,318,334101
Goldman Sachs$16,399,485,79387
NatWest Group PLC$13,515,546,85731
BNP Paribas$12,148,363,95019
Credit Suisse$10,732,400,12649


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)
Companysort icon Parent Primary Offense Type Year Agency Penalty Amount
Allstate Insurance Company and Allstate Indemnity Company Allstate insurance violation 2007 VA-INS $8,000
Allstate Insurance Group Allstate insurance violation 2020 NY-DFS $1,455,368
Allstate Life Insurance Co. Allstate insurance violation 2004 NJ-DBI $15,000
ALLSTATE LIFE INSURANCE CO. Allstate insurance violation 2005 VA-INS $5,000
Allstate Life Insurance Company Allstate insurance violation 2004 MA-INS $25,000
Allstate Life Insurance Company Allstate insurance violation 2004 PA-INS $25,000
Allstate Life Insurance Company Allstate insurance violation 2018 MULTI-FIN $150,000
Allstate Life Insurance Company of New York Allstate insurance violation 2007 NY-DFS $18,250,000
Allstate Life Insurance Company of New York Allstate insurance violation 2021 NY-DFS $196,250
Allstate New Jersey Insurance Company Allstate insurance violation 2009 NJ-DBI $5,000
Allstate Property & Casualty Insurance Company Allstate insurance violation 2012 RI-FIN $8,000
Allstate Property & Casualty Insurance Company, et al. Allstate insurance violation 2021 RI-FIN $7,500
Allstate Texas Lloyd's Allstate insurance violation 2008 TX-INS $71,300,000
Allstate Vehicle and Property Insurance Company Allstate insurance violation 2018 SC-INS $10,000
Allstate Vehicle And Property Insurance Company Allstate insurance violation 2022 WA-INS $25,000
Ally Financial Ally Financial mortgage abuses 2012 MULTI-AG (*) $109,628,425
Ally Financial Inc Ally Financial wage and hour violation 2017 WHD $34,169
Ally Financial Inc. Ally Financial banking violation 2012 FED $207,000,000
Ally Financial Inc. Ally Financial toxic securities abuses 2016 USAO $52,000,000
Ally Financial Inc. (formerly GMAC) Ally Financial mortgage abuses 2012 DOJ $309,600,000
Ally Financial Inc. and Ally Bank Ally Financial consumer protection violation 2013 CFPB $98,000,000
Ally Financial Services Ally Financial wage and hour violation 2019 WHD $198,311
Ally Financial, LLC Ally Financial wage and hour violation 2017 WHD $164,143
ALPHA PROPERTY & CASUALTY INSURANCE Kemper insurance violation 2012 VA-INS $15,000
Alpha Property & Casualty Insurance Co. Kemper insurance violation 2003 FL-OFR $32,500
Ambac Financial Group et al. Ambac Financial toxic securities abuses 2013 USAO $101,900,000
Ambac Financial Group, Inc. Ambac Financial benefit plan administrator violation 2012 private lawsuit-federal $2,550,000
AMCO Insurance Co. Nationwide insurance violation 2013 MN-FIN $20,000
AMCO Insurance Co. Nationwide insurance violation 2016 MO-INS $36,750
Amco Insurance Co. and Allied Property and Casualty Insurance Co. Nationwide insurance violation 2005 CA-INS $20,000
AMCO Insurance Company Nationwide insurance violation 2010 OR-FIN $8,000
Amco Insurance Company Nationwide insurance violation 2017 WA-INS $5,000
American Alternative Insurance Corp. Munich Re insurance violation 2019 CT-INS $49,500
American Alternative Insurance Corp. Munich Re insurance violation 2003 FL-OFR $21,500
American Alternative Insurance Corp. Munich Re insurance violation 2019 MO-INS $85,000
American Alternative Insurance Corporation Munich Re insurance violation 2017 TX-INS $160,000
American Alternative Insurance Corporation et al. Munich Re insurance violation 2013 WA-INS $10,000
American Automobile Insurance Co. Allianz consumer protection violation 2011 MA-AG $571,394
American Automobile Insurance Co. Allianz insurance violation 2015 MD-INS $5,000
American Automobile Insurance Company Allianz insurance violation 2005 MA-INS $9,000
American Automobile Insurance Company Allianz insurance violation 2018 WA-INS $10,000
American Automobile Insurance Company et al. Allianz insurance violation 2011 VA-INS $10,973
AMERICAN AUTOMOBILE INSURANCE CORP Allianz insurance violation 2012 VA-INS $5,000
AMERICAN BANKERS INSURANCE Assurant insurance violation 2006 VA-INS $45,000
American Bankers Insurance Co. Assurant consumer protection violation 2006 MA-AG $20,000
American Bankers Insurance Company of Florida Assurant insurance violation 2011 AZ-DIFI $36,000
American Bankers Insurance Company of Florida Assurant insurance violation 2020 CT-INS $198,000
American Bankers Insurance Company of Florida Assurant insurance violation 2007 IN-INS $87,500
American Bankers Insurance Company of Florida Assurant insurance violation 2001 MA-INS $65,000
American Bankers Insurance Company of Florida Assurant insurance violation 2003 MN-FIN $100,000
American Bankers Insurance Company of Florida Assurant insurance violation 2018 MO-INS $37,500
American Bankers Insurance Company of Florida Assurant insurance violation 2002 OR-FIN $30,000
American Bankers Insurance Company of Florida Assurant insurance violation 2017 TX-INS $35,000
American Bankers Insurance Company Of Florida Assurant insurance violation 2011 WA-INS $170,000
American Bankers Insurance Company of Florida Assurant insurance violation 2021 OR-FIN $20,000
American Bankers Insurance Company of Florida Assurant insurance violation 2021 TX-INS $45,000
American Bankers Insurance Company of Florida et al. Assurant insurance violation 2004 CA-INS $150,000
American Bankers Insurance Company of Florida et al. Assurant insurance violation 2005 CA-INS $250,000
American Bankers Insurance Group Inc. Assurant insurance violation 2001 MULTI-FIN $3,000,000
AMERICAN BANKERS LIFE Assurant insurance violation 2007 VA-INS $97,000
American Bankers Life Assurance Company of Florida Assurant insurance violation 2011 IL-INS $15,000
American Bankers Life Assurance Company of Florida Assurant insurance violation 2003 MN-FIN $100,000
American Bankers Life Assurance Company of Florida Assurant insurance violation 2018 MO-INS $37,500
American Bankers Life Assurance Company of Florida et al. Assurant insurance violation 2008 CA-INS $750,000
AMERICAN BANKERS LIFE ASSURANCE OF FLORIDA Assurant insurance violation 2001 VA-INS $15,000
American Contractors Indemnity Co. Tokio Marine insurance violation 2007 CA-INS $170,000
American Economy Insurance Co. Liberty Mutual Insurance insurance violation 2012 VA-INS $5,000
American Economy Insurance Co. et al. Liberty Mutual Insurance insurance violation 2011 VA-INS $12,000
American Economy Insurance Company Liberty Mutual Insurance insurance violation 2009 VA-INS $8,000
AMERICAN ECONOMY INSURANCE COMPANY Liberty Mutual Insurance insurance violation 2020 WA-INS $6,000
AMERICAN ECONOMY INSURANCE COMPANY ET AL. Liberty Mutual Insurance insurance violation 2020 WA-INS $10,000
American Express American Express consumer protection violation 2013 CFPB $69,100,000
American Express American Express consumer protection violation 2012 CFPB $99,100,000
American Express American Express economic sanction violation 2004 OFAC $18,391
American Express American Express consumer protection violation 2017 CFPB $96,000,000
American Express American Express economic sanction violation 2017 OFAC $204,277
American Express Bank International American Express anti-money-laundering deficiencies 2007 DOJ_CRIMINAL $55,000,000
American Express Bank Ltd. American Express economic sanction violation 2004 OFAC $5,041
American Express Bank, FSB American Express banking violation 2013 OCC $7,500,000
American Express Bank, FSB American Express banking violation 2012 OCC $6,500,000
American Express Centurion Bank American Express banking violation 2013 FDIC $3,600,000
American Express Centurion Bank American Express banking violation 2012 FDIC $3,900,000
American Express Centurion Bank American Express banking violation 2009 FDIC $250,000
American Express Centurion Bank American Express tax violations 2012 CT-AG $14,970
American Express Co. American Express consumer protection violation 2003 NY-AG $3,285,000
AMERICAN EXPRESS COMPANY American Express banking violation 2012 FED $9,000,000
American Express Company American Express economic sanction violation 2004 OFAC $5,500
American Express Financial Advisors Ameriprise Financial employment discrimination 2002 private lawsuit-federal $31,000,000
American Express Financial Advisors Ameriprise Financial investor protection violation 2000 AZ-CC $125,000
American Express Financial Advisors Ameriprise Financial investor protection violation 2005 FINRA $13,000,000
American Express Financial Advisors Inc. Ameriprise Financial investor protection violation 2004 SEC $3,706,693
American Express Financial Advisors Inc. Ameriprise Financial investor protection violation 2005 NJ-AG $5,000,000
American Express Financial Advisors Inc. Ameriprise Financial investor protection violation 2005 NH-BSR $7,375,000
American Express Financial Advisors Inc. Ameriprise Financial investor protection violation 2000 TX-SEC $9,000
American Express Financial Advisors Inc. Ameriprise Financial investor protection violation 2004 FINRA $700,000
American Express Financial Advisors Inc. Ameriprise Financial investor protection violation 2002 FINRA $350,000
American Express Financial Advisors, Inc. Ameriprise Financial investor protection violation 2002 MN-FIN $5,000
American Express Financial Advisors, Inc. Ameriprise Financial investor protection violation 2005 MN-FIN $2,000,000
American Express Financial Advisors, Inc. Ameriprise Financial investor protection violation 2004 FINRA $300,000
American Express Prepaid Card Management Corp. American Express consumer protection violation 2010 AR-SEC $20,000
American Express Travel Related Services Co, Inc. American Express consumer protection violation 2015 FL-OFR $9,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)