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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 Parent sort iconPrimary Offense TypeYearAgencyPenalty Amount
Great American LifeMassachusetts Mutual Life Insuranceinsurance violation2016MULTI-AG$400,000
Great American Life Insurance CompanyMassachusetts Mutual Life Insuranceinsurance violation2009MN-AG$50,000,000
Massachusetts Mutual Life Insurance Company, Inc.Massachusetts Mutual Life Insuranceinsurance violation2019CT-INS$61,000
MassMutual Life Insurance CompanyMassachusetts Mutual Life Insuranceinsurance violation2020NY-DFS$1,399,708
Great American Life Insurance CompanyMassachusetts Mutual Life Insuranceinsurance violation2002OR-FIN$10,000
MML Investors Services LLCMassachusetts Mutual Life Insuranceinvestor protection violation2015PA-BKG$100,000
MML Investors Services LLCMassachusetts Mutual Life Insuranceinvestor protection violation2012RI-FIN$250,000
MASSACHUSETTS MUTUAL LIFE INSURANCEMassachusetts Mutual Life Insuranceinsurance violation2003VA-INS$15,000
MML Investors Services, Inc.Massachusetts Mutual Life Insuranceinvestor protection violation2007FINRA$473,000
MML Investor Services, Inc.Massachusetts Mutual Life Insuranceinvestor protection violation2004FINRA$250,000
MML Investors Services, LLCMassachusetts Mutual Life Insuranceinvestor protection violation2021MA-SEC$4,000,000
MML Investors Services, LLCMassachusetts Mutual Life Insuranceinvestor protection violation2021SEC$2,109,458
Great American Life Insurance CompanyMassachusetts Mutual Life Insuranceinsurance violation2021CT-INS$6,000
MML Investors Services, LLCMassachusetts Mutual Life Insuranceinvestor protection violation2022MA-SEC$262,092
Massachusetts Mutual Life Insurance CompanyMassachusetts Mutual Life Insuranceconsumer protection violation2017private lawsuit-federal$37,500,000
MML Investors Services, LLCMassachusetts Mutual Life Insuranceinvestor protection violation2023MI-SEC$10,000
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANYMassachusetts Mutual Life Insuranceinsurance violation2023WA-INS$10,000
MASS MUTUAL INSTITUTIONAL FUNDSMassachusetts Mutual Life Insuranceworkplace safety or health violation2020OSHA$9,639
Mastercard International Inc.MasterCardconsumer protection violation2017CFPB$13,000,000
Mastercard International, IncMasterCardwage and hour violation2008WHD$5,777
Mastercard Inc.MasterCardconsumer protection violation2018NM-AG$1,125,000
Mastercard International Inc.MasterCardprice-fixing or anti-competitive practices2008WV-AG$6,400,000
MasterCard Inc.MasterCardprice-fixing or anti-competitive practices2009private lawsuit-federal$72,480,000
Mastercard International Inc.MasterCardprice-fixing or anti-competitive practices2019private lawsuit-federal$2,100,000,000
Mastercard International Inc.MasterCardprice-fixing or anti-competitive practices2004private lawsuit-federal$1,025,000,000
MBIA Inc.MBIAaccounting fraud or deficiencies2007SEC$50,000,000
MBIA, Inc.MBIAinvestor protection violation2007NY-AG$25,000,000
Standard Insurance CompanyMeiji Yasuda Life Insuranceemployment discrimination2011OFCCP$18,505
Standard Insurance CompanyMeiji Yasuda Life Insuranceinsurance violation2016MULTI-AG$277,000
Standard Insurance Co.Meiji Yasuda Life Insuranceinsurance violation2007MO-INS$9,300
Standard Insurance CompanyMeiji Yasuda Life Insuranceinsurance violation2011OR-FIN$15,000
The Standard Insurance Co.Meiji Yasuda Life Insuranceinsurance violation2020CT-INS$7,500
Standard Insurance CompanyMeiji Yasuda Life Insuranceinsurance violation2020CT-INS$10,000
STANDARD INSURANCE COMPANYMeiji Yasuda Life Insuranceinsurance violation2022WA-INS$25,000
STANDARD INSURANCE COMPANYMeiji Yasuda Life Insuranceinsurance violation2024WA-INS$5,000
Mercury Casualty Co.Mercury General Corporationinsurance violation2013AZ-DIFI$19,000
Mercury Insurance Co.Mercury General Corporationinsurance violation2006CA-INS$9,000
Workmen's Auto Insurance Co.Mercury General Corporationinsurance violation2006CA-INS$100,000
Mercury Insurance GroupMercury General Corporationinsurance violation2006CA-INS$300,000
Mercury Insurance CompanyMercury General Corporationinsurance violation2015CA-INS$1,000,000
Mercury Insurance Co. and Mercury Casualty Co. and California Automobile Insurance Co.Mercury General Corporationinsurance violation2019CA-INS$41,188,505
Workmen's Auto Insurance CompanyMercury General Corporationinsurance violation2003IN-INS$8,000
Mercury Indemnity Company of AmericaMercury General Corporationinsurance violation2018NJ-DBI$25,000
Mercury Casualty CompanyMercury General Corporationinsurance violation2019NY-DFS$31,000
MERCURY CASUALTY COMPANYMercury General Corporationinsurance violation2007VA-INS$25,600
MERCURY CASUALTY COMPANYMercury General Corporationinsurance violation2010VA-INS$26,942
MERCURY CASUALTY COMPANYMercury General Corporationinsurance violation2018VA-INS$173,650
Mercury Casualty CompanyMercury General Corporationinsurance violation2020NY-DFS$11,000
MetLife BankMetLifebanking violation2013OCC$78,536,455
METLIFE, INCMetLifebanking violation2012FED$3,200,000
MetLife Home Loans LLCMetLifeFalse Claims Act and related2015DOJ_CIVIL$123,500,000
General American Life Insurance Company, Inc.MetLifeFalse Claims Act and related2002DOJ_CIVIL$76,000,000
General American Life Insurance CompanyMetLifeinvestor protection violation2007SEC$3,300,000
MetLife, Inc.MetLifewage and hour violation2013WHD$24,296
Metropolitan Life Insurance CompanyMetLifeFamily and Medical Leave Act2009WHD$6,375
MetLife Financial ServicesMetLifelabor relations violation2002NLRB$18,500
Metropolitan Life Insurance CompanyMetLifekickbacks and bribery2010USAO$13,500,000
MetLifeMetLifewage and hour violation2015private lawsuit-federal$1,970,000
MetLifeMetLifewage and hour violation2013private lawsuit-federal$450,000
MetLifeMetLifewage and hour violation2013private lawsuit-federal$3,003,000
MetLifeMetLifewage and hour violation2011private lawsuit-federal$2,000,000
MetLifeMetLifewage and hour violation2011private lawsuit-federal$2,350,000
MetLifeMetLifewage and hour violation2009private lawsuit-federal$7,400,000
Metropolitan Life Insurance CompanyMetLifeinvestor protection violation2006SEC$250,000
New England Securities Corp.MetLifeinvestor protection violation2006SEC$2,614,865
MetLife SecuritiesMetLifeemployment discrimination2017private lawsuit-federal$32,500,000
Metropolitan LifeMetLifeemployment discrimination2003private lawsuit-federal$10,000,000
Metropolitan LifeMetLifebenefit plan administrator violation2012private lawsuit-federal$350,000
MetLifeMetLifeinsurance violation2012MULTI-AG$40,000,000
Metropolitan Life Insurance Co.MetLifeprivacy violation2012CT-AG$10,000
Metropolitan Life Insurance Co.MetLifeconsumer protection violation2004MA-AG$150,000
Metropolitan Life Insurance Co.MetLifeconsumer protection violation2000MA-AG$1,200,000
Metropolitan Life Insurance CompanyMetLifeconsumer protection violation2006NY-AG$19,000,000
Metropolitan Life Insurance CompanyMetLifeeconomic sanction violation2011OFAC$22,500
Metropolitan Life InsuranceMetLifekickbacks and bribery2008CA-MULTI$500,000
Metropolitan Life Insurance Company, Inc.MetLifeinsurance violation2014NY-MANDA$10,000,000
MetLife, Inc.MetLifeinvestor protection violation2019SEC$10,000,000
Metropolitan Life Insurance Co.MetLifeinsurance violation2007CA-INS$700,000
MetLife Securities, Inc.MetLifeinvestor protection violation2012DC-DISB$25,000
Metropolitan Life Insurance Co.MetLifeinsurance violation2012FL-OFR$103,000
MetLife Securities, Inc.MetLifeinvestor protection violation2010IL-SEC$135,000
MetLife, Inc.MetLifeinvestor protection violation2018MA-SEC$1,000,000
Metropolitan Life Insurance Co.MetLifeinsurance violation2011MD-INS$125,000
Metropolitan Life Insurance Co.MetLifeinsurance violation2012MD-INS$11,400
Metropolitan Life Insurance Co.MetLifeinsurance violation2012MD-INS$175,000
Metropolitan Life Insurance Co.MetLifeinsurance violation2012MD-INS$5,000
Metropolitan Life Insurance Co.MetLifeinsurance violation2015MD-INS$9,800
Metropolitan Life Insurance Co.MetLifeinsurance violation2017MD-INS$11,300
Metropolitan Life Insurance Co.MetLifeinsurance violation2003MN-FIN$10,000
MetLife Investors USA Insurance Co. et al.MetLifeinsurance violation2006MN-FIN$250,000
MetLife Investors USA Insurance Co. et al.MetLifeinsurance violation2012MN-FIN$200,000
MetLife, Inc. et al.MetLifeinsurance violation2014MN-FIN$1,500,000
Metropolitan Life Insurance Co.MetLifeinsurance violation2006MO-INS$12,162
MetLife Securities, Inc.MetLifeinvestor protection violation2006MS-SEC$50,000
Metlife Investors USA Insurance CoMetLifeinvestor protection violation2012MT-FIN$5,000
MetLife Investors USA Insurance CompanyMetLifeinsurance violation2009NH-INS$54,524
MetLifeMetLifeinsurance violation2014NY-DFS$50,000,000
MetLife Insurance CompanyMetLifeinsurance violation2019NY-DFS$208,750,000
MetLife SecuritiesMetLifeinvestor protection violation2005OR-FIN$12,000
Metropolitan Life Insurance CompanyMetLifeinsurance violation2011OR-FIN$5,000
Metropolitan Life Insurance CompanyMetLifeinsurance violation2019RI-FIN$15,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.