Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$325,206,110,617
Number of Records: 
5,976
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$82,700,046,034213
JPMorgan Chase$34,530,243,993154
Citigroup$25,045,655,764120
Wells Fargo$21,199,943,231179
Deutsche Bank$18,156,533,87859
UBS$16,792,800,91083
Royal Bank of Scotland$13,455,904,00027
Goldman Sachs$13,140,380,98740
BNP Paribas$12,132,582,95017
Credit Suisse$10,409,957,62631


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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Companysort icon Parent Primary Offense Type Year Agency Penalty Amount
American Family Mutual Insurance Company American Family Insurance insurance violation 2016 NE-DOI $15,000
American Family Mutual Insurance Company American Family Insurance insurance violation 2003 OR-FIN $10,000
American Family Mutual Insurance Company American Family Insurance insurance violation 2008 OR-FIN $6,500
American Family Mutual Insurance Company American Family Insurance insurance violation 2018 UT-INS $39,400
American Family Mutual Insurance Company S.I. American Family Insurance insurance violation 2011 WA-INS $20,000
American Family Mutual Insurance Company S.I. American Family Insurance insurance violation 2013 WA-INS $10,000
American Family Mutual Insurance Company S.I. American Family Insurance insurance violation 2015 WA-INS $10,000
American Family Mutual Insurance Company S.I. American Family Insurance insurance violation 2016 WA-INS $15,000
American Family Mutual Insurance Company S.I. American Family Insurance insurance violation 2018 WA-INS $10,000
American Fire and Casualty Co Liberty Mutual Insurance insurance violation 2016 TX-INS $20,000
American Fire and Casualty Company and Ohio Security Insurance Company Liberty Mutual Insurance insurance violation 2019 VA-INS $148,910
American General American International Group insurance violation 2000 MULTI-FIN $7,500,000
American General Financial Services OneMain Holdings consumer protection violation 2009 WA-FIN $74,984
American General Financial Services Inc. OneMain Holdings insurance violation 2004 NJ-DBI $1,200,000
American General Financial Services Inc. OneMain Holdings insurance violation 2010 OR-FIN $75,000
American General Financial Services, Inc. OneMain Holdings consumer protection violation 2008 NE-DBF $30,000
AMERICAN GENERAL LIFE American International Group insurance violation 2001 VA-INS $14,000
American General Life and Accident Insurance Co. American International Group insurance violation 2006 FL-OFR $1,568,324
American General Life and Accident Insurance Co. American International Group insurance violation 2000 KS-INS $23,400
American General Life and Accident Insurance Co. American International Group insurance violation 2011 MD-INS $7,000
American General Life Insurance American International Group discriminatory practices (non-employment) 2000 private lawsuit-federal $214,000,000
American General Life Insurance Co. American International Group insurance violation 2019 DE-INS $85,000
American General Life Insurance Co. American International Group insurance violation 2008 FL-OFR $260,000
American General Life Insurance Co. American International Group insurance violation 2018 FL-OFR $210,000
American General Life Insurance Co. American International Group insurance violation 2016 KS-INS $15,000
American General Life Insurance Co. American International Group insurance violation 2015 MN-FIN $10,000
American General Life Insurance Company American International Group insurance violation 2020 MA-AG $363,000
American General Life Insurance Company American International Group insurance violation 2020 RI-FIN $25,000
American General Life Insurance Company American International Group insurance violation 2014 SD-INS $15,000
American General Life Insurance Company American International Group insurance violation 2020 WA-INS $10,000
American General Life Insurance Company of Delaware American International Group insurance violation 2012 WI-INS $40,000
American Guarantee & Liability Insurance Company Zurich Insurance insurance violation 2010 TX-INS $30,000
American Guarantee & Liability Insurance Company et al. Zurich Insurance insurance violation 2013 WA-INS $50,000
American Guarantee and Liability Insurance Co. Zurich Insurance insurance violation 2002 FL-OFR $10,850
American Guarantee and Liability Insurance Company Zurich Insurance insurance violation 2014 TX-INS $11,000
American Guarantee and Liability Insurance Company Zurich Insurance insurance violation 2015 TX-INS $6,000
American Guarantee and Liability Insurance Company Zurich Insurance insurance violation 2011 VA-INS $5,000
AMERICAN HEALTH & LIFE INSURANCE CO OneMain Holdings insurance violation 2005 VA-INS $7,000
American Health and Life Insurance Co. OneMain Holdings insurance violation 2019 LA-INS $11,000
AMERICAN HERITAGE LIFE INSURANCE CO Allstate insurance violation 2002 VA-INS $15,000
AMERICAN HERITAGE LIFE INSURANCE CO Allstate insurance violation 2006 VA-INS $18,000
American Heritage Life Insurance Co. Allstate consumer protection violation 2007 TX-AG $1,700,000
American Heritage Life Insurance Co. Allstate insurance violation 2000 FL-OFR $12,750
American Heritage Life Insurance Co. Allstate insurance violation 2011 FL-OFR $28,000
American Home Assurance Co. American International Group insurance violation 2007 FL-OFR $25,500
American Home Assurance Co. American International Group insurance violation 2010 ME-INS $11,111
American Home Assurance Co. American International Group insurance violation 2012 TX-INS $20,784
AMERICAN HOME ASSURANCE CO. American International Group insurance violation 2012 VA-INS $15,000
American Home Assurance Co. et al. American International Group insurance violation 2015 MO-INS $1,250,000
American Home Assurance Company American International Group insurance violation 2002 MA-INS $64,546
American Home Assurance Company American International Group insurance violation 2003 MA-INS $12,500
American Home Assurance Company American International Group insurance violation 2007 OR-FIN $10,000
American Home Assurance Company American International Group consumer protection violation 2012 OR-FIN $20,000
American Home Assurance Company American International Group insurance violation 2009 TX-INS $22,500
American Home Assurance Company American International Group insurance violation 2013 TX-INS $5,500
American Home Assurance Company American International Group insurance violation 2014 TX-INS $7,848
American Home Assurance Company American International Group insurance violation 2015 TX-INS $90,000
American Home Assurance Company American International Group insurance violation 2016 TX-INS $20,000
American Home Assurance Company American International Group insurance violation 2016 TX-INS $9,000
American Home Assurance Company et al. American International Group insurance violation 2010 TX-INS $650,000
AMERICAN HOME ASSURANCE ET AL. American International Group insurance violation 2007 VA-INS $5,000
American Income Life Insurance Co. Globe Life Inc. insurance violation 2002 MS-INS $50,000
American Income Life Insurance Co. Globe Life Inc. insurance violation 2019 MT-INS $15,000
American Income Life Insurance Company Globe Life Inc. insurance violation 2013 WA-INS $75,000
American International Group American International Group economic sanction violation 2017 OFAC $148,698
American International Group American International Group wage and hour violation 2009 MA-AG $900,000
American International Group American International Group False Claims Act and related 2008 MA-AG $218,920
American International Group American International Group False Claims Act and related 2007 MA-AG $58,500,000
American International Group American International Group price-fixing or anti-competitive practices 2006 NY-AG (*) $1,619,000,000
American International Group American International Group investor protection violation 2010 OH-AG $725,000,000
American International Group American International Group price-fixing or anti-competitive practices 2010 OH-AG $9,000,000
American International Group American International Group insurance violation 2010 MULTI-FIN $146,500,000
American International Group American International Group insurance violation 2012 MULTI-FIN $11,000,000
American International Group et al. American International Group insurance violation 2002 CA-INS $411,500
AMERICAN INTERNATIONAL GROUP INC GROUP LIFE & MEDICAL INSURANCE PLAN American International Group benefit plan administrator violation 2005 EBSA $50,001
American International Group Inc. American International Group investor protection violation 2010 OR-AG $8,000,000
American International Group, Inc. American International Group accounting fraud or deficiencies 2006 DOJ_CRIMINAL $25,000,000
American International Group, Inc. American International Group accounting fraud or deficiencies 2004 DOJ_CRIMINAL $80,000,000
American International Group, Inc. American International Group investor protection violation 2006 SEC $800,000,000
American International Group, Inc. American International Group investor protection violation 2004 SEC $46,000,000
American International Group, Inc. American International Group accounting fraud or deficiencies 2003 SEC $10,000,000
American International Group, Inc. American International Group benefit plan administrator violation 2015 private lawsuit-federal $40,000,000
American International Group, Inc. American International Group benefit plan administrator violation 2008 private lawsuit-federal $24,200,000
American International Group, Inc. American International Group price-fixing or anti-competitive practices 2008 MULTI-AG $12,500,000
American International Group, Inc. American International Group tax violations 2006 MI-AG $5,279,484
American International Group, Inc. American International Group economic sanction violation 2014 OFAC $279,038
American International Insurance Co. and AIG National Insurance Company, Inc. American International Group insurance violation 2003 FL-OFR $66,750
American International Insurance Group Inc. American International Group insurance violation 2008 PA-INS $9,125,400
American International Specialty Lines Insurance Co. American International Group insurance violation 2005 NJ-DBI $13,000
American Memorial Life Insurance Company Assurant insurance violation 2016 SD-INS $5,000
American Modern Home Insurance Co. Munich Re insurance violation 2010 MD-INS $5,000
American Modern Home Insurance Co. Munich Re insurance violation 2015 MO-INS $10,000
American Modern Home Insurance Company Munich Re insurance violation 2012 NC-INS $1,860,000
American Modern Home Insurance Company Munich Re insurance violation 2015 NY-DFS $150,000
American Modern Home Insurance Company Munich Re insurance violation 2016 WA-INS $5,000
American Modern Home Insurance Company Munich Re insurance violation 2017 WA-INS $5,000
American Modern Home Insurance Company Munich Re insurance violation 2017 MULTI-FIN $255,000
American Modern Insurance Group Inc. Munich Re insurance violation 2015 MULTI-FIN $6,000,000
American Modern Insurance Group, Inc. et al. Munich Re insurance violation 2016 MN-FIN $1,000,000
American National General Insurance Company American National Insurance insurance violation 2012 WA-INS $10,000
AMERICAN NATIONAL INSURANCE American National Insurance insurance violation 2006 VA-INS $22,000
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