Violation Tracker

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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 Companies	Total Penalty $	Number of Records
Bank of America	$87,286,650,890	328
JPMorgan Chase	$39,340,688,209	275
UBS	$31,069,299,125	179
Wells Fargo	$27,616,269,231	266
Citigroup	$26,945,611,792	181
Deutsche Bank	$20,011,467,563	99
Goldman Sachs	$17,729,358,987	111
NatWest Group PLC	$14,370,701,618	43
Morgan Stanley	$10,780,502,443	203
BNP Paribas	$10,363,464,666	23

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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Company	Current Parent	Primary Offense Type	Year	Agency	Penalty Amount
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 FSB	American Express	consumer protection violation	2016	private lawsuit-federal	$4,000,000
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 Co.	American Express	consumer protection violation	2012	private lawsuit-federal	$49,500,000
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 Company	American Express	employment discrimination	2022	DOJ_RIGHTS	$29,008
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 National Bank	American Express	economic sanction violation	2022	OFAC	$430,500
American Express National Bank	American Express	banking violation	2023	OCC	$15,000,000
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
American Express Travel Related Services Co.	American Express	wage and hour violation	2021	WHD	$5,663
American Express Travel Related Services Co., Inc.	American Express	economic sanction violation	2007	OFAC	$16,625
American Express Travel Related Services Comp	American Express	Family and Medical Leave Act	2004	WHD	$26,722
American Express Travel Related Services Company, Inc.	American Express	economic sanction violation	2013	OFAC	$5,226,120
American Express Travel Related Services Company, Inc.	American Express	consumer protection violation	2011	NE-DBF	$35,000
American Family Assurance Company of Columbus	Aflac	insurance violation	2014	ID-INS	$30,000
American Family Connect Insurance Company	American Family Insurance	insurance violation	2021	NY-DFS	$23,000
American Family Connect Insurance Company	American Family Insurance	insurance violation	2022	NY-DFS	$50,000
American Family Connect Property and Casualty Insurance Company	American Family Insurance	insurance violation	2020	AZ-DIFI	$50,000
American Family Connect Property And Casualty Insurance Company	American Family Insurance	insurance violation	2016	WA-INS	$10,000
American Family Connect Property And Casualty Insurance Company	American Family Insurance	insurance violation	2019	WA-INS	$7,500
AMERICAN FAMILY CONNECT PROPERTY AND CASUALTY INSURANCE COMPANY	American Family Insurance	insurance violation	2022	WA-INS	$40,000
American Family Home Insurance Co.	Munich Re	insurance violation	2011	SC-INS	$9,800
American Family Home Insurance Company	Munich Re	insurance violation	2015	NY-DFS	$25,000
AMERICAN FAMILY INSURANCE	American Family Insurance	workplace safety or health violation	2012	OSHA	$12,500
American Family Insurance Company	American Family Insurance	insurance violation	2018	NE-DOI	$15,000
AMERICAN FAMILY INSURANCE COMPANY	American Family Insurance	insurance violation	2021	WA-INS	$50,000
American Family Insurance Company	American Family Insurance	insurance violation	2022	WA-INS	$25,000
AMERICAN FAMILY LIFE ASSURANCE	Aflac	insurance violation	2003	VA-INS	$7,500
American Family Life Assurance Co., known as Aflac	Aflac	Family and Medical Leave Act	2012	WHD	$16,882
American Family Life Assurance Company	Aflac	insurance violation	2019	SD-INS	$100,000
American Family Life Assurance Company of Columbus	Aflac	insurance violation	2012	MD-INS	$200,000
American Family Life Assurance Company of Columbus	Aflac	insurance violation	2011	ME-INS	$20,000
American Family Life Assurance Company of Columbus	Aflac	insurance violation	2006	MN-FIN	$15,000
American Family Life Assurance Company of Columbus	Aflac	insurance violation	2013	VA-INS	$10,000
American Family Life Assurance Company of Columbus	Aflac	insurance violation	2012	MULTI-FIN	$1,600,000
American Family Life Assurance Company of Columbus	Aflac	insurance violation	2020	CT-INS	$8,500
American Family Life Assurance Company of Columbus	Aflac	insurance violation	2022	MN-FIN	$25,000
American Family Life Assurance Company of New York (AFLAC)	Aflac	insurance violation	2018	NY-DFS	$1,138,368
American Family Life Insurance Company of Columbus	Aflac	insurance violation	2018	MULTI-FIN	$2,500,000
American Family Life Insurance Company of Columbus	Aflac	insurance violation	2017	MULTI-FIN	$350,000
American Family Mutual Insurance Co.	American Family Insurance	insurance violation	2006	CO-INS	$6,000
American Family Mutual Insurance Co.	American Family Insurance	insurance violation	2007	CO-INS	$5,500
American Family Mutual Insurance Co.	American Family Insurance	insurance violation	2016	KS-INS	$20,000