Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$332,924,888,663
Number of Records: 
6,731
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$82,885,116,051259
JPMorgan Chase$35,851,377,155190
Citigroup$25,535,002,360154
Wells Fargo$21,428,596,719217
Deutsche Bank$18,341,457,30276
UBS$16,845,624,16097
Goldman Sachs$16,381,931,83964
NatWest Group PLC$13,477,129,00031
BNP Paribas$12,147,863,95019
Credit Suisse$10,447,392,62644


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)
Company Parent Primary Offense Type Yearsort icon Agency Penalty Amount
Ace American Insurance Co. Chubb Limited insurance violation 2003 FL-OFR $6,000
Illinois National Insurance Co. American International Group insurance violation 2003 FL-OFR $5,000
National Union Fire Insurance Company of Pittsburgh, PA American International Group insurance violation 2003 FL-OFR $62,250
Kemper Auto and Home Insurance Co. Kemper insurance violation 2003 FL-OFR $16,500
CitiFinancial, Inc. Citigroup consumer protection violation 2003 FL-OFR $8,199
Alpha Property & Casualty Insurance Co. Kemper insurance violation 2003 FL-OFR $32,500
The Equitable Life Assurance Society of the United States Equitable Holdings insurance violation 2003 FL-OFR $1,600,000
American Alternative Insurance Corp. Munich Re insurance violation 2003 FL-OFR $21,500
Victoria Fire & Casualty Co. Nationwide insurance violation 2003 IN-INS $5,000
Workmen's Auto Insurance Company Mercury General Corporation insurance violation 2003 IN-INS $8,000
Progressive Casualty Insurance Company Progressive insurance violation 2003 IN-INS $8,000
Allstate Insurance Company Allstate insurance violation 2003 IN-INS $12,220
Protective Life Insurance Company Dai-ichi Life insurance violation 2003 MA-INS $30,000
American Zurich Insurance Company Zurich Insurance insurance violation 2003 MA-INS $40,000
American Home Assurance Company American International Group insurance violation 2003 MA-INS $12,500
Bankers Life & Casualty Co. CNO Financial insurance violation 2003 ME-INS $5,000
Illinois Farmers Insurance Co. Zurich Insurance insurance violation 2003 MN-FIN $20,000
American Bankers Insurance Company of Florida Assurant insurance violation 2003 MN-FIN $100,000
American Bankers Life Assurance Company of Florida Assurant insurance violation 2003 MN-FIN $100,000
Illinois Farmers Insurance Co. Zurich Insurance insurance violation 2003 MN-FIN $10,000
Auto-Owners Insurance Co. Auto-Owners Insurance insurance violation 2003 MN-FIN $5,000
Metropolitan Life Insurance Co. MetLife insurance violation 2003 MN-FIN $10,000
Berthel Fisher & Company Berthel Fisher investor protection violation 2003 MN-FIN $10,000
Foremost Insurance Co. Zurich Insurance insurance violation 2003 MN-FIN $5,000
Monumental Life Insurance Co. Aegon insurance violation 2003 MS-INS $24,351
Conseco Life Insurance Co. CNO Financial insurance violation 2003 MS-INS $50,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler investor protection violation 2003 MT-SEC $2,625,000
Hartford Fire Insurance Co. et al. Hartford Financial Services insurance violation 2003 MT-INS $30,000
Edward D. Jones & Co. LP Jones Financial investor protection violation 2003 ND-SEC $7,000
Berthel Fisher and Company Financial Services Inc. Berthel Fisher investor protection violation 2003 ND-SEC $12,303
A.G. Edwards & Sons Inc. Wells Fargo investor protection violation 2003 NE-DBF $20,000
USAA Casualty Insurance and United Services Auto Association USAA insurance violation 2003 NJ-DBI $6,200,000
Horizon Healthcare of New Jersey Inc. Horizon Healthcare Services insurance violation 2003 NJ-DBI $200,000
American Family Mutual Insurance Company American Family Insurance insurance violation 2003 OR-FIN $10,000
Conseco Life Insurance Company CNO Financial insurance violation 2003 OR-FIN $8,300
Fortis Insurance Company Assurant insurance violation 2003 OR-FIN $20,000
Dairyland Insurance Company Sentry Insurance insurance violation 2003 SC-INS $5,000
MONY Securities Corporation Equitable Holdings investor protection violation 2003 TN-SEC $10,000
Ameritas Investment Corporation Ameritas Mutual Holding Company investor protection violation 2003 TX-SEC $25,000
AMERICAN FAMILY LIFE ASSURANCE Aflac insurance violation 2003 VA-INS $7,500
UNUM LIFE INSURANCE COMPANY Unum insurance violation 2003 VA-INS $14,000
NATIONWIDE MUTUAL INSURANCE CO ET AL Nationwide insurance violation 2003 VA-INS $64,080
PEERLESS INSURANCE COMPANY Liberty Mutual Insurance insurance violation 2003 VA-INS $28,100
ERIE INSURANCE EXCHANGE Erie Indemnity insurance violation 2003 VA-INS $6,200
FIDELITY & GUARANTY LIFE INSURANCE Fidelity National Financial insurance violation 2003 VA-INS $20,000
VICTORIA FIRE & CASUALTY ET AL Nationwide insurance violation 2003 VA-INS $29,000
JEFFERSON PILOT SECURITIES Lincoln National investor protection violation 2003 VA-SEC $26,500
PRINCIPAL LIFE INSURANCE CO Principal Financial insurance violation 2003 VA-INS $10,000
ALLSTATE INSURANCE & ALLSTATE INDEMNITY CO Allstate insurance violation 2003 VA-INS $31,300
FARMERS INSURANCE EXCHANGE Farmers Insurance Exchange insurance violation 2003 VA-INS $42,000
ALLSTATE INSURANCE CO., ET AL. Allstate insurance violation 2003 VA-INS $50,000
Group Hospitalization and Medical Services, Inc. CareFirst of Maryland insurance violation 2003 VA-INS $15,000
MASSACHUSETTS MUTUAL LIFE INSURANCE Massachusetts Mutual Life Insurance insurance violation 2003 VA-INS $15,000
UNITED AMERICAN INSURANCE CO. Globe Life Inc. insurance violation 2003 VA-INS $15,000
Insurance Company of North America Chubb Limited insurance violation 2003 WA-INS $500,000
Allstate Financial Services, Inc. Allstate consumer protection violation 2003 WA-FIN $58,988
AIG Warranty Guard, Inc. American International Group insurance violation 2003 WI-INS $50,000
General Casualty Company of Wisconsin QBE Insurance insurance violation 2003 WI-INS $6,500
National Union Fire Ins Co. of Pittsburgh American International Group insurance violation 2003 WI-INS $10,000
National Union Fire Ins Co. of Pittsburgh American International Group insurance violation 2003 WI-INS $5,000
National Union Fire Ins Co. of Pittsburgh American International Group insurance violation 2003 WI-INS $10,000
Regent Insurance Co. QBE Insurance insurance violation 2003 WI-INS $8,500
Hartford Insurance Company of the Midwest Hartford Financial Services insurance violation 2003 WI-INS $6,500
Foremost Insurance Co. Zurich Insurance insurance violation 2003 WI-INS $8,500
Bear, Stearns & Co. Inc. JPMorgan Chase investor protection violation 2003 MULTI-FIN (*) $25,000,000
Citigroup Global Markets Inc. Citigroup investor protection violation 2003 MULTI-FIN (*) $150,000,000
Credit Suisse First Boston LLC Credit Suisse investor protection violation 2003 MULTI-FIN (*) $75,000,000
Goldman Sachs & Co. Goldman Sachs investor protection violation 2003 MULTI-FIN (*) $25,000,000
J.P. Morgan Securities Inc. JPMorgan Chase investor protection violation 2003 MULTI-FIN (*) $25,000,000
Lehman Brothers Inc. Lehman Brothers investor protection violation 2003 MULTI-FIN (*) $25,000,000
Monumental Life Insurance Company Aegon insurance violation 2003 MULTI-FIN $37,000,000
Morgan Stanley & Co. Morgan Stanley investor protection violation 2003 MULTI-FIN (*) $25,000,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler investor protection violation 2003 MULTI-FIN (*) $12,500,000
UBS Warburg and UBS PaineWebber UBS investor protection violation 2003 MULTI-FIN (*) $25,000,000
Wheelabrator Putnam Incorporated Macquarie environmental violation 2003 CT-ENV $33,500
WHEELABRATOR BALTIMORE Macquarie environmental violation 2003 MD-ENV $17,500
Sherwin Alumina, L.P. Glencore environmental violation 2003 TX-ENV $6,300
Imperial Sugar Company Louis Dreyfus environmental violation 2003 TX-ENV $6,800
Morgan Stanley DW Inc. Morgan Stanley investor protection violation 2003 FINRA (*) $50,000,000
Morgan Stanley DW Inc. Morgan Stanley investor protection violation 2003 FINRA $2,000,000
J.P. Morgan Securities, Inc. JPMorgan Chase investor protection violation 2003 FINRA $6,000,000
Robertson Stephens, Inc. Bank of America investor protection violation 2003 FINRA (*) $14,000,000
AMERICAN INTERNATIONAL GROUP American International Group workplace safety or health violation 2003 OSHA $5,900
BANK OF AMERICA Bank of America workplace safety or health violation 2003 OSHA $5,000
Credit Lyonnais Rouse Limited Credit Agricole investor protection violation 2004 CFTC $25,000
FIRST BANK First Bancorp (North Carolina) banking violation 2004 FDIC $12,000
NEW YORK COMMUNITY BANK New York Community Bancorp banking violation 2004 FDIC $8,000
Citigroup Inc. Citigroup banking violation 2004 FED $70,000,000
UBS AG UBS economic sanction violation 2004 FED $100,000,000
Credit Agricole S.A. Credit Agricole banking violation 2004 FED $8,000,000
Manulife Financial Corporation Manulife Financial investor protection violation 2004 DOJ_ANTITRUST $1,000,000
Highmark, Inc. Highmark Inc. False Claims Act and related 2004 DOJ_CIVIL $1,500,000
American International Group, Inc. American International Group accounting fraud or deficiencies 2004 DOJ_CRIMINAL $80,000,000
ABN AMRO Bank, Inc ABN AMRO economic sanction violation 2004 OFAC $25,847
American Express American Express economic sanction violation 2004 OFAC $18,391
American Express Bank Ltd. American Express economic sanction violation 2004 OFAC $5,041
American Express Company American Express economic sanction violation 2004 OFAC $5,500
Arab Banking Corp. Arab Banking Corp. economic sanction violation 2004 OFAC $5,500
Bank of America Bank of America economic sanction violation 2004 OFAC $13,573
Bank of China Bank of China economic sanction violation 2004 OFAC $10,000
Bank of New York Bank of New York Mellon economic sanction violation 2004 OFAC $137,500
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)