Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$333,568,388,571
Number of Records: 
6,826
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$82,896,776,051261
JPMorgan Chase$35,851,437,155191
Citigroup$25,535,002,360154
Wells Fargo$21,678,596,719218
Deutsche Bank$18,341,457,30276
UBS$16,853,736,33498
Goldman Sachs$16,381,931,83964
NatWest Group PLC$13,477,129,00031
BNP Paribas$12,147,863,95019
Credit Suisse$10,448,892,62645


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
Guardian Life Insurance Company of America Guardian Life Insurance insurance violation 2016 NY-DFS $50,000
Agricultural Bank of China Agricultural Bank of China anti-money-laundering deficiencies 2016 NY-DFS $215,000,000
PHH Mortgage Corporation Ocwen Financial mortgage abuses 2016 NY-DFS $28,000,000
BCS Insurance Company BCS Financial Corporation insurance violation 2016 NY-DFS $100,000
Intesa Sanpaolo S.p.A. Intesa Sanpaolo anti-money-laundering deficiencies 2016 NY-DFS $235,000,000
Time Insurance Company Haven Holdings insurance violation 2016 OR-FIN $178,948
Lincoln National Life Insurance Company Lincoln National insurance violation 2016 OR-FIN $15,000
MLD Mortgage Inc. dba The Money Store MLD Mortgage Inc. dba The Money Store consumer protection violation 2016 PA-BKG $55,000
Janney Montgomery Scott LLC Penn Mutual investor protection violation 2016 PA-BKG $10,000
Edward D. Jones & Co. LP Jones Financial investor protection violation 2016 PA-BKG $135,000
AGCS Marine Insurance Company Allianz insurance violation 2016 PA-INS $10,000
USAA General Indemnity Company USAA insurance violation 2016 RI-FIN $15,000
Allstate Insurance Company Allstate insurance violation 2016 RI-FIN $10,000
Oppenheimer & Co. Inc. Oppenheimer Holdings investor protection violation 2016 SC-SEC $175,000
National Union Fire Insurance Company of Pittsburgh, PA American International Group insurance violation 2016 SC-INS $90,000
Auto-Owners Insurance Company Auto-Owners Insurance insurance violation 2016 SC-INS $7,356
Branch Banking and Trust Company Truist Financial investor protection violation 2016 SC-SEC $97,500
Transamerica Life Insurance Company Aegon insurance violation 2016 SD-INS $15,000
Standard Life & Accident Insurance Company American National Insurance insurance violation 2016 SD-INS $10,000
Zurich American Insurance Company Zurich Insurance insurance violation 2016 SD-INS $15,000
American Memorial Life Insurance Company Assurant insurance violation 2016 SD-INS $5,000
Time Insurance Company Haven Holdings insurance violation 2016 SD-INS $300,000
Union Security Insurance Company Assurant insurance violation 2016 SD-INS $35,000
Indemnity Insurance Company of North America Chubb Limited insurance violation 2016 SD-INS $5,000
Hartford Accident and Indemnity Hartford Financial Services insurance violation 2016 SD-INS $10,000
Broadspire Services Inc. Crawford & Co. insurance violation 2016 TN-INS $10,000
Wedbush Securities Inc. Wedbush Securities investor protection violation 2016 TN-SEC $30,000
American Zurich Insurance Company Zurich Insurance insurance violation 2016 TX-INS $5,000
The Travelers Indemnity Company Travelers insurance violation 2016 TX-INS $9,000
The Travelers Indemnity Company of Connecticut Travelers insurance violation 2016 TX-INS $7,000
New Hampshire Insurance Company American International Group insurance violation 2016 TX-INS $12,500
LPL Financial LLC LPL Financial investor protection violation 2016 TX-SEC $95,000
The Standard Fire Insurance Company Travelers insurance violation 2016 TX-INS $5,000
Fidelity and Guaranty Insurance Company Fidelity National Financial insurance violation 2016 TX-INS $12,000
Unitrin County Mutual Insurance Company Kemper insurance violation 2016 TX-INS $10,000
Hartford Casualty Insurance Company Hartford Financial Services insurance violation 2016 TX-INS $13,000
Twin City Fire Insurance Company Hartford Financial Services insurance violation 2016 TX-INS $9,500
American Home Assurance Company American International Group insurance violation 2016 TX-INS $20,000
Scottrade Inc. Charles Schwab Corp. investor protection violation 2016 TX-SEC $100,000
American Zurich Insurance Company Zurich Insurance insurance violation 2016 TX-INS $13,571
Fireman's Fund Insurance Company Allianz insurance violation 2016 TX-INS $15,000
Commerce and Industry Insurance Company American International Group insurance violation 2016 TX-INS $12,500
Liberty Mutual Fire Insurance Company Liberty Mutual Insurance insurance violation 2016 TX-INS $21,500
Sentry Insurance Sentry Insurance insurance violation 2016 TX-INS $12,000
The Insurance Company of the State of Pennsylvania American International Group insurance violation 2016 TX-INS $18,000
Liberty Mutual Fire Insurance Company Liberty Mutual Insurance insurance violation 2016 TX-INS $8,000
Zurich American Insurance Company Zurich Insurance insurance violation 2016 TX-INS $35,012
Berkley National Insurance Company W.R. Berkley insurance violation 2016 TX-INS $8,000
National Interstate Insurance Company American Financial Group insurance violation 2016 TX-INS $17,000
Granite State Insurance Company American International Group insurance violation 2016 TX-INS $10,200
LM Insurance Corporation Liberty Mutual Insurance insurance violation 2016 TX-INS $70,000
LM Insurance Corporation Liberty Mutual Insurance insurance violation 2016 TX-INS $6,500
Lincoln National Life Insurance Company Lincoln National insurance violation 2016 TX-INS $100,000
Liberty Insurance Corporation Liberty Mutual Insurance insurance violation 2016 TX-INS $5,500
Illinois National Insurance Co American International Group insurance violation 2016 TX-INS $24,250
QBE Insurance Corporation QBE Insurance insurance violation 2016 TX-INS $21,565
The Travelers Indemnity Co. of Connecticut Travelers insurance violation 2016 TX-INS $18,000
Old Republic Insurance Co Old Republic International insurance violation 2016 TX-INS $28,921
Liberty Insurance Corporation Liberty Mutual Insurance insurance violation 2016 TX-INS $8,000
Farmers Insurance Exchange Farmers Insurance Exchange insurance violation 2016 TX-INS $117,500,000
American Fire and Casualty Co Liberty Mutual Insurance insurance violation 2016 TX-INS $20,000
AIG Assurance Company American International Group insurance violation 2016 TX-INS $51,750
AIG Property Casualty Company American International Group insurance violation 2016 TX-INS $55,800
AIU Insurance Company American International Group insurance violation 2016 TX-INS $27,180
American Home Assurance Company American International Group insurance violation 2016 TX-INS $9,000
New Hampshire Insurance Company American International Group insurance violation 2016 TX-INS $6,000
Charles Schwab & Co. Inc. Charles Schwab Corp. investor protection violation 2016 TX-SEC $125,000
American States Insurance Company Liberty Mutual Insurance insurance violation 2016 TX-INS $27,500
Federal Insurance Company Chubb Limited insurance violation 2016 TX-INS $16,000
Travelers Property Casualty Company of America Travelers insurance violation 2016 TX-INS $62,000
Old Republic National Title Insurance Company Old Republic International insurance violation 2016 TX-INS $7,500
Marsh USA, Inc. Marsh & McLennan insurance violation 2016 TX-INS $6,500
Bannockburn Global Forex, LLC First Financial Bancorp. consumer protection violation 2016 TX-FIN $23,608
Arch Insurance Company Arch Capital insurance violation 2016 TX-INS $32,500
Hartford Casualty Insurance Company Hartford Financial Services insurance violation 2016 TX-INS $19,000
Hartford Underwriters Insurance Company Hartford Financial Services insurance violation 2016 TX-INS $45,000
Sentinel Insurance Company, Ltd Hartford Financial Services insurance violation 2016 TX-INS $32,000
Liberty Insurance Corporation Liberty Mutual Insurance insurance violation 2016 TX-INS $7,000
Travelers Casualty and Surety Company of America Travelers insurance violation 2016 TX-INS $100,000
LM Insurance Corporation Liberty Mutual Insurance insurance violation 2016 TX-INS $6,300
First American Title Insurance Company First American Financial insurance violation 2016 UT-INS $6,500
Liberty Mutual General Insurance Company Liberty Mutual Insurance insurance violation 2016 UT-INS $5,000
United States Fire Insurance Company Fairfax Financial Holdings insurance violation 2016 UT-INS $172,250
Liberty Mutual General Insurance Company Liberty Mutual Insurance insurance violation 2016 UT-INS $10,000
COMPANION LIFE INSURANCE CO. BlueCross BlueShield of South Carolina insurance violation 2016 VA-INS $44,220
AMERIPRISE FINANCIAL SERVICES, INC. Ameriprise Financial investor protection violation 2016 VA-SEC $14,000
FREEDOM MORTGAGE CORPORATION Freedom Mortgage consumer protection violation 2016 VA-FIN $17,000
ALLIED PROPERTY & CASUALTY INSURANCE CO. Nationwide insurance violation 2016 VA-INS $68,669
HOMESITE INSURANCE COMPANY American Family Insurance insurance violation 2016 VA-INS $94,986
Hartford Accident and Indemnity Company Hartford Financial Services insurance violation 2016 VA-INS $8,131
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America investor protection violation 2016 VA-SEC $11,500
CINCINNATI INSURANCE COMPANY Cincinnati Financial insurance violation 2016 VA-INS $54,475
Victoria Fire & Casualty Insurance Company Nationwide insurance violation 2016 VA-INS $2,236,476
ALLIED INSURANCE COMPANY OF AMERICA Nationwide insurance violation 2016 VA-INS $8,000
PROGRESSIVE NORTHERN INSURANCE Progressive insurance violation 2016 VA-INS $52,619
AMERICAN STRATEGIC INSURANCE Progressive insurance violation 2016 VA-INS $15,147
ACE CASH EXPRESS, INC. ACE Cash Express consumer protection violation 2016 VA-FIN $45,000
Liberty Insurance Corp. Liberty Mutual Insurance insurance violation 2016 VT-FIN $28,000
Travelers Indemnity Co. et al. Travelers insurance violation 2016 VT-FIN $96,000
Prosper Marketplace Inc. Prosper Marketplace consumer protection violation 2016 VT-FIN $60,000
Raymond James and Associates Inc. Raymond James Financial investor protection violation 2016 VT-FIN $4,200,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)