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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 ParentPrimary Offense TypeYear sort iconAgencyPenalty Amount
Amerisave Mortgage Corp.AmeriSave Mortgageconsumer protection violation2017CA-DFPI$50,000
W.R. Berkley Corp.W.R. Berkleyinsurance violation2017CA-INS$3,015,000
Admiral Risk Insurance Services, Inc.W.R. Berkleyinsurance violation2017CA-INS$1,542,500
Admiral Insurance Co.W.R. Berkleyinsurance violation2017CA-INS$1,542,500
MLD Mortgage, Inc. dba The Money Store dba Mortgage Lending DirectMLD Mortgage Inc. dba The Money Storeconsumer protection violation2017CA-DFPI$30,000
State FarmState Farm Insuranceinsurance violation2017CA-INS$13,335,701
Homebridge Financial Services, Inc.Homebridge Financial Servicesconsumer protection violation2017CA-DFPI$80,000
Bannockburn Global Forex, LLCFirst Financial Bancorp.consumer protection violation2017CA-DFPI$500,000
Nationstar Mortgage, LLC dba Mr. CooperMr. Cooper Groupconsumer protection violation2017CA-DFPI$9,118,784
Auto Owners Insurance Co.Auto-Owners Insuranceinsurance violation2017CO-INS$25,875
Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2017DE-INS$79,000
Transamerica Life Insurance Co.Aegoninsurance violation2017ID-INS$5,000
Pruco Securities, LLCPrudential Financialinvestor protection violation2017IL-SEC$900,000
Wells Fargo Advisors, LLCWells Fargoinvestor protection violation2017IL-SEC$270,000
NYLIFE Securities, LLCNew York Life Insuranceinvestor protection violation2017IN-SEC$275,000
AGCS Marine Insurance Co.Allianzinsurance violation2017KS-INS$63,483
Great American Insurance Co.American Financial Groupinsurance violation2017KS-INS$13,000
Companion Life Insurance Co.BlueCross BlueShield of South Carolinainsurance violation2017KS-INS$100,000
Bankers Life and Casualty Co.CNO Financialinsurance violation2017LA-INS$10,000
LPL Financial LLCLPL Financialinvestor protection violation2017MA-SEC$975,000
Investment Professionals, Inc.Ameriprise Financialinvestor protection violation2017MA-SEC$100,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2017MA-SEC$1,000,000
LPL Financial LLCLPL Financialinvestor protection violation2017MA-SEC$1,000,000
Gerber Life Insurance Co.Western & Southern Financial Groupinsurance violation2017MD-INS$8,000
Safety National Casualty Corp.Tokio Marineinsurance violation2017MD-INS$5,000
Penn Mutual Life Insurance Co.Penn Mutualinsurance violation2017MD-INS$25,600
Allied Property And Casualty Insurance Co. et al.Nationwideinsurance violation2017MD-INS$5,000
JPMorgan Chase Bank, N.A.JPMorgan Chaseinvestor protection violation2017MD-SEC$100,000
Metropolitan Life Insurance Co.MetLifeinsurance violation2017MD-INS$11,300
Transamerica Life Insurance Co.Aegoninsurance violation2017MD-INS$8,300
American Security Insurance Co. et al.Assurantinsurance violation2017MD-INS$25,000
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2017MD-INS$9,850
Travelers Commercial Insurance Co. et al.Travelersinsurance violation2017MD-INS$10,000
QBE Insurance Co. and Praetorian Insurance Co.QBE Insuranceinsurance violation2017MD-INS$10,000
Allstate Insurance Co.Allstateinsurance violation2017MD-INS$18,000
Allstate Indemnity Co.Allstateinsurance violation2017MD-INS$25,000
Pacific Life Insurance Co.Pacific Lifeinsurance violation2017MD-INS$9,000
Trumbull Insurance Co.Hartford Financial Servicesinsurance violation2017MD-INS$67,500
Globe Life and Accident Insurance Co.Globe Life Inc.insurance violation2017ME-INS$250,000
State Farm Mutual Automobile Insurance Co.State Farm Insuranceinsurance violation2017MN-FIN$50,000
Bristol West Casualty Insurance Co.Zurich Insuranceinsurance violation2017MN-FIN$20,000
ReliaStar Insurance Co.Voya Financialinsurance violation2017MN-FIN$5,000
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2017MN-FIN$75,000
QBE Holdings, Inc. et al.QBE Insuranceinsurance violation2017MN-FIN$750,000
Riversource Life Insurance Co. and Riversource Life Insurance Co. of New YorkAmeriprise Financialinsurance violation2017MN-FIN$1,500,000
Safeco Surplus Lines Insurance Co.Liberty Mutual Insuranceinsurance violation2017MN-FIN$10,000
Washington National Insurance Co.CNO Financialinsurance violation2017MN-FIN$140,000
A.G. Edwards & Sons, Inc.Wells Fargoinvestor protection violation2017MO-SEC$25,672
Liberty Insurance Corp. et al.Liberty Mutual Insuranceinsurance violation2017MO-INS$20,000
Stifel, Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2017MS-SEC$50,000
HCC Life Insurance Co. and HCC Medical Insurance Services, LLCTokio Marineinsurance violation2017MT-FIN$130,000
Allstate Fire and Casualty Insurance Co. et al.Allstateinsurance violation2017MT-FIN$10,000
Great Plains Specialty Finance, Inc., d/b/a Check 'n goCNG Financialconsumer protection violation2017NE-DBF$49,600
NYLIFE Securities LLCNew York Life Insuranceinvestor protection violation2017NH-BSR$7,500
Horizon Healthcare of New Jersey, Inc.Horizon Healthcare Servicesinsurance violation2017NJ-DBI$291,824
Horizon Healthcare Services, Inc. and Horizon Healthcare of New Jersey Inc.Horizon Healthcare Servicesinsurance violation2017NJ-DBI$1,500,000
Deutsche Bank AGDeutsche Bankanti-money-laundering deficiencies2017NY-DFS$425,000,000
Combined Life Insurance Company of New YorkChubb Limitedinsurance violation2017NY-DFS$23,740
Globe Life Insurance Company of New YorkGlobe Life Inc.insurance violation2017NY-DFS$538,375
United States Life Insurance Company in the City of New YorkAmerican International Groupinsurance violation2017NY-DFS$873,918
Variable Annuity Life Insurance CompanyAmerican International Groupinsurance violation2017NY-DFS$25,000
Lincoln Financial GroupLincoln Nationalinsurance violation2017NY-DFS$52,200,000
BNP Paribas S.A.BNP Paribasprice-fixing or anti-competitive practices2017NY-DFS$350,000,000
Credit Suisse AGUBSprice-fixing or anti-competitive practices2017NY-DFS$135,000,000
John Hancock Life Insurance Company of New YorkManulife Financialinsurance violation2017NY-DFS$73,000
Tokio Marine Kiln Syndicates Limited and Beazley Furlonge LimitedTokio Marineinsurance violation2017NY-DFS$920,000
PHH Mortgage Corp.Ocwen Financialzoning violation2017NY-DFS$119,000
CashCall, Inc.CashCall Inc.consumer protection violation2017OK-DCC$1,000,000
John Hancock Life Insurance Company (U.S.A.)Manulife Financialinsurance violation2017OR-FIN$36,500
Progressive Universal Insurance Company et al.Progressiveinsurance violation2017OR-FIN$10,000
Travelers Indemnity Co.Travelersinsurance violation2017PA-INS$100,000
ACE Cash Express Inc.ACE Cash Expressconsumer protection violation2017PA-BKG$80,000
Nationwide Mutual Insurance CompanyNationwideinsurance violation2017PA-INS$10,000
Vanguard Advisers Inc.Vanguard Groupinvestor protection violation2017PA-BKG$23,480
Raymond James Financial Services Inc.Raymond James Financialinvestor protection violation2017PA-BKG$125,000
Allstate Insurance CompanyAllstateinsurance violation2017RI-FIN$103,414
Nationwide Mutual Insurance CompanyNationwideinsurance violation2017RI-FIN$154,228
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2017RI-FIN$9,200
Liberty Mutual Insurance GroupLiberty Mutual Insuranceinsurance violation2017RI-FIN$139,547
CashCall Inc.CashCall Inc.consumer protection violation2017SC-FIN$9,650,000
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2017SD-INS$5,000
Companion Life Insurance CompanyBlueCross BlueShield of South Carolinainsurance violation2017SD-INS$40,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2017TX-INS$6,000
Twin City Fire Insurance CompanyHartford Financial Servicesinsurance violation2017TX-INS$8,500
Zurich American Insurance CompanyZurich Insuranceinsurance violation2017TX-INS$8,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2017TX-INS$5,000
Liberty Mutual Insurance CompanyLiberty Mutual Insuranceinsurance violation2017TX-INS$18,000
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2017TX-INS$44,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2017TX-INS$9,500
Broadspire Services, Inc.Crawford & Co.insurance violation2017TX-INS$40,000
Wausau Underwriters Insurance CompanyLiberty Mutual Insuranceinsurance violation2017TX-INS$40,000
Accident Fund Insurance Company of AmericaAF Groupinsurance violation2017TX-INS$20,000
National Interstate Insurance CompanyAmerican Financial Groupinsurance violation2017TX-INS$6,000
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2017TX-INS$5,300
American Bankers Insurance Company of FloridaAssurantinsurance violation2017TX-INS$35,000
Travelers Casualty & Surety CompanyTravelersinsurance violation2017TX-INS$13,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2017TX-INS$38,000
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2017TX-INS$11,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2017TX-INS$8,750
Protective Insurance CompanyProgressiveinsurance violation2017TX-INS$10,000
Federal Insurance CompanyChubb Limitedinsurance violation2017TX-INS$22,500
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.