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 Year Agency Penalty Amountsort icon
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2015 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2015 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2015 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2015 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2015 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2015 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2016 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2016 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2017 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2017 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2017 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2017 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2018 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2018 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2018 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2018 CA-MHC $10,000
Oscar Health Plan of California Mulberry Health insurance violation 2018 CA-MHC $10,000
Cash America Advance, Inc. FirstCash payday lending violation 2019 CA-DFPI $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2019 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2019 CA-MHC $10,000
Blue Shield of California Promise Health Plan California Physicians' Service insurance violation 2019 CA-MHC $10,000
Jackson National Life Insurance Co. Prudential PLC insurance violation 2007 CO-INS $10,000
Continental American Insurance Co. Aflac insurance violation 2019 CT-INS $10,000
Group Hospitalization and Medical Services, Inc. CareFirst of Maryland insurance violation 2000 DC-DISB $10,000
United States Fire Insurance Co. Fairfax Financial Holdings insurance violation 2014 DE-INS $10,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America investor protection violation 2004 FL-OFR $10,000
Western Union International Services LLC Western Union consumer protection violation 2019 FL-OFR $10,000
Ameritas Investment Corp. Ameritas Mutual Holding Company investor protection violation 2014 IA-INS $10,000
Old Republic National Title Insurance Co. Old Republic International insurance violation 2008 ID-INS $10,000
Bear, Stearns & Co., Inc. JPMorgan Chase investor protection violation 2005 IL-SEC $10,000
Edward D. Jones & Co., L.P. Jones Financial investor protection violation 2011 IN-SEC $10,000
Continental Western Insurance Co. W.R. Berkley insurance violation 2008 KS-INS $10,000
The Travelers Indemnity Co. et al. Travelers insurance violation 2010 KS-INS $10,000
Allstate Fire and Casualty Co. Allstate insurance violation 2014 KS-INS $10,000
State Farm Fire and Casualty Co. State Farm Insurance insurance violation 2015 KS-INS $10,000
Auto-Owners (Mutual) Insurance Co. and Owners Insurance Co. Auto-Owners Insurance insurance violation 2019 KS-INS $10,000
Homeward Residential, Inc. Ocwen Financial consumer protection violation 2015 KY-FIN $10,000
Bankers Life and Casualty Co. CNO Financial insurance violation 2017 LA-INS $10,000
The Lincoln National Life Insurance Co. Lincoln National insurance violation 2019 LA-INS $10,000
Banc of America Investment Services, Inc. Bank of America investor protection violation 2008 MD-SEC $10,000
Allstate Indemnity Co. et al. Allstate insurance violation 2010 MD-INS $10,000
Bankers Life and Casualty Co. CNO Financial insurance violation 2011 MD-INS $10,000
AMEX Assurance Co. American Express insurance violation 2011 MD-INS $10,000
State Farm Mutual Automobile Insurance Co. et al. State Farm Insurance insurance violation 2011 MD-INS $10,000
Praetorian Insurance Co. and Redland Insurance Co. QBE Insurance insurance violation 2011 MD-INS $10,000
Praetorian Insurance Co. and Stonington Insurance Co. QBE Insurance insurance violation 2013 MD-INS $10,000
Foremost Insurance Company Grand Rapids, Michigan Zurich Insurance insurance violation 2014 MD-INS $10,000
The Standard Fire Insurance Co. Travelers insurance violation 2015 MD-INS $10,000
Commonwealth Land Title Insurance Co. Fidelity National Financial insurance violation 2015 MD-INS $10,000
Twin City Fire Insurance Co. et al. Hartford Financial Services insurance violation 2016 MD-INS $10,000
Farmers Insurance Exchange Farmers Insurance Exchange insurance violation 2016 MD-INS $10,000
Travelers Commercial Insurance Co. et al. Travelers insurance violation 2017 MD-INS $10,000
QBE Insurance Co. and Praetorian Insurance Co. QBE Insurance insurance violation 2017 MD-INS $10,000
Conseco Health Insurance Co. CNO Financial insurance violation 2004 ME-INS $10,000
Edward D. Jones & Co., L.P. Jones Financial investor protection violation 2010 ME-SEC $10,000
Metropolitan Property and Casualty Insurance Co. et al. Zurich Insurance insurance violation 2001 MN-FIN $10,000
Allstate Insurance Co. Allstate insurance violation 2001 MN-FIN $10,000
Fortis Insurance Co. and John Alden Life Insurance Co. Assurant insurance violation 2002 MN-FIN $10,000
American Family Mutual Insurance Co. American Family Insurance insurance violation 2002 MN-FIN $10,000
Illinois Farmers Insurance Co. Zurich Insurance insurance violation 2003 MN-FIN $10,000
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
Fortis Insurance Co. Assurant insurance violation 2005 MN-FIN $10,000
Metropolitan Property and Casualty Insurance Co. Zurich Insurance insurance violation 2012 MN-FIN $10,000
Allstate Insurance Co. Allstate insurance violation 2014 MN-FIN $10,000
United States Fire Insurance Co. Fairfax Financial Holdings insurance violation 2014 MN-FIN $10,000
Farmers Insurance Exchange Farmers Insurance Exchange insurance violation 2015 MN-FIN $10,000
American General Life Insurance Co. American International Group insurance violation 2015 MN-FIN $10,000
Chicago Title Insurance Co. Fidelity National Financial insurance violation 2015 MN-FIN $10,000
The Lincoln National Life Insurance Co. Lincoln National insurance violation 2016 MN-FIN $10,000
Travelers Home and Marine Insurance Co. Travelers insurance violation 2016 MN-FIN $10,000
Auto-Owners Insurance Co. Auto-Owners Insurance insurance violation 2016 MN-FIN $10,000
Safeco Surplus Lines Insurance Co. Liberty Mutual Insurance insurance violation 2017 MN-FIN $10,000
Bankers Life and Casualty Co. and Colonial Penn Life Insurance Co. CNO Financial insurance violation 2018 MN-FIN $10,000
Lincoln National Life Insurance Co. Lincoln National insurance violation 2019 MN-FIN $10,000
Austin Mutual Insurance Co. American Family Insurance insurance violation 2019 MN-FIN $10,000
The Travelers Indemnity Co. Travelers insurance violation 2019 MN-FIN $10,000
American Modern Home Insurance Co. Munich Re insurance violation 2015 MO-INS $10,000
Safety National Casualty Corp. Tokio Marine insurance violation 2008 MS-INS $10,000
Allstate Fire and Casualty Insurance Co. et al. Allstate insurance violation 2017 MT-INS $10,000
Austin Mutual Insurance Company American Family Insurance insurance violation 2014 ND-INS $10,000
Cadaret, Grant & Co., Inc. Atria Wealth Solutions investor protection violation 2008 NE-DBF $10,000
Ameriprise Financial Services Inc. Ameriprise Financial consumer protection violation 2013 NE-DBF $10,000
Moneygram International MoneyGram International consumer protection violation 2007 NH-BKG $10,000
Seterus, Inc. Mr. Cooper Group consumer protection violation 2014 NH-BKG $10,000
AON Risk Services Inc Aon insurance violation 2004 NJ-DBI $10,000
21st Century National Insurance Company Zurich Insurance insurance violation 2010 NJ-DBI $10,000
Praetorian Insurance Company QBE Insurance insurance violation 2012 NJ-DBI $10,000
Lincoln National Life Insurance Company Lincoln National insurance violation 2015 NJ-DBI $10,000
Genworth Life Insurance Company Genworth Financial insurance violation 2019 NJ-DBI $10,000
Ocwen Loan Servicing LLC Ocwen Financial consumer protection violation 2009 OH-BKG $10,000
Allied Home Mortgage Capital Corporation Americus Mortgage consumer protection violation 2009 NY-DFS $10,000
Investment Professionals Inc. Ameriprise Financial insurance violation 2014 NY-DFS $10,000
Virginia Surety Company, Inc. Assurant insurance violation 2015 NY-DFS $10,000
USAA Life Insurance Company of New York USAA insurance violation 2016 NY-DFS $10,000
Waddell & Reed Inc. Macquarie investor protection violation 2008 OK-SEC $10,000
Nationwide Mutual Insurance Company Nationwide insurance violation 2000 OR-FIN $10,000
Great American Life Insurance Company Massachusetts Mutual Life Insurance insurance violation 2002 OR-FIN $10,000
AIU Insurance Company American International Group insurance violation 2002 OR-FIN $10,000
Jackson National Life Insurance Company Prudential PLC insurance violation 2002 OR-FIN $10,000
American Family Mutual Insurance Company American Family Insurance insurance violation 2003 OR-FIN $10,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)