Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$331,558,339,161
Number of Records: 
6,166
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$82,764,013,078219
JPMorgan Chase$35,819,302,225162
Citigroup$25,454,366,764125
Wells Fargo$21,358,750,745184
Deutsche Bank$18,286,625,30261
UBS$16,792,860,91083
Goldman Sachs$16,365,468,98744
Royal Bank of Scotland$13,473,904,00028
BNP Paribas$12,132,582,95017
Credit Suisse$10,410,557,62632


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 Agencysort icon Penalty Amount
Metropolitan Life Insurance Company MetLife kickbacks and bribery 2010 USAO $13,500,000
Wachovia Bank N.A. Wells Fargo anti-money-laundering deficiencies 2010 USAO $50,000,000
Omega Advisors Omega Advisors Foreign Corrupt Practices Act 2007 USAO $500,000
The Bank of New York Bank of New York Mellon anti-money-laundering deficiencies 2005 USAO $38,000,000
Riggs Bank PNC Financial Services anti-money-laundering deficiencies 2005 USAO $16,000,000
AmSouth Bancorporation Regions Financial fraud 2004 USAO $40,000,000
Credit Lyonnais Credit Agricole fraud 2003 USAO $100,000,000
Republic New York Securities HSBC fraud 2001 USAO $569,000,000
U.S. Bancorp U.S. Bancorp anti-money-laundering deficiencies 2018 USAO $453,000,000
Barclays Capital, Inc. Barclays toxic securities abuses 2018 USAO $2,000,000,000
Rabobank N.A. Rabobank anti-money-laundering deficiencies 2018 USAO $500,000
Societe Generale S.A. Societe Generale economic sanction violation 2018 USAO $717,200,000
BMO Harris Bank, N.A. Bank of Montreal fraud 2018 USAO $10,000,000
HSBC HSBC toxic securities abuses 2018 USAO $765,000,000
Philadelphia Indemnity Insurance Company Tokio Marine False Claims Act and related 2018 USAO $30,508
LendingClub Corporation LendingClub Corp. banking violation 2018 USAO $2,000,000
Unum Group Unum kickbacks and bribery 2008 USAO $5,550,000
Mellon Bank N.A. Bank of New York Mellon False Claims Act and related 2006 USAO $18,130,405
Wells Fargo Bank Wells Fargo False Claims Act and related 2008 USAO $4,046,786
Watson Wyatt & Company Willis Towers Watson False Claims Act and related 2005 USAO $689,828
Travelers Insurance Company Travelers False Claims Act and related 2004 USAO $10,900,000
HSBC Private Bank (Suisse) SA HSBC tax violations 2019 USAO $192,350,000
Industrial Bank of Korea Industrial Bank of Korea anti-money-laundering deficiencies 2020 USAO $51,000,000
Ace American Insurance Co. Chubb Limited insurance violation 2009 UT-INS $141,500
Allianz Life Insurance Company of North America Allianz insurance violation 2011 UT-INS $50,000
Allianz Life Insurance Company of North America Allianz insurance violation 2011 UT-INS $29,500
Lincoln National life Insurance Company Lincoln National insurance violation 2011 UT-INS $6,000
Genworth Life and Annuity Insurance Company Genworth Financial insurance violation 2011 UT-INS $6,000
Sentry Insurance A Mutual Company Sentry Insurance insurance violation 2011 UT-INS $6,000
Farmers Insurance Exchange Farmers Insurance Exchange insurance violation 2012 UT-INS $15,000
United Insurance Company Kemper insurance violation 2012 UT-INS $5,500
Globe Life and Accident Insurance Company Globe Life Inc. insurance violation 2013 UT-INS $10,000
First American Title Insurance Company: First American Financial insurance violation 2014 UT-INS $73,000
Transamerica Life Insurance Company Aegon insurance violation 2014 UT-INS $45,000
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
Liberty Mutual Insurance Liberty Mutual Insurance insurance violation 2017 UT-INS $5,000
United States Fire Insurance Company Fairfax Financial Holdings insurance violation 2017 UT-INS $67,500
Catlin Insurance Company Inc. AXA insurance violation 2018 UT-INS $100,000
Lawyers Title Company Fidelity National Financial insurance violation 2018 UT-INS $93,500
Allstate Indemnity Company Allstate insurance violation 2018 UT-INS $5,000
American Family Mutual Insurance Company American Family Insurance insurance violation 2018 UT-INS $39,400
LM General Insurance Company Liberty Mutual Insurance insurance violation 2019 UT-INS $70,000
Barclays Capital Inc. Barclays toxic securities abuses 2016 VA-AG $9,000,000
CashCall, Inc. CashCall Inc. consumer protection violation 2017 VA-AG $15,335,000
Citigroup Global Markets Inc. Citigroup toxic securities abuses 2016 VA-AG $4,750,000
Countrywide Securities Corporation and Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America toxic securities abuses 2016 VA-AG $19,500,000
Credit Suisse Securities (USA) LLC Credit Suisse toxic securities abuses 2016 VA-AG $1,200,000
Deutsche Bank Securities Inc. Deutsche Bank toxic securities abuses 2016 VA-AG $5,621,897
Goldman, Sachs & Co. Goldman Sachs toxic securities abuses 2016 VA-AG $2,900,000
HSBC Securities (USA) Inc. HSBC toxic securities abuses 2016 VA-AG $2,500,000
Morgan Stanley & Co. LLC Morgan Stanley toxic securities abuses 2016 VA-AG $6,900,000
RBS Securities Inc. Royal Bank of Scotland toxic securities abuses 2016 VA-AG $10,000,000
UBS Securities LLC UBS toxic securities abuses 2016 VA-AG $850,000
Navy Federal Credit Union Navy Federal Credit Union environmental violation 2017 VA-ENV $7,426
Wheelabrator Portsmouth Inc. Macquarie environmental violation 2016 VA-ENV $7,669
Bank of America, National Association Bank of America environmental violation 2013 VA-ENV $27,625
Federal Home Loan Mortgage Corp. Freddie Mac (Federal Home Loan Mortgage Corporation) environmental violation 2012 VA-ENV $55,802
ALLIED CASH ADVANCE VIRGINIA CNG Financial consumer protection violation 2008 VA-FIN $38,000
ALLIED HOME MORTGAGE CAPITAL Americus Mortgage consumer protection violation 2008 VA-FIN $5,000
ALLIED HOME MORTGAGE CAPITAL Americus Mortgage consumer protection violation 2010 VA-FIN $25,000
ACE CASH EXPRESS, INC. ACE Cash Express consumer protection violation 2010 VA-FIN $150,000
FREEDOM MORTGAGE CORPORATION Freedom Mortgage consumer protection violation 2016 VA-FIN $17,000
ACE CASH EXPRESS, INC. ACE Cash Express consumer protection violation 2016 VA-FIN $45,000
DAIRYLAND INSURANCE CO Sentry Insurance insurance violation 2001 VA-INS $8,500
AMERICAN GENERAL LIFE American International Group insurance violation 2001 VA-INS $14,000
CONSECO HEALTH INSURANCE COMPANY CNO Financial insurance violation 2001 VA-INS $19,000
HARTFORD FIRE INSURANCE CO. ET AL Hartford Financial Services insurance violation 2001 VA-INS $30,000
PROGRESSIVE AMERICAN INSURANCE CO. Progressive insurance violation 2001 VA-INS $23,000
Group Hospitalization and Medical Services, Inc. CareFirst of Maryland insurance violation 2001 VA-INS $12,000
CAREFIRST BLUE CHOICE INC CareFirst of Maryland insurance violation 2001 VA-INS $12,000
MONUMENTAL LIFE INSURANCE CO Aegon insurance violation 2001 VA-INS $5,000
HARLEYSVILLE MUTUAL INSURANCE CO Nationwide insurance violation 2001 VA-INS $21,000
AMERITAS LIFE INSURANCE CORP Ameritas Mutual Holding Company insurance violation 2001 VA-INS $9,000
AMERICAN BANKERS LIFE ASSURANCE OF FLORIDA Assurant insurance violation 2001 VA-INS $15,000
PACIFIC LIFE & ANNUITY COMPANY Pacific Life insurance violation 2001 VA-INS $9,000
RELIASTAR LIFE INSURANCE CO Voya Financial insurance violation 2001 VA-INS $9,000
FORTIS INSURANCE COMPANY Assurant insurance violation 2001 VA-INS $57,000
NEW YORK LIFE INSURANCE CO New York Life Insurance insurance violation 2002 VA-INS $13,500
UNITED AMERICAN INSURANCE CO. Globe Life Inc. insurance violation 2002 VA-INS $10,000
FIDELITY & GUARANTY LIFE INSURANCE Fidelity National Financial insurance violation 2002 VA-INS $15,000
AMERICAN NATIONAL INSURANCE CO. et al. American National Insurance insurance violation 2002 VA-INS $103,200
AVEMCO INSURANCE COMPANY Tokio Marine insurance violation 2002 VA-INS $12,000
FORTIS INSURANCE CO., ET AL. Assurant insurance violation 2002 VA-INS $27,000
NEW ENGLAND LIFE INSURANCE CO. Brighthouse Financial insurance violation 2002 VA-INS $9,000
Combined Insurance Company of America Chubb Limited insurance violation 2002 VA-INS $27,000
PRINCIPAL LIFE INSURANCE CO. Principal Financial insurance violation 2002 VA-INS $12,000
SAFECO INSURANCE CO. ET AL. Liberty Mutual Insurance insurance violation 2002 VA-INS $28,200
ALLSTATE INSURANCE COMPANY Allstate insurance violation 2002 VA-INS $10,000
MUTUAL OF OMAHA INSURANCE CO. Mutual of Omaha insurance violation 2002 VA-INS $25,800
AMERICAN HERITAGE LIFE INSURANCE CO Allstate insurance violation 2002 VA-INS $15,000
AMICA MUTUAL INSURANCE COMPANY Amica Mutual Insurance insurance violation 2002 VA-INS $14,000
PRUDENTIAL INSURANCE COMPANY Prudential Financial insurance violation 2002 VA-INS $15,000
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
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)