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
Allstate Fire and Casualty Insurance Co. et al. Allstate insurance violation 2017 MT-INS $10,000
Great Plains Specialty Finance, Inc., d/b/a Check 'n go CNG Financial consumer protection violation 2017 NE-DBF $49,600
NYLIFE Securities LLC New York Life Insurance investor protection violation 2017 NH-BSR $7,500
Horizon Healthcare of New Jersey, Inc. Horizon Healthcare Services insurance violation 2017 NJ-DBI $291,824
Horizon Healthcare Services, Inc. and Horizon Healthcare of New Jersey Inc. Horizon Healthcare Services insurance violation 2017 NJ-DBI $1,500,000
Deutsche Bank AG Deutsche Bank anti-money-laundering deficiencies 2017 NY-DFS $425,000,000
Combined Life Insurance Company of New York Chubb Limited insurance violation 2017 NY-DFS $23,740
Globe Life Insurance Company of New York Globe Life Inc. insurance violation 2017 NY-DFS $538,375
United States Life Insurance Company in the City of New York American International Group insurance violation 2017 NY-DFS $873,918
Variable Annuity Life Insurance Company American International Group insurance violation 2017 NY-DFS $25,000
Lincoln Financial Group Lincoln National insurance violation 2017 NY-DFS $52,200,000
BNP Paribas S.A. BNP Paribas foreign exchange market manipulation 2017 NY-DFS $350,000,000
Credit Suisse AG Credit Suisse foreign exchange market manipulation 2017 NY-DFS $135,000,000
John Hancock Life Insurance Company of New York Manulife Financial insurance violation 2017 NY-DFS $73,000
Tokio Marine Kiln Syndicates Limited and Beazley Furlonge Limited Tokio Marine insurance violation 2017 NY-DFS $920,000
PHH Mortgage Corp. Ocwen Financial zoning violation 2017 NY-DFS $119,000
CashCall, Inc. CashCall Inc. consumer protection violation 2017 OK-DCC $1,000,000
John Hancock Life Insurance Company (U.S.A.) Manulife Financial insurance violation 2017 OR-FIN $36,500
Progressive Universal Insurance Company et al. Progressive insurance violation 2017 OR-FIN $10,000
Travelers Indemnity Co. Travelers insurance violation 2017 PA-INS $100,000
ACE Cash Express Inc. ACE Cash Express consumer protection violation 2017 PA-BKG $80,000
Nationwide Mutual Insurance Company Nationwide insurance violation 2017 PA-INS $10,000
Vanguard Advisers Inc. Vanguard Group investor protection violation 2017 PA-BKG $23,480
Raymond James Financial Services Inc. Raymond James Financial investor protection violation 2017 PA-BKG $125,000
Allstate Insurance Company Allstate insurance violation 2017 RI-FIN $103,414
Nationwide Mutual Insurance Company Nationwide insurance violation 2017 RI-FIN $154,228
Nationstar Mortgage LLC Mr. Cooper Group consumer protection violation 2017 RI-FIN $9,200
Liberty Mutual Insurance Group Liberty Mutual Insurance insurance violation 2017 RI-FIN $139,547
CashCall Inc. CashCall Inc. consumer protection violation 2017 SC-FIN $9,650,000
Old Republic Insurance Company Old Republic International insurance violation 2017 SD-INS $5,000
Companion Life Insurance Company BlueCross BlueShield of South Carolina insurance violation 2017 SD-INS $40,000
American Zurich Insurance Company Zurich Insurance insurance violation 2017 TX-INS $6,000
Twin City Fire Insurance Company Hartford Financial Services insurance violation 2017 TX-INS $8,500
Zurich American Insurance Company Zurich Insurance insurance violation 2017 TX-INS $8,500
New Hampshire Insurance Company American International Group insurance violation 2017 TX-INS $5,000
Liberty Mutual Insurance Company Liberty Mutual Insurance insurance violation 2017 TX-INS $18,000
The Insurance Company of the State of Pennsylvania American International Group insurance violation 2017 TX-INS $44,000
American Zurich Insurance Company Zurich Insurance insurance violation 2017 TX-INS $9,500
Broadspire Services, Inc. Crawford & Co. insurance violation 2017 TX-INS $40,000
Wausau Underwriters Insurance Company Liberty Mutual Insurance insurance violation 2017 TX-INS $40,000
Accident Fund Insurance Company of America AF Group insurance violation 2017 TX-INS $20,000
National Interstate Insurance Company American Financial Group insurance violation 2017 TX-INS $6,000
The Insurance Company of the State of Pennsylvania American International Group insurance violation 2017 TX-INS $5,300
American Bankers Insurance Company of Florida Assurant insurance violation 2017 TX-INS $35,000
Travelers Casualty & Surety Company Travelers insurance violation 2017 TX-INS $13,000
New Hampshire Insurance Company American International Group insurance violation 2017 TX-INS $38,000
Old Republic Insurance Company Old Republic International insurance violation 2017 TX-INS $11,000
Indemnity Insurance Company of North America Chubb Limited insurance violation 2017 TX-INS $8,750
Protective Insurance Company Protective Insurance Corp. insurance violation 2017 TX-INS $10,000
Federal Insurance Company Chubb Limited insurance violation 2017 TX-INS $22,500
Liberty Insurance Corporation Liberty Mutual Insurance insurance violation 2017 TX-INS $13,750
Trumbull Insurance Company Hartford Financial Services insurance violation 2017 TX-INS $9,000
Arch Insurance Company Arch Capital insurance violation 2017 TX-INS $5,000
Zurich American Insurance Company Zurich Insurance insurance violation 2017 TX-INS $32,400
Ace American Insurance Company Chubb Limited insurance violation 2017 TX-INS $5,255
Travelers Lloyds of Texas Insurance Company Travelers insurance violation 2017 TX-INS $10,000
Employers Insurance Company of Wausau Liberty Mutual Insurance insurance violation 2017 TX-INS $30,000
Marsh & McLennan Agency LLC Marsh & McLennan insurance violation 2017 TX-INS $6,825
American Alternative Insurance Corporation Munich Re insurance violation 2017 TX-INS $160,000
State Farm Fire and Casualty Company State Farm Insurance insurance violation 2017 TX-INS $11,000
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
ALLIED PROPERTY & CASUALTY INSURANCE CO. Nationwide insurance violation 2017 VA-INS $678,398
SELECTIVE INSURANCE COMPANY OF AMERICA Selective Insurance Group insurance violation 2017 VA-INS $339,333
STATE FARM MUTUAL INSURANCE CO State Farm Insurance insurance violation 2017 VA-INS $50,600
AMERICAN STRATEGIC INSURANCE Progressive insurance violation 2017 VA-INS $41,962
LIBERTY INSURANCE CORP et al. Liberty Mutual Insurance insurance violation 2017 VA-INS $8,652
FEDERAL INSURANCE COMPANY Chubb Limited insurance violation 2017 VA-INS $6,261
NEXT FINANCIAL GROUP, INC. Atria Wealth Solutions investor protection violation 2017 VA-SEC $60,000
PROGRESSIVE DIRECT INSURANCE Progressive insurance violation 2017 VA-INS $9,839,379
UNITED SERVICES AUTOMOBILE ASSOCIATION ET AL. USAA insurance violation 2017 VA-INS $182,209
HARTFORD ACCIDENT & INDEMNITY Hartford Financial Services insurance violation 2017 VA-INS $39,488
UNITED STATES FIRE INSURANCE CO Fairfax Financial Holdings insurance violation 2017 VA-INS $25,000
United Services Automobile Association (USAA) USAA insurance violation 2017 VT-FIN $85,000
Liberty Mutual Insurance Liberty Mutual Insurance insurance violation 2017 VT-FIN $20,000
State Farm Fire & Casualty Company State Farm Insurance insurance violation 2017 WA-INS $10,000
American Modern Home Insurance Company Munich Re insurance violation 2017 WA-INS $5,000
Farmers Insurance Exchange And Mid-Century Insurance Company Farmers Insurance Exchange insurance violation 2017 WA-INS $50,000
Amco Insurance Company Nationwide insurance violation 2017 WA-INS $5,000
AGCS Marine Insurance Company Allianz insurance violation 2017 WA-INS $5,000
Federal Insurance Company Chubb Limited insurance violation 2017 WA-INS $30,000
Farmers Insurance Company Of Washington Zurich Insurance insurance violation 2017 WA-INS $10,000
Farmers Insurance Exchange et al. Farmers Insurance Exchange insurance violation 2017 WA-INS $25,000
Hartford Insurance Company The Midwest Hartford Financial Services insurance violation 2017 WA-INS $10,000
Ticor Title Company Fidelity National Financial insurance violation 2017 WA-INS $6,000
AIG Assurance Company et al. American International Group insurance violation 2017 WA-INS $25,000
United States Fire Insurance Company Fairfax Financial Holdings insurance violation 2017 WA-INS $10,000
Twin City Fire Insurance Company Hartford Financial Services insurance violation 2017 WA-INS $30,000
Ameritas Life Insurance Corp Ameritas Mutual Holding Company insurance violation 2017 WA-INS $10,000
Titan Indemnity Company; Victoria Fire & Casualty Company Nationwide insurance violation 2017 WA-INS $60,000
Depositors Insurance Company Nationwide insurance violation 2017 WA-INS $10,000
American Family Life Insurance Company of Columbus Aflac insurance violation 2017 MULTI-FIN $350,000
American Modern Home Insurance Company Munich Re insurance violation 2017 MULTI-FIN $255,000
Arch Insurance Company Arch Capital insurance violation 2017 MULTI-FIN $1,017,000
BCS Insurance Company BCS Financial Corporation insurance violation 2017 MULTI-FIN $1,000,000
Generali U.S. Branch Assicurazioni Generali insurance violation 2017 MULTI-FIN $492,000
Jefferson Insurance Company Allianz insurance violation 2017 MULTI-FIN $1,800,000
Old Republic Insurance Company Old Republic International insurance violation 2017 MULTI-FIN $298,958
QBE Holdings Inc. QBE Insurance insurance violation 2017 MULTI-FIN $21,164,000
State Farm Life Insurance Company et al. State Farm Insurance insurance violation 2017 MULTI-FIN $250,000
Transamerica Casualty Insurance Company Aegon insurance violation 2017 MULTI-FIN $3,000,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)