Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$323,889,987,491
Number of Records: 
5,839
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$82,695,676,034210
JPMorgan Chase$34,517,828,993151
Citigroup$25,045,655,764120
Wells Fargo$21,139,073,231172
Deutsche Bank$17,995,700,77855
UBS$16,782,800,91082
Royal Bank of Scotland$13,455,904,00027
Goldman Sachs$13,140,380,98740
BNP Paribas$12,132,332,95016
Credit Suisse$10,409,957,62631


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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Company Parent Primary Offense Type Year Agency Penalty Amountsort icon
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2010 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2010 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2011 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2011 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2011 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2012 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2012 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2012 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2012 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2013 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2013 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2013 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2013 CA-MHC $5,000
Blue Shield of California Promise Health Plan California Physicians' Service insurance violation 2013 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2013 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2013 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2013 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2014 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2014 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2014 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2014 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2014 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2014 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2014 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2015 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2015 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2015 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2015 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2015 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2015 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2015 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2015 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2015 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2015 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2015 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2015 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2015 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2015 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2015 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2015 CA-MHC $5,000
Blue Shield of California Promise Health Plan California Physicians' Service insurance violation 2016 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2016 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2016 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2016 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2017 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2017 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2017 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2017 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2017 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2017 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2018 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2018 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2018 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2019 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2019 CA-MHC $5,000
Oscar Health Plan of California Mulberry Health insurance violation 2019 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2019 CA-MHC $5,000
Oscar Health Plan of California Mulberry Health insurance violation 2019 CA-MHC $5,000
Auto-Owners Insurance Co. Auto-Owners Insurance insurance violation 2007 CO-INS $5,000
ING USA Annuity and Life Insurance Co. Voya Financial insurance violation 2007 CO-INS $5,000
Prosper Marketplace, Inc. Prosper Marketplace investor protection violation 2010 CT-SEC $5,000
Ameritas Life Insurance Corp. Ameritas Mutual Holding Company insurance violation 2019 CT-INS $5,000
J.P. Morgan Securities LLC JPMorgan Chase investor protection violation 2018 DC-DISB $5,000
New York Life Insurance and Annuity Corp. New York Life Insurance insurance violation 2018 DE-INS $5,000
AXA Equitable Life Insurance Co. AXA insurance violation 2018 DE-INS $5,000
Illinois National Insurance Co. American International Group insurance violation 2003 FL-OFR $5,000
ProEquities, Inc. Dai-ichi Life investor protection violation 2004 FL-OFR $5,000
Scottsdale Insurance Co. Nationwide insurance violation 2005 FL-OFR $5,000
State Farm Florida Insurance Co. State Farm Insurance insurance violation 2005 FL-OFR $5,000
Travelers Casualty & Surety Company of America et al. Travelers insurance violation 2011 IA-INS $5,000
National Union Fire Insurance Company of Pittsburgh, Pa. American International Group insurance violation 2009 ID-INS $5,000
Time Insurance Co. Haven Holdings insurance violation 2014 ID-INS $5,000
Nationwide Life Insurance Co. Nationwide insurance violation 2015 ID-INS $5,000
Zurich American Insurance Co. Zurich Insurance insurance violation 2015 ID-INS $5,000
Transamerica Life Insurance Co. Aegon insurance violation 2017 ID-INS $5,000
Arch Insurance Co. Arch Capital insurance violation 2019 ID-INS $5,000
Janney Montgomery Scott LLC Penn Mutual investor protection violation 2004 IL-SEC $5,000
Victoria Fire & Casualty Co. Nationwide insurance violation 2003 IN-INS $5,000
Safeco Insurance Co. of America Liberty Mutual Insurance insurance violation 2005 IN-INS $5,000
Liberty Mutual Insurance Co. Liberty Mutual Insurance insurance violation 2009 IN-INS $5,000
Safeco Insurance Company of America Liberty Mutual Insurance insurance violation 2010 IN-INS $5,000
Mid-Century Insurance Co. Zurich Insurance insurance violation 2012 IN-INS $5,000
Liberty Mutual Insurance Liberty Mutual Insurance insurance violation 2019 IN-INS $5,000
United Services Automobile Association USAA insurance violation 2001 KS-INS $5,000
Metropolitan Property and Casualty Co. MetLife insurance violation 2006 KS-INS $5,000
St. Paul Fire & Marine Insurance Co. Travelers insurance violation 2006 KS-INS $5,000
Old Republic Insurance Co. Old Republic International insurance violation 2009 KS-INS $5,000
Progressive Direct Insurance Co. Progressive insurance violation 2009 KS-INS $5,000
Safeco Insurance Company of America Liberty Mutual Insurance insurance violation 2012 KS-INS $5,000
Seneca Insurance Co. Fairfax Financial Holdings insurance violation 2014 KS-INS $5,000
Mortgage Access Corp. dba Weichert Financial Services Weichert Financial Services consumer protection violation 2009 KY-FIN $5,000
PHH Mortgage Corp. Ocwen Financial consumer protection violation 2011 KY-FIN $5,000
AmeriSave Mortgage Corp. AmeriSave Mortgage consumer protection violation 2019 KY-FIN $5,000
Progressive Paloverde Insurance Co. Progressive insurance violation 2019 LA-INS $5,000
American Modern Home Insurance Co. Munich Re insurance violation 2010 MD-INS $5,000
Travelers Casualty and Surety Company of America Travelers insurance violation 2011 MD-INS $5,000
Gerber Life Insurance Co. Western & Southern Financial Group insurance violation 2011 MD-INS $5,000
Transamerica Life Insurance Co. Aegon insurance violation 2011 MD-INS $5,000
United States Life Insurance Company In the City of New York American International Group insurance violation 2011 MD-INS $5,000
Carefirst of Maryland, Inc. CareFirst of Maryland insurance violation 2012 MD-INS $5,000
Carefirst of Maryland, Inc. CareFirst of Maryland insurance violation 2012 MD-INS $5,000
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