Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$332,924,888,663
Number of Records: 
6,731
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$82,885,116,051259
JPMorgan Chase$35,851,377,155190
Citigroup$25,535,002,360154
Wells Fargo$21,428,596,719217
Deutsche Bank$18,341,457,30276
UBS$16,845,624,16097
Goldman Sachs$16,381,931,83964
NatWest Group PLC$13,477,129,00031
BNP Paribas$12,147,863,95019
Credit Suisse$10,447,392,62644


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
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2018 CA-MHC $7,500
Santander Consumer USA, Inc. Banco Santander consumer protection violation 2018 CA-DFPI $300,000
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 $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2018 CA-MHC $300,000
United Casualty Insurance Co. Kemper insurance violation 2018 CA-INS $22,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2018 CA-MHC $10,000
Ticor Title Company of California Fidelity National Financial insurance violation 2018 CA-INS $6,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2018 CA-DFPI $115,000
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 $17,500
Oscar Health Plan of California Mulberry Health insurance violation 2018 CA-MHC $10,000
Santander Consumer USA Inc. Banco Santander consumer protection violation 2018 CT-BKG $100,000
ProEquities, Inc. Dai-ichi Life investor protection violation 2018 CT-SEC $7,590
J.P. Morgan Securities LLC JPMorgan Chase investor protection violation 2018 DC-DISB $5,000
Liberty Mutual Fire Insurance Co. et al. Liberty Mutual Insurance insurance violation 2018 DE-INS $76,000
Penn Mutual Life Insurance Co. Penn Mutual insurance violation 2018 DE-INS $17,000
New York Life Insurance and Annuity Corp. New York Life Insurance insurance violation 2018 DE-INS $5,000
State Farm Fire & Casualty Co. and State Farm Mutual Automobile Insurance Co. State Farm Insurance insurance violation 2018 DE-INS $24,000
Principal Life Insurance Co. Principal Financial insurance violation 2018 DE-INS $200,000
United of Omaha Life Insurance Co. Mutual of Omaha insurance violation 2018 DE-INS $17,000
AXA Equitable Life Insurance Co. Equitable Holdings insurance violation 2018 DE-INS $5,000
RiverSource Life Insurance Co. Ameriprise Financial insurance violation 2018 DE-INS $75,000
Nationwide Life Insurance Co. and Nationwide Life and Annuity Insurance Co. Nationwide insurance violation 2018 DE-INS $45,500
American General Life Insurance Co. American International Group insurance violation 2018 FL-OFR $210,000
LPL Financial, LLC LPL Financial investor protection violation 2018 IN-SEC $450,000
Standard Fire Insurance Co. Travelers insurance violation 2018 KS-INS $7,500
Liberty Mutual Insurance Liberty Mutual Insurance insurance violation 2018 KS-INS $80,000
AIG Claims, Inc. American International Group insurance violation 2018 LA-INS $11,000
LendingClub Corp. and Springstone Financial, LLC LendingClub Corp. consumer protection violation 2018 MA-BKG $2,000,000
Quicken Loans, Inc. and One Reverse Mortgage, LLC Quicken Loans consumer protection violation 2018 MA-BKG $250,000
MetLife, Inc. MetLife investor protection violation 2018 MA-SEC $1,000,000
CareFirst BlueChoice, Inc. CareFirst of Maryland insurance violation 2018 MD-INS $20,250
Progressive Direct Insurance Co. Progressive insurance violation 2018 MD-INS $70,000
Bankers Life and Casualty Co. CNO Financial insurance violation 2018 MD-INS $14,100
Elephant Insurance Co. Admiral Group insurance violation 2018 MD-INS $75,000
Allstate Insurance Co. Allstate insurance violation 2018 MD-INS $32,500
Travelers Casualty and Surety Co. Travelers insurance violation 2018 MD-INS $67,500
Nationwide General Insurance Co. et al. Nationwide insurance violation 2018 MD-INS $33,000
CareFirst BlueChoice, Inc. CareFirst of Maryland insurance violation 2018 MD-INS $25,000
CareFirst BlueChoice, Inc. CareFirst of Maryland insurance violation 2018 MD-INS $5,000
Progressive Casualty Insurance Co. Progressive insurance violation 2018 MD-INS $81,520
Mutual of Omaha Insurance Co. Mutual of Omaha insurance violation 2018 MD-INS $6,600
Crum & Forster Indemnity Co. Fairfax Financial Holdings insurance violation 2018 MD-INS $20,000
United States Fire Insurance Co. Fairfax Financial Holdings insurance violation 2018 MD-INS $7,500
Bankers Life and Casualty Co. and Colonial Penn Life Insurance Co. CNO Financial insurance violation 2018 MN-FIN $10,000
Transamerica Premier Life Insurance Co. Aegon insurance violation 2018 MN-FIN $40,000
Nationwide Insurance Company of America et al. Nationwide insurance violation 2018 MN-FIN $25,000
Liberty Insurance Corp. et al. Liberty Mutual Insurance insurance violation 2018 MN-FIN $30,000
Progressive Casualty Insurance Co. et al. Progressive insurance violation 2018 MN-FIN $40,000
Praetorian Insurance Co. QBE Insurance insurance violation 2018 MO-INS $28,120
Sentry Insurance a Mutual Company Sentry Insurance insurance violation 2018 MO-INS $15,000
Commonwealth Land Title Insurance Co. Fidelity National Financial insurance violation 2018 MO-INS $22,500
American Bankers Life Assurance Company of Florida Assurant insurance violation 2018 MO-INS $37,500
American Bankers Insurance Company of Florida Assurant insurance violation 2018 MO-INS $37,500
New Hampshire Insurance Co. American International Group insurance violation 2018 MO-INS $11,000
Accident Fund General Insurance Co. AF Group insurance violation 2018 MO-INS $5,000
Accident Fund National Insurance Co. AF Group insurance violation 2018 MO-INS $5,000
Accident Fund Insurance Company of America AF Group insurance violation 2018 MO-INS $5,000
United Wisconsin Insurance Co. AF Group insurance violation 2018 MO-INS $5,000
LPL Financial LLC LPL Financial investor protection violation 2018 MS-SEC $40,000
Federal Insurance Co. Chubb Limited insurance violation 2018 MT-INS $20,000
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go CNG Financial consumer protection violation 2018 NE-DBF $9,000
American Family Insurance Company American Family Insurance insurance violation 2018 NE-DOI $15,000
United States Fire Insurance Company Fairfax Financial Holdings insurance violation 2018 NE-DOI $7,500
State Street Bank and Trust Company State Street Corp. investor protection violation 2018 NH-BSR $325,000
Morgan Stanley Smith Barney, LLC Morgan Stanley investor protection violation 2018 NH-BSR $983,284
Santander Securities, LLC Banco Santander investor protection violation 2018 NH-BSR $31,562
Tokio Marine Kiln Syndicates Limited et al. Tokio Marine insurance violation 2018 NJ-DBI $60,000
Mercury Indemnity Company of America Mercury General Corporation insurance violation 2018 NJ-DBI $25,000
Oscar Garden State Insurance Corporation Mulberry Health insurance violation 2018 NJ-DBI $500,000
Western Union Western Union anti-money-laundering deficiencies 2018 NY-DFS $60,000,000
Amica Mutual Insurance Company Amica Mutual Insurance insurance violation 2018 NY-DFS $20,000
QBE Insurance Corp. QBE Insurance insurance violation 2018 NY-DFS $750,000
AIG Claims Inc. American International Group insurance violation 2018 NY-DFS $177,500
Nationstar Mortgage LLC Mr. Cooper Group consumer protection violation 2018 NY-DFS $17,000,000
J P Morgan Securities LLC JPMorgan Chase insurance violation 2018 NY-DFS $11,750
Marsh USA Inc Marsh & McLennan insurance violation 2018 NY-DFS $12,950
Goldman Sachs Group Inc. Goldman Sachs foreign exchange market manipulation 2018 NY-DFS $54,750,000
Chubb Ltd. Chubb Limited insurance violation 2018 NY-DFS $1,300,000
Deutsche Bank AG Deutsche Bank foreign exchange market manipulation 2018 NY-DFS $205,000,000
Athene Life Insurance Company of New York Athene Holding insurance violation 2018 NY-DFS $15,000,000
American Family Life Assurance Company of New York (AFLAC) Aflac insurance violation 2018 NY-DFS $1,138,368
Transamerica Financial Life Insurance Company Aegon insurance violation 2018 NY-DFS $1,345,136
Sentinel Insurance Company Hartford Financial Services insurance violation 2018 NY-DFS $1,816,596
Selective Insurance Companies Selective Insurance Group insurance violation 2018 NY-DFS $4,666,268
HealthNow New York, Inc. Highmark Inc. insurance violation 2018 NY-DFS $118,583
Societe Generale SA Societe Generale economic sanction violation 2018 NY-DFS $420,000,000
National Integrity Life Insurance Company Western & Southern Financial Group insurance violation 2018 NY-DFS $240,000
Oscar Insurance Corp. Mulberry Health insurance violation 2018 NY-DFS $576,950
Barclays Bank PLC Barclays workplace whistleblower retaliation 2018 NY-DFS $15,000,000
John Hancock Life Insurance Company (U.S.A.) Manulife Financial insurance violation 2018 OR-FIN $49,000
LifeWise Health Plan of Oregon Premera Blue Cross insurance violation 2018 OR-FIN $788,000
United Services Automobile Association USAA insurance violation 2018 OR-FIN $6,200
USAA General Indemnity Company USAA insurance violation 2018 OR-FIN $5,000
Standard Fire Insurance Company Travelers insurance violation 2018 OR-FIN $71,200
Esurance Property and Casualty Insurance Company Allstate insurance violation 2018 RI-FIN $233,963
Morgan Stanley Smith Barney LLC Morgan Stanley investor protection violation 2018 RI-FIN $175,000
Allstate Fire & Casualty Insurance Company Allstate insurance violation 2018 RI-FIN $60,000
Allstate Vehicle and Property Insurance Company Allstate insurance violation 2018 SC-INS $10,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)