Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$325,206,110,617
Number of Records: 
5,976
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$82,700,046,034213
JPMorgan Chase$34,530,243,993154
Citigroup$25,045,655,764120
Wells Fargo$21,199,943,231179
Deutsche Bank$18,156,533,87859
UBS$16,792,800,91083
Royal Bank of Scotland$13,455,904,00027
Goldman Sachs$13,140,380,98740
BNP Paribas$12,132,582,95017
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.
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
Homesite Insurance Co. American Family Insurance insurance violation 2019 MN-FIN $5,000
Time Insurance Co. Haven Holdings insurance violation 2019 MN-FIN $5,000
Progressive Casualty Insurance Company Progressive insurance violation 2020 MN-FIN $5,000
Berthel Fisher & Company Financial Services, Inc. Berthel Fisher investor protection violation 2011 MO-SEC $5,000
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
Transamerica Life Insurance Co. Aegon insurance violation 2019 MO-INS $5,000
Transamerica Premier Life Insurance Co. Aegon insurance violation 2019 MO-INS $5,000
Athene Annuity and Life Co. Athene Holding insurance violation 2019 MO-INS $5,000
Seneca Ins Co. Inc. Fairfax Financial Holdings insurance violation 2004 MS-INS $5,000
Safety National Casualty Corp. Tokio Marine insurance violation 2004 MS-INS $5,000
Seneca Insurance Co. Inc. Fairfax Financial Holdings insurance violation 2004 MS-INS $5,000
Trumbull Insurance Co. Hartford Financial Services insurance violation 2002 MT-INS $5,000
NEXT Financial Group, Inc. Atria Wealth Solutions investor protection violation 2010 MT-SEC $5,000
Genworth Life and Annuity Insurance Co. Genworth Financial insurance violation 2011 MT-INS $5,000
Metlife Investors USA Insurance Co MetLife investor protection violation 2012 MT-SEC $5,000
John Hancock Life Insurance Co. Manulife Financial insurance violation 2013 MT-INS $5,000
Travelers Casualty and Surety Co. et al. Travelers insurance violation 2013 MT-INS $5,000
The Prudential Insurance Company of America Prudential Financial insurance violation 2015 MT-INS $5,000
AXA Equitable Life & Annuity Co. AXA insurance violation 2016 MT-INS $5,000
Liberty Mutual Insurance Co. Liberty Mutual Insurance insurance violation 2016 MT-INS $5,000
Conseco Senior Health Insurance Company CNO Financial insurance violation 2001 ND-INS $5,000
American Family Mutual Insurance Company American Family Insurance insurance violation 2009 ND-INS $5,000
U.S. Bancorp Piper Jaffray Inc. Piper Jaffray investor protection violation 2002 NE-DBF $5,000
Berthel, Fisher & Company Financial Services, Inc. Berthel Fisher investor protection violation 2007 NE-DBF $5,000
Standard Life and Accident Insurance Company American National Insurance insurance violation 2015 NE-DOI $5,000
Progressive Northern Insurance Company Progressive insurance violation 2006 NH-INS $5,000
Allstate New Jersey Insurance Company Allstate insurance violation 2009 NJ-DBI $5,000
Gallagher Benefit Services, Inc. Arthur J. Gallagher & Co. insurance violation 2014 NJ-DBI $5,000
LifeWise, A Premera Health Plan, Inc. Premera Blue Cross insurance violation 2002 OR-FIN $5,000
Globe Life And Accident Insurance Compan Globe Life Inc. insurance violation 2002 OR-FIN $5,000
Great American Insurance Company of New York American Financial Group insurance violation 2005 OR-FIN $5,000
Ameritas Life Insurance Corp. Ameritas Mutual Holding Company insurance violation 2006 OR-FIN $5,000
Granite State Insurance Company American International Group insurance violation 2007 OR-FIN $5,000
Reliance Standard Life Insurance Company Tokio Marine insurance violation 2007 OR-FIN $5,000
Liberty Northwest Insurance Corporation Liberty Mutual Insurance insurance violation 2009 OR-FIN $5,000
Bankers Life and Casualty Company CNO Financial insurance violation 2011 OR-FIN $5,000
United of Omaha Life Insurance Company Mutual of Omaha insurance violation 2011 OR-FIN $5,000
Metropolitan Life Insurance Company MetLife insurance violation 2011 OR-FIN $5,000
Hartford Life and Accident Insurance Company Hartford Financial Services insurance violation 2012 OR-FIN $5,000
USAA General Indemnity Company USAA insurance violation 2018 OR-FIN $5,000
Minnesota Life Insurance Company Securian Financial insurance violation 2019 OR-FIN $5,000
Affinity Insurance Services Inc. Aon insurance violation 2004 PA-INS $5,000
Bankers Life and Casualty Company CNO Financial insurance violation 2004 PA-INS $5,000
Foremost Insurance Company of Grand Rapids, Michigan Zurich Insurance insurance violation 2005 PA-INS $5,000
Safeco Insurance Company of America Liberty Mutual Insurance insurance violation 2005 PA-INS $5,000
Selective Insurance Company of South Carolina Selective Insurance Group insurance violation 2005 PA-INS $5,000
Selective Way Insurance Company Selective Insurance Group insurance violation 2005 PA-INS $5,000
Aon Risk Services Central Inc. Aon insurance violation 2008 PA-INS $5,000
T.H.E. Insurance Company AXA insurance violation 2009 PA-INS $5,000
Scor Reinsurance Company SCOR insurance violation 2009 PA-INS $5,000
MLD Mortgage Inc. dba The Money Store MLD Mortgage Inc. dba The Money Store consumer protection violation 2009 PA-BKG $5,000
Jefferson National Life Insurance Company Nationwide insurance violation 2009 PA-INS $5,000
MLD Mortgage Inc. dba The Money Store MLD Mortgage Inc. dba The Money Store consumer protection violation 2010 PA-BKG $5,000
Lincoln Financial Advisors Corp. Lincoln National investor protection violation 2007 RI-FIN $5,000
Travelers Indemnity Company of America Travelers insurance violation 2009 RI-FIN $5,000
Allstate Insurance Company Allstate insurance violation 2009 RI-FIN $5,000
Homesite Insurance Company American Family Insurance insurance violation 2013 RI-FIN $5,000
Metropolitan Property and Casualty Company MetLife insurance violation 2019 RI-FIN $5,000
Merrill Lynch Life Insurance Company Bank of America insurance violation 2000 SC-INS $5,000
Dairyland Insurance Company Sentry Insurance insurance violation 2003 SC-INS $5,000
New Hampshire Insurance Company American International Group insurance violation 2013 SD-INS $5,000
Catlin Insurance Company Inc. AXA insurance violation 2013 SD-INS $5,000
Hartford Underwriters Insurance Company Hartford Financial Services insurance violation 2013 SD-INS $5,000
Hartford Insurance Company of the Midwest Hartford Financial Services insurance violation 2013 SD-INS $5,000
Hartford Casualty Insurance Company Hartford Financial Services insurance violation 2013 SD-INS $5,000
Hartford Accident and Indemnity Hartford Financial Services insurance violation 2013 SD-INS $5,000
Hartford Fire Insurance Company Hartford Financial Services insurance violation 2013 SD-INS $5,000
Hartford Accident and Indemnity Hartford Financial Services insurance violation 2013 SD-INS $5,000
Hartford Fire Insurance Company Hartford Financial Services insurance violation 2013 SD-INS $5,000
Sentinel Insurance Company Ltd. Hartford Financial Services insurance violation 2013 SD-INS $5,000
Twin City Fire Insurance Company Hartford Financial Services insurance violation 2013 SD-INS $5,000
Property & Casualty Insurance Company of Hartford Hartford Financial Services insurance violation 2013 SD-INS $5,000
Protective Life Insurance Company Dai-ichi Life insurance violation 2014 SD-INS $5,000
General Casualty Company of Wisconsin QBE Insurance insurance violation 2014 SD-INS $5,000
New Hampshire Insurance Company American International Group insurance violation 2014 SD-INS $5,000
American Memorial Life Insurance Company Assurant insurance violation 2016 SD-INS $5,000
Indemnity Insurance Company of North America Chubb Limited insurance violation 2016 SD-INS $5,000
Old Republic Insurance Company Old Republic International insurance violation 2017 SD-INS $5,000
Genworth Life Insurance Company Genworth Financial insurance violation 2019 SD-INS $5,000
Sentry Insurance Sentry Insurance insurance violation 2008 TX-INS $5,000
A.G. Edwards & Sons Inc. Wells Fargo investor protection violation 2008 TX-SEC $5,000
LPL Financial Corporation LPL Financial investor protection violation 2008 TX-SEC $5,000
Wausau Business Insurance Company Liberty Mutual Insurance insurance violation 2010 TX-INS $5,000
Safeco Lloyds Insurance Co. Liberty Mutual Insurance insurance violation 2010 TX-INS $5,000
New Hampshire Insurance Company American International Group insurance violation 2011 TX-INS $5,000
Hartford Underwriters Insurance Company Hartford Financial Services insurance violation 2012 TX-INS $5,000
Liberty Insurance Corporation Liberty Mutual Insurance insurance violation 2012 TX-INS $5,000
Wausau Underwriters Insurance Company Liberty Mutual Insurance insurance violation 2012 TX-INS $5,000
Old Republic Insurance Company Old Republic International insurance violation 2012 TX-INS $5,000
Hartford Insurance Company of the Midwest Hartford Financial Services insurance violation 2012 TX-INS $5,000
Standard Fire Insurance Company Travelers insurance violation 2013 TX-INS $5,000
National Interstate Insurance Company American Financial Group insurance violation 2014 TX-INS $5,000
Safety National Casualty Corporation Tokio Marine insurance violation 2015 TX-INS $5,000
Old Republic Insurance Company Old Republic International insurance violation 2015 TX-INS $5,000
American Zurich Insurance Company Zurich Insurance insurance violation 2016 TX-INS $5,000
The Standard Fire Insurance Company Travelers insurance violation 2016 TX-INS $5,000
New Hampshire Insurance Company American International Group insurance violation 2017 TX-INS $5,000
Arch Insurance Company Arch Capital insurance violation 2017 TX-INS $5,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)