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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 Vehicle and Property Insurance Company Allstate insurance violation 2018 SC-INS $10,000
Guardian Life Insurance Company of America Guardian Life Insurance insurance violation 2018 SC-INS $10,000
Ameriprise Financial Services Inc. Ameriprise Financial investor protection violation 2018 SC-SEC $650,000
Hartford Life and Accident Insurance Company Hartford Financial Services insurance violation 2018 SD-INS $10,000
Transamerica Life Insurance Company Aegon insurance violation 2018 SD-INS $10,000
The General Automobile Insurance Company Inc. American Family Insurance insurance violation 2018 TX-INS $100,000
Permanent General Assurance Corporation American Family Insurance insurance violation 2018 TX-INS $70,000
American Zurich Insurance Company Zurich Insurance insurance violation 2018 TX-INS $53,750
Zurich American Insurance Company Zurich Insurance insurance violation 2018 TX-INS $42,000
Security National Insurance Company Zurich Insurance insurance violation 2018 TX-INS $40,000
Accident Fund Insurance Company of America AF Group insurance violation 2018 TX-INS $13,500
Liberty Insurance Corporation Liberty Mutual Insurance insurance violation 2018 TX-INS $19,500
Safety National Casualty Corporation Tokio Marine insurance violation 2018 TX-INS $23,500
Insurance Company of the State of Pennsylvania American International Group insurance violation 2018 TX-INS $8,500
Ace American Insurance Company Chubb Limited insurance violation 2018 TX-INS $22,000
Granite State Insurance Company American International Group insurance violation 2018 TX-INS $22,000
Trumbull Insurance Company Hartford Financial Services insurance violation 2018 TX-INS $20,000
XL Insurance America, Inc. AXA insurance violation 2018 TX-INS $32,000
Federal Insurance Company Chubb Limited insurance violation 2018 TX-INS $7,000
Hartford Underwriters Insurance Company Hartford Financial Services insurance violation 2018 TX-INS $9,000
Liberty Insurance Corporation Liberty Mutual Insurance insurance violation 2018 TX-INS $5,000
Commerce and Industry Insurance Company American International Group insurance violation 2018 TX-INS $20,000
The Standard Fire Insurance Company Travelers insurance violation 2018 TX-INS $27,855
Travelers Casualty and Surety Company Travelers insurance violation 2018 TX-INS $11,000
Amica Mutual Insurance Company Amica Mutual Insurance insurance violation 2018 TX-INS $10,000
Time Insurance Company Haven Holdings insurance violation 2018 TX-INS $125,000
Arch Insurance Company Arch Capital insurance violation 2018 TX-INS $7,000
Employer's Insurance Company of Wausau Liberty Mutual Insurance insurance violation 2018 TX-INS $12,000
Chubb Lloyds Insurance Company of Texas Chubb Limited insurance violation 2018 TX-INS $55,000
Unitrin County Mutual Insurance Company Kemper insurance violation 2018 TX-INS $25,000
Time Insurance Company Haven Holdings insurance violation 2018 TX-INS $15,000
United Services Automobile Association et al. USAA insurance violation 2018 TX-INS $40,000
Esurance Property and Casualty Insurance Company Allstate insurance violation 2018 TX-INS $12,500
Accident Fund General Insurance Company AF Group insurance violation 2018 TX-INS $75,000
LM Insurance Corporation Liberty Mutual Insurance insurance violation 2018 TX-INS $10,000
American Zurich Insurance Company Zurich Insurance insurance violation 2018 TX-INS $18,000
LM Insurance Corporation Liberty Mutual Insurance insurance violation 2018 TX-INS $42,000
Property and Casualty Insurance Company of Hartford Hartford Financial Services insurance violation 2018 TX-INS $65,000
XL Specialty Insurance Company AXA insurance violation 2018 TX-INS $30,000
Travelers Property Casualty Company of America Travelers insurance violation 2018 TX-INS $14,500
Accident Fund General Insurance Company AF Group insurance violation 2018 TX-INS $6,400
Accident Fund Insurance Company of America AF Group insurance violation 2018 TX-INS $19,800
Accident Fund National Insurance Company AF Group insurance violation 2018 TX-INS $19,100
National Interstate Insurance Company American Financial Group insurance violation 2018 TX-INS $10,000
Colonial County Mutual Insurance Company and Titan Insurance Services Inc. Nationwide insurance violation 2018 TX-INS $50,000
Cincinnati Insurance Company Cincinnati Financial insurance violation 2018 TX-INS $30,000
Ace American Insurance Company Chubb Limited insurance violation 2018 TX-INS $7,500
Marsh & McLennan Agency LLC Marsh & McLennan insurance violation 2018 TX-INS $7,600
Arthur J. Gallagher Risk Management Services, Inc. Arthur J. Gallagher & Co. insurance violation 2018 TX-INS $6,300
Jefferson National Life Insurance Company Nationwide insurance violation 2018 TX-INS $15,000
Oscar Insurance Company Mulberry Health insurance violation 2018 TX-INS $75,000
Ace American Insurance Company Chubb Limited insurance violation 2018 TX-INS $9,000
The Insurance Company of the State of Pennsylvania American International Group insurance violation 2018 TX-INS $8,400
The Travelers Indemnity Company Travelers insurance violation 2018 TX-INS $7,500
The Travelers Indemnity Company of Connecticut Travelers insurance violation 2018 TX-INS $20,000
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
GRANITE STATE INSURANCE CO. American International Group insurance violation 2018 VA-INS $152,318
TOKIO MARINE KILN SYNDICATES, LTD. Tokio Marine insurance violation 2018 VA-INS $7,500
SELECTIVE INSURANCE CO. ET AL. Selective Insurance Group insurance violation 2018 VA-INS $10,000
LINCOLN FINANCIAL SECURITIES Lincoln National investor protection violation 2018 VA-SEC $20,000
MERCURY CASUALTY COMPANY Mercury General Corporation insurance violation 2018 VA-INS $173,650
ACADIA INSURANCE COMPANY ET AL W.R. Berkley insurance violation 2018 VA-INS $91,793
THE GENERAL AUTOMOBILE INSURANCE CO. American Family Insurance insurance violation 2018 VA-INS $66,996
LIBERTY MUTUAL FIRE INSURANCE Liberty Mutual Insurance insurance violation 2018 VA-INS $108,053
PROGRESSIVE NORTHERN INSURANCE CO. Progressive insurance violation 2018 VA-INS $1,818,318
USAA CASUALTY INSURANCE CO ET AL. USAA insurance violation 2018 VA-INS $4,396,720
ELEPHANT INSURANCE COMPANY Admiral Group insurance violation 2018 VA-INS $79,017
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America investor protection violation 2018 VT-FIN $120,000
Berkley National Insurance Company W.R. Berkley insurance violation 2018 WA-INS $10,000
Ticor Title Company Fidelity National Financial insurance violation 2018 WA-INS $10,000
Unum Life Insurance Company Of America Unum insurance violation 2018 WA-INS $7,000
Lifewise Health Plan Of Washington Premera Blue Cross insurance violation 2018 WA-INS $40,000
Hartford Insurance Company The Midwest Hartford Financial Services insurance violation 2018 WA-INS $20,000
Athene Annuity And Life Company Athene Holding insurance violation 2018 WA-INS $10,000
Metropolitan Life Insurance Company MetLife insurance violation 2018 WA-INS $7,000
American Strategic Insurance Corp Progressive insurance violation 2018 WA-INS $10,000
American Family Mutual Insurance Company S.I. American Family Insurance insurance violation 2018 WA-INS $10,000
Washington National Insurance Company CNO Financial insurance violation 2018 WA-INS $7,500
Crestbrook Insurance Company Nationwide insurance violation 2018 WA-INS $50,000
Fidelity & Guaranty Life Insurance Company Fidelity National Financial insurance violation 2018 WA-INS $5,000
Amica Mutual Insurance Company Amica Mutual Insurance insurance violation 2018 WA-INS $20,000
Credit Acceptance Corporation Credit Acceptance Corp. insurance violation 2018 WA-INS $30,000
Nationwide Agribusiness Insurance Company Nationwide insurance violation 2018 WA-INS $25,000
State Farm Life Insurance Company State Farm Insurance insurance violation 2018 WA-INS $10,000
American Automobile Insurance Company Allianz insurance violation 2018 WA-INS $10,000
Allstate Life Insurance Company Allstate insurance violation 2018 MULTI-FIN $150,000
American Family Life Insurance Company of Columbus Aflac insurance violation 2018 MULTI-FIN $2,500,000
HCC Life Insurance Company et al. Tokio Marine insurance violation 2018 MULTI-FIN $5,000,000
LPL Financial LLC LPL Financial investor protection violation 2018 MULTI-FIN $26,000,000
MLD Mortgage Inc. dba The Money Store MLD Mortgage Inc. dba The Money Store consumer protection violation 2018 MULTI-FIN $720,000
Nationwide Mutual Insurance Company Nationwide insurance violation 2018 MULTI-FIN $725,000
Travelers Indemnity Company Travelers discriminatory practices (non-employment) 2018 private lawsuit-federal $450,000
Nuveen Services LLC TIAA wage and hour violation 2018 IL-DOL $27,983
FIRST MIDWEST BANK First Midwest Bancorp wage and hour violation 2018 IL-DOL $15,000
ZURICH AMERICAN INS CO Zurich Insurance wage and hour violation 2018 IL-DOL $13,865
PRUDENTIAL INS CO OF AMER Prudential Financial environmental violation 2018 PA-ENV $9,000
BOWIE REFINED COAL LLC Trafigura environmental violation 2018 KY-ENV $12,200
International-Matex Tank Terminals, LLC Macquarie environmental violation 2018 LA-ENV $25,673
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)