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 Yearsort icon Agency Penalty Amount
Asurion Insurance Services, Inc. and Asurion Protection Services LLC Asurion insurance violation 2020 NY-DFS $4,000,000
Lincoln Life & Annuity Company of New York Lincoln National insurance violation 2020 NY-DFS $193,166
MassMutual Life Insurance Company Massachusetts Mutual Life Insurance insurance violation 2020 NY-DFS $1,399,708
Pacific Life & Annuity Company Pacific Life insurance violation 2020 NY-DFS $425,533
Athene Holding Ltd. Athene Holding insurance violation 2020 NY-DFS $45,000,000
Industrial Bank of Korea Industrial Bank of Korea anti-money-laundering deficiencies 2020 NY-DFS $35,000,000
Bank Hapoalim B.M. Bank Hapoalim tax violations 2020 NY-DFS $220,000,000
Great Plains Specialty Finance Inc. dba Check 'N Go CNG Financial consumer protection violation 2020 OK-DCC $27,500
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 OK-SEC $9,968
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 OR-FIN $10,599
The Prudential Insurance Company of America Prudential Financial insurance violation 2020 OR-FIN $25,000
USAA Casualty Insurance Company USAA insurance violation 2020 RI-FIN $12,000
American General Life Insurance Company American International Group insurance violation 2020 RI-FIN $25,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 TN-SEC $12,994
Next Financial Group, Inc. Atria Wealth Solutions investor protection violation 2020 TX-SEC $600,000
Marsh & McLennan Agency LLC Marsh & McLennan insurance violation 2020 TX-INS $6,350
Arthur J. Gallagher Risk Management Services, Inc. Arthur J. Gallagher & Co. insurance violation 2020 TX-INS $7,025
LendingClub Corporation LendingClub Corp. investor protection violation 2020 TX-SEC $400,000
Elephant Insurance Company Admiral Group insurance violation 2020 TX-INS $80,000
Bristol West Casualty Insurance Company and Bristol West Insurance Company Zurich Insurance insurance violation 2020 VA-INS $27,560
Bristol West Casualty Insurance Company and Bristol West Insurance Company Zurich Insurance insurance violation 2020 VA-INS $91,872
John Hancock Life Insurance Company Manulife Financial insurance violation 2020 VA-INS $60,600
Jefferson National Life Insurance Company Nationwide insurance violation 2020 VA-INS $27,600
The Travelers Indemnity Company ofAmerica Travelers insurance violation 2020 VA-INS $49,500
Next Financial Group, Inc. Atria Wealth Solutions investor protection violation 2020 VA-SEC $5,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 VT-FIN $6,900
Merrill Lynch Bank of America investor protection violation 2020 VT-FIN $125,000
Homesite Insurance Company American Family Insurance insurance violation 2020 VT-FIN $31,000
Farmers Insurance Company Of Washington And Farmers Insurance Exchange Zurich Insurance insurance violation 2020 WA-INS $50,000
Lifewise Health Plan Of Washington Premera Blue Cross insurance violation 2020 WA-INS $50,000
Premera Blue Cross Premera Blue Cross insurance violation 2020 WA-INS $100,000
Ace American Insurance Company Chubb Limited insurance violation 2020 WA-INS $750,000
American General Life Insurance Company American International Group insurance violation 2020 WA-INS $10,000
Lincoln National Life Insurance Company The Lincoln National insurance violation 2020 WA-INS $8,000
Privilege Underwriters Reciprocal Exchange Tokio Marine insurance violation 2020 WA-INS $20,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 WA-FIN $33,753
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $6,778
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $24,380
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $6,778
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