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.
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Company Parent Primary Offense Type Year Agencysort icon Penalty Amount
American Bankers Life Assurance Company of Florida et al. Assurant insurance violation 2008 CA-INS $750,000
Blue Shield of California Life & Health Insurance Co. California Physicians' Service insurance violation 2009 CA-INS $285,000
New York Life Insurance Co. New York Life Insurance insurance violation 2009 CA-INS $175,000
Conseco Senior Health Insurance Co. CNO Financial insurance violation 2009 CA-INS $500,000
Coast National Insurance Co. Zurich Insurance insurance violation 2009 CA-INS $150,000
Hartford Accident and Indemnity Co. et al. Hartford Financial Services insurance violation 2010 CA-INS $40,000
Old Republic Title Co. and Old Republic National Title Insurance Co. Old Republic International insurance violation 2010 CA-INS $399,000
Chicago Title Insurance Co. Fidelity National Financial insurance violation 2011 CA-INS $185,000
John Hancock Life Insurance Co. Manulife Financial insurance violation 2011 CA-INS $70,000
First Mercury Insurance Co. Fairfax Financial Holdings insurance violation 2012 CA-INS $330,000
Travelers Companies Travelers insurance violation 2012 CA-INS $10,500,000
New Hampshire Insurance Co. American International Group insurance violation 2012 CA-INS $142,500
National Union Fire Insurance Co. American International Group insurance violation 2013 CA-INS $5,991,132
Homesite Insurance Company American Family Insurance insurance violation 2013 CA-INS $360,522
Safeco Insurance Company Liberty Mutual Insurance insurance violation 2013 CA-INS $900,000
Ace Limited Insurance Group Chubb Limited insurance violation 2014 CA-INS $100,000
Unum Life Insurance Company of America Unum insurance violation 2014 CA-INS $25,000
Mercury Insurance Company Mercury General Corporation insurance violation 2015 CA-INS $1,000,000
Pruco Life Insurance Co. Prudential Financial insurance violation 2015 CA-INS $8,000
RiverSource Life Insurance Co. Ameriprise Financial insurance violation 2015 CA-INS $800,000
W.R. Berkley Corp. W.R. Berkley insurance violation 2017 CA-INS $3,015,000
Admiral Risk Insurance Services, Inc. W.R. Berkley insurance violation 2017 CA-INS $1,542,500
Admiral Insurance Co. W.R. Berkley insurance violation 2017 CA-INS $1,542,500
State Farm State Farm Insurance insurance violation 2017 CA-INS $13,335,701
United Casualty Insurance Co. Kemper insurance violation 2018 CA-INS $22,500
Ticor Title Company of California Fidelity National Financial insurance violation 2018 CA-INS $6,000
Wells Fargo Bank, N.A. and Wells Fargo Insurance, Inc. Wells Fargo insurance violation 2019 CA-INS $5,345,816
Ameritas Investment Corp. Ameritas Mutual Holding Company insurance violation 2019 CA-INS $15,000
Mercury Insurance Co. and Mercury Casualty Co. and California Automobile Insurance Co. Mercury General Corporation insurance violation 2019 CA-INS $41,188,505
BOK Financial Securities, Inc. BOK Financial insurance violation 2020 CA-INS $5,000
US Bank U.S. Bancorp housing code violation 2016 CA-LACA $13,500,000
Wells Fargo Wells Fargo consumer protection violation 2016 CA-LACA $50,000,000
National City Mortgage Co. PNC Financial Services wage and hour violation 2007 CA-LCO $76,000
Ace America's Cash Express ACE Cash Express wage and hour violation 2004 CA-LCO $75,000
H & R Block H&R Block wage and hour violation 2003 CA-LCO $12,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2002 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2002 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2004 CA-MHC $15,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2004 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2004 CA-MHC $20,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2004 CA-MHC $20,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2005 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2005 CA-MHC $100,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2006 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2006 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2006 CA-MHC $50,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2006 CA-MHC $50,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2006 CA-MHC $7,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2006 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2006 CA-MHC $7,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2007 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2007 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2007 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2007 CA-MHC $500,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2007 CA-MHC $50,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2008 CA-MHC $17,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2008 CA-MHC $45,000
Blue Shield of California California Physicians' Service insurance violation 2008 CA-MHC $5,000,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2008 CA-MHC $7,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2008 CA-MHC $40,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2008 CA-MHC $1,250,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2009 CA-MHC $12,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2009 CA-MHC $15,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2009 CA-MHC $30,000
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 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 2010 CA-MHC $300,000
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 2010 CA-MHC $5,000
Blue Shield of California California Physicians' Service insurance violation 2010 CA-MHC $900,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2010 CA-MHC $400,000
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 2010 CA-MHC $10,000
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 $40,000
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 $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2011 CA-MHC $20,000
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 $7,500
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
Blue Shield of California Promise Health Plan California Physicians' Service insurance violation 2012 CA-MHC $50,000
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 $120,000
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 $10,000
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 $7,500
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 $7,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2013 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2014 CA-MHC $5,000
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