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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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Companysort icon Parent Primary Offense Type Year Agency Penalty Amount
AMERICAN NATIONAL INSURANCE American National Insurance insurance violation 2006 VA-INS $22,000
American National Insurance Co. American National Insurance consumer protection violation 2007 TX-AG $6,500,000
American National Insurance Co. American National Insurance insurance violation 2017 DE-INS $8,000
AMERICAN NATIONAL INSURANCE CO. et al. American National Insurance insurance violation 2002 VA-INS $103,200
American National Insurance Company American National Insurance insurance violation 2015 ND-INS $275,000
American National Insurance Company American National Insurance insurance violation 2004 MULTI-FIN $250,000
American National Life Insurance Company of Texas American National Insurance insurance violation 2011 MD-INS $8,000
American National Property & Casualty Co. American National Insurance insurance violation 2005 FL-OFR $7,500
American National Property and Casualty Co. American National Insurance insurance violation 2017 MN-FIN $5,000
American National Property and Casualty Co. American National Insurance insurance violation 2020 OR-FIN $20,000
AMERICAN SECURITY INSURANCE CO Assurant insurance violation 2006 VA-INS $45,000
American Security Insurance Co. Assurant consumer protection violation 2017 MA-AG $6,300,000
American Security Insurance Co. Assurant consumer protection violation 2015 MA-AG $565,000
American Security Insurance Co. Assurant consumer protection violation 2019 MS-AG $767,394
American Security Insurance Co. et al. Assurant insurance violation 2017 MD-INS $25,000
American Security Insurance Co. et al. Assurant insurance violation 2005 NJ-DBI $1,775,000
American Security Insurance Company Assurant employment discrimination 2020 EEOC $49,000
American Security Insurance Company Assurant insurance violation 2013 MN-FIN $5,000
American Security Insurance Company et al. Assurant insurance violation 2016 MN-FIN $5,000,000
American Skandia Investment Services, Inc. Prudential Financial investor protection violation 2009 SEC $68,000,000
American States Insurance Company Liberty Mutual Insurance insurance violation 2016 TX-INS $27,500
American States Preferred Insurance Co. et al. Liberty Mutual Insurance insurance violation 2010 VA-INS $205,463
AMERICAN STRATEGIC INSURANCE Progressive insurance violation 2016 VA-INS $15,147
AMERICAN STRATEGIC INSURANCE Progressive insurance violation 2017 VA-INS $41,962
American Strategic Insurance Corp Progressive insurance violation 2018 WA-INS $10,000
American Summit Insurance Co. Hilltop Holdings insurance violation 2013 AZ-INS $25,000
American Title Co. dba Ticor Title Company of America Fidelity National Financial insurance violation 2005 CA-INS $1,200,000
AMERICAN ZURICH INSURANCE CO Zurich Insurance insurance violation 2004 VA-INS $5,000
American Zurich Insurance Company Zurich Insurance insurance violation 2003 MA-INS $40,000
American Zurich Insurance Company Zurich Insurance insurance violation 2010 TX-INS $32,000
American Zurich Insurance Company Zurich Insurance insurance violation 2011 TX-INS $9,000
American Zurich Insurance Company Zurich Insurance insurance violation 2012 TX-INS $27,500
American Zurich Insurance Company Zurich Insurance insurance violation 2014 TX-INS $16,514
American Zurich Insurance Company Zurich Insurance insurance violation 2014 TX-INS $15,500
American Zurich Insurance Company Zurich Insurance insurance violation 2015 TX-INS $9,000
American Zurich Insurance Company Zurich Insurance insurance violation 2015 TX-INS $7,000
American Zurich Insurance Company Zurich Insurance insurance violation 2016 TX-INS $5,000
American Zurich Insurance Company Zurich Insurance insurance violation 2016 TX-INS $13,571
American Zurich Insurance Company Zurich Insurance insurance violation 2017 TX-INS $6,000
American Zurich Insurance Company Zurich Insurance insurance violation 2017 TX-INS $9,500
American Zurich Insurance Company Zurich Insurance insurance violation 2018 TX-INS $53,750
American Zurich Insurance Company Zurich Insurance insurance violation 2018 TX-INS $18,000
American Zurich Insurance Company Zurich Insurance insurance violation 2019 TX-INS $45,000
American Zurich Insurance Company Zurich Insurance insurance violation 2019 TX-INS $17,000
American-Amicable Life Insurance Company American-Amicable Group insurance violation 2006 MULTI-FIN $60,000,000
Ameriprise Advisor Services Inc. Ameriprise Financial investor protection violation 2009 RI-FIN $48,411
Ameriprise Financial Ameriprise Financial wage and hour violation 2011 private lawsuit-federal $185,000
Ameriprise Financial Services Ameriprise Financial investor protection violation 2018 SEC $230,000
AMERIPRISE FINANCIAL SERVICES Ameriprise Financial investor protection violation 2008 VA-SEC $780,000
Ameriprise Financial Services Inc. Ameriprise Financial investor protection violation 2018 SEC $4,500,000
Ameriprise Financial Services Inc. Ameriprise Financial consumer protection violation 2013 NE-DBF $10,000
Ameriprise Financial Services Inc. Ameriprise Financial investor protection violation 2018 SC-SEC $650,000
Ameriprise Financial Services Inc. Ameriprise Financial investor protection violation 2009 MULTI-FIN $720,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2009 SEC $17,300,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2017 SEC $8,750,000
Ameriprise Financial Services, Inc. Ameriprise Financial consumer protection violation 2009 MA-AG $200,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2018 NJ-AG $375,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2005 AZ-SEC $1,000,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2006 AZ-SEC $1,250,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2018 CA-DBO $115,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2008 IL-SEC $1,449,384
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2009 KY-FIN $983,984
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2013 MA-SEC $400,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2013 MD-SEC $50,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2008 MS-SEC $150,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2008 NH-BSR $3,400,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2014 NH-BSR $90,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2016 NH-BSR $30,800
AMERIPRISE FINANCIAL SERVICES, INC. Ameriprise Financial investor protection violation 2016 VA-SEC $14,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2016 WA-FIN $55,000
Ameriprise Financial, Inc. Ameriprise Financial investor protection violation 2005 SEC $15,000,000
Ameriprise Financial, Inc. Ameriprise Financial investor protection violation 2005 SEC $30,000,000
Ameriprise Financial, Inc. Ameriprise Financial employment discrimination 2016 OFCCP $128,200
Ameriprise Financial, Inc. Ameriprise Financial benefit plan administrator violation 2015 private lawsuit-federal $27,500,000
Ameriprise Group Ameriprise Financial insurance violation 2017 MULTI-AG $1,500,000
Ameriquest Mortgage Citigroup consumer protection violation 2006 MULTI-AG $325,000,000
Amerisave Mortgage Corp. AmeriSave Mortgage consumer protection violation 2017 CA-DBO $50,000
AmeriSave Mortgage Corp. AmeriSave Mortgage consumer protection violation 2009 KY-FIN $18,000
AmeriSave Mortgage Corp. AmeriSave Mortgage consumer protection violation 2019 KY-FIN $5,000
AmeriSave Mortgage Corp. AmeriSave Mortgage consumer protection violation 2010 MA-BKG $25,000
Amerisave Mortgage Corporation AmeriSave Mortgage consumer protection violation 2009 PA-BKG $50,000
Amerisave Mortgage Corporation AmeriSave Mortgage investor protection violation 2013 MULTI-FIN $2,300,000
Amerisave Mortgage Corporation and Novo Appraisal Management Company AmeriSave Mortgage consumer protection violation 2014 CFPB $19,300,000
Ameritas Investment Corp. Ameritas Mutual Holding Company investor protection violation 2015 SEC $200,000
Ameritas Investment Corp. Ameritas Mutual Holding Company investor protection violation 2019 SEC $3,389,174
Ameritas Investment Corp. Ameritas Mutual Holding Company insurance violation 2019 CA-INS $15,000
Ameritas Investment Corp. Ameritas Mutual Holding Company investor protection violation 2014 IA-INS $10,000
Ameritas Investment Corp. Ameritas Mutual Holding Company investor protection violation 2008 NE-DBF $11,000
Ameritas Investment Corporation Ameritas Mutual Holding Company investor protection violation 2003 TX-SEC $25,000
Ameritas Life Insurance Corp Ameritas Mutual Holding Company wage and hour violation 2017 WHD $9,019
AMERITAS LIFE INSURANCE CORP Ameritas Mutual Holding Company insurance violation 2001 VA-INS $9,000
Ameritas Life Insurance Corp Ameritas Mutual Holding Company insurance violation 2017 WA-INS $10,000
Ameritas Life Insurance Corp Ameritas Mutual Holding Company insurance violation 2019 WA-INS $50,000
Ameritas Life Insurance Corp. Ameritas Mutual Holding Company insurance violation 2019 CT-INS $5,000
Ameritas Life Insurance Corp. Ameritas Mutual Holding Company insurance violation 2015 NJ-DBI $2,524,290
Ameritas Life Insurance Corp. Ameritas Mutual Holding Company insurance violation 2006 OR-FIN $5,000
Ameritas Life Insurance Corp. of New York Ameritas Mutual Holding Company insurance violation 2015 NY-DFS $72,975
AmerUS Life Insurance Co. Athene Holding insurance violation 2007 MN-FIN $250,000
Amex Assurance Co. American Express insurance violation 2006 CA-INS $170,000
Amex Assurance Co. American Express insurance violation 2005 FL-OFR $12,500
Amex Assurance Co. American Express insurance violation 2008 FL-OFR $8,000
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