Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$331,558,339,161
Number of Records: 
6,166
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$82,764,013,078219
JPMorgan Chase$35,819,302,225162
Citigroup$25,454,366,764125
Wells Fargo$21,358,750,745184
Deutsche Bank$18,286,625,30261
UBS$16,792,860,91083
Goldman Sachs$16,365,468,98744
Royal Bank of Scotland$13,473,904,00028
BNP Paribas$12,132,582,95017
Credit Suisse$10,410,557,62632


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
Mid-Century Insurance Co. Zurich Insurance insurance violation 2019 CT-INS $64,000
Voya Financial Advisors, Inc. fka ING Financial Partners, Inc. Voya Financial investor protection violation 2019 CT-SEC $1,015,000
Massachusetts Mutual Life Insurance Company, Inc. Massachusetts Mutual Life Insurance insurance violation 2019 CT-INS $61,000
Continental Western Insurance Co. W.R. Berkley insurance violation 2019 CT-INS $23,000
National General Insurance Co. Allstate insurance violation 2019 CT-INS $167,500
Berkshire Life Insurance Company of America Guardian Life Insurance insurance violation 2019 CT-INS $7,500
Ameritas Life Insurance Corp. Ameritas Mutual Holding Company insurance violation 2019 CT-INS $5,000
AIG Property Casualty Co. American International Group insurance violation 2019 CT-INS $120,000
Continental American Insurance Co. Aflac insurance violation 2019 CT-INS $10,000
Nationwide Life and Annuity Insurance Co. Nationwide insurance violation 2019 CT-INS $16,500
Hartford Casualty Insurance Co. Hartford Financial Services insurance violation 2019 CT-INS $57,500
Hartford Accident and Indemnity Co. Hartford Financial Services insurance violation 2019 CT-INS $43,000
Property Casualty Insurance Company of Hartford Hartford Financial Services insurance violation 2019 CT-INS $14,000
Trumbull Insurance Co. Hartford Financial Services insurance violation 2019 CT-INS $141,500
Sentinel Insurance Co. Hartford Financial Services insurance violation 2019 CT-INS $84,000
Heartland Payment Systems, LLC dba HPS Heartland Payroll Solutions, Inc. Global Payments Inc. consumer protection violation 2019 CT-BKG $12,450
Mutual of Omaha Insurance Co. Mutual of Omaha insurance violation 2019 CT-INS $60,500
American Alternative Insurance Corp. Munich Re insurance violation 2019 CT-INS $49,500
Lincoln Life & Annuity Company of New York Lincoln National insurance violation 2019 CT-INS $7,500
The Lincoln National Life Insurance Co. Lincoln National insurance violation 2019 CT-INS $65,000
Allstate Insurance Co. et al. Allstate insurance violation 2019 DE-INS $12,500
United Service Automobile Association et al. USAA insurance violation 2019 DE-INS $32,500
Allianz Life Insurance Company of North America Allianz insurance violation 2019 DE-INS $13,500
Chicago Title Insurance Co. Fidelity National Financial insurance violation 2019 DE-INS $8,000
American General Life Insurance Co. American International Group insurance violation 2019 DE-INS $85,000
State Farm Life Insurance Co. State Farm Insurance insurance violation 2019 DE-INS $18,000
Hartford Underwriters Insurance Co. et al. Hartford Financial Services insurance violation 2019 DE-INS $23,000
Bankers Life and Casualty Co. CNO Financial insurance violation 2019 DE-INS $41,200
Bankers Standard Insurance Co. et al. Chubb Limited insurance violation 2019 DE-INS $16,000
Nationwide General Insurance Co. et al. Nationwide insurance violation 2019 DE-INS $56,600
First American Title Insurance Co. First American Financial insurance violation 2019 DE-INS $36,000
Praetorian Insurance Co. and QBE Insurance Corp. and QBE Speciality Insurance Co. QBE Insurance insurance violation 2019 DE-INS $70,100
Foremost Property and Casualty Insurance Co. et al. Zurich Insurance insurance violation 2019 DE-INS $11,000
Western Union International Services LLC Western Union consumer protection violation 2019 FL-OFR $10,000
Arch Insurance Co. Arch Capital insurance violation 2019 ID-INS $5,000
Liberty Mutual Insurance Liberty Mutual Insurance insurance violation 2019 IN-INS $5,000
Allianz Life Insurance Company of North America Allianz insurance violation 2019 KS-INS $60,000
Auto-Owners (Mutual) Insurance Co. and Owners Insurance Co. Auto-Owners Insurance insurance violation 2019 KS-INS $10,000
AmeriSave Mortgage Corp. AmeriSave Mortgage consumer protection violation 2019 KY-FIN $5,000
American Health and Life Insurance Co. OneMain Holdings insurance violation 2019 LA-INS $11,000
Progressive Paloverde Insurance Co. Progressive insurance violation 2019 LA-INS $5,000
Axa Insurance Co. AXA insurance violation 2019 LA-INS $6,000
The Lincoln National Life Insurance Co. Lincoln National insurance violation 2019 LA-INS $10,000
LPL Financial LLC LPL Financial investor protection violation 2019 MA-SEC $1,100,000
Wells Fargo Clearing Services, LLC Wells Fargo investor protection violation 2019 MA-SEC $450,000
Morgan Stanley Smith Barney LLC Morgan Stanley investor protection violation 2019 MA-SEC $382,500
Next Financial Group, Inc. Atria Wealth Solutions investor protection violation 2019 MA-SEC $150,000
LPL Financial LLC LPL Financial investor protection violation 2019 MD-SEC $499,000
CareFirst BlueChoice, Inc. CareFirst of Maryland insurance violation 2019 MD-INS $7,000
United Casualty Insurance Company of America Kemper insurance violation 2019 MD-INS $54,900
State Farm Mutual Automobile Insurance Company State Farm Insurance insurance violation 2019 MD-INS $23,863
Privilege Underwriters Reciprocal Exchange Tokio Marine insurance violation 2019 MD-INS $15,300
Praetorian Insurance Company QBE Insurance insurance violation 2019 MD-INS $5,920
Transamerica Life Insurance Company Aegon insurance violation 2019 MD-INS $184,000
NYLIFE Securities LLC New York Life Insurance investor protection violation 2019 ME-SEC $50,000
Auto-Owners Insurance Co. and Owners Insurance Co. Auto-Owners Insurance insurance violation 2019 MN-FIN $35,000
Esurance Property and Casualty Co. and Esurance Insurance Co. Allstate insurance violation 2019 MN-FIN $35,000
Transamerica Life Insurance Co. and Transamerica Premier Life Insurance Co. Aegon insurance violation 2019 MN-FIN $100,000
Allstate Insurance Co. and Encompass Indemnity Co. et al. Allstate insurance violation 2019 MN-FIN $75,000
Lincoln National Life Insurance Co. Lincoln National insurance violation 2019 MN-FIN $10,000
Austin Mutual Insurance Co. American Family Insurance insurance violation 2019 MN-FIN $10,000
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
Bankers Life and Casualty Co. and Colonial Penn Life Insurance Co. CNO Financial insurance violation 2019 MN-FIN $175,000
The Travelers Indemnity Co. Travelers insurance violation 2019 MN-FIN $10,000
Regent Insurance Co. QBE Insurance insurance violation 2019 MO-INS $47,500
American Alternative Insurance Corp. Munich Re insurance violation 2019 MO-INS $85,000
Transamerica Life Insurance Co. Aegon insurance violation 2019 MO-INS $6,000
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
Old Republic National Title Insurance Co. Old Republic International insurance violation 2019 MO-INS $60,050
Athene Annuity and Life Co. Athene Holding insurance violation 2019 MO-INS $5,000
Transamerica Life Insurance Co. Aegon insurance violation 2019 MO-INS $26,000
Transamerica Premier Life Insurance Co. Aegon insurance violation 2019 MO-INS $36,000
American Income Life Insurance Co. Globe Life Inc. insurance violation 2019 MT-INS $15,000
Great Plains Specialty Finance, Inc. d/b/a Check 'n Go CNG Financial consumer protection violation 2019 NE-DBF $12,850
Great Plains Specialty Finance, Inc. d/b/a Check 'n Go CNG Financial consumer protection violation 2019 NE-DBF $13,500
Solium Financial Services LLC Morgan Stanley consumer protection violation 2019 NE-DBF $14,000
CashCall, Inc. CashCall Inc. consumer protection violation 2019 NH-BKG $188,880
CashCall Inc. and WS Funding LLC CashCall Inc. consumer protection violation 2019 NH-BKG $188,800
Berthel Fisher & Company Financial Services, Inc Berthel Fisher investor protection violation 2019 NH-BSR $415,407
Santander Securities, LLC Banco Santander investor protection violation 2019 NH-BSR $50,000
NEXT Financial Group, Inc Atria Wealth Solutions investor protection violation 2019 NH-BSR $325,000
Transamerica Life Insurance Company Aegon insurance violation 2019 NJ-DBI $5,942,519
Horizon Healthcare of New Jersey, Inc. Horizon Healthcare Services insurance violation 2019 NJ-DBI $1,940,000
Horizon Healthcare Services, Inc. Horizon Healthcare Services insurance violation 2019 NJ-DBI $250,000
Genworth Life Insurance Company Genworth Financial insurance violation 2019 NJ-DBI $10,000
Arch Insurance Company Arch Capital insurance violation 2019 NY-DFS $5,000,000
National Union Fire Insurance Company American International Group insurance violation 2019 NY-DFS $5,200,000
Globe Life Insurance Company of New York Globe Life Inc. insurance violation 2019 NY-DFS $7,769,000
MetLife Insurance Company MetLife insurance violation 2019 NY-DFS $208,750,000
Standard Chartered Bank Standard Chartered foreign exchange market manipulation 2019 NY-DFS $40,000,000
Mercury Casualty Company Mercury General Corporation insurance violation 2019 NY-DFS $31,000
Standard Chartered Bank Standard Chartered economic sanction violation 2019 NY-DFS $180,000,000
UniCredit Group UniCredit economic sanction violation 2019 NY-DFS $405,000,000
Mid-Century Insurance Company Zurich Insurance insurance violation 2019 NY-DFS $50,000
Titan Insurance Company Nationwide insurance violation 2019 NY-DFS $149,300
Bankers Conseco Life Insurance CNO Financial insurance violation 2019 NY-DFS $27,900
Companion Life Insurance Co. BlueCross BlueShield of South Carolina insurance violation 2019 NY-DFS $648,122
The Guardian Insurance & Annuity Company, Inc. Guardian Life Insurance insurance violation 2019 NY-DFS $442,589
Northwestern Mutual Life Insurance Co. Northwestern Mutual insurance violation 2019 NY-DFS $57,937
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)