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
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
National General Insurance Company Allstate insurance violation 2020 AZ-INS $75,000
BOK Financial Securities, Inc. BOK Financial insurance violation 2020 CA-INS $5,000
TD Bank, N.A. Toronto-Dominion Bank consumer protection violation 2020 CFPB $122,000,000
The Bank of Nova Scotia Scotiabank investor protection violation 2020 CFTC $50,000,000
The Bank of Nova Scotia Scotiabank investor protection violation 2020 CFTC $77,400,000
Interactive Brokers LLC Interactive Brokers Group anti-money-laundering deficiencies 2020 CFTC $12,206,214
Deutsche Bank AG Deutsche Bank investor protection violation 2020 CFTC $9,000,000
Deutsche Bank Securities Inc. Deutsche Bank investor protection violation 2020 CFTC $1,250,000
Chicago Title Insurance Co. Fidelity National Financial insurance violation 2020 CT-INS $28,000
American Family Life Assurance Company of Columbus Aflac insurance violation 2020 CT-INS $8,500
National Union Fire Insurance Company of Pittsburgh, PA American International Group insurance violation 2020 CT-INS $106,000
Nationwide Life Insurance Co. Nationwide insurance violation 2020 CT-INS $10,000
Old Republic National Title Insurance Co. Old Republic International insurance violation 2020 CT-INS $20,000
First American Title insurance Co. First American Financial insurance violation 2020 CT-INS $40,000
Stewart Title Guaranty Co. Stewart Information Services insurance violation 2020 CT-INS $47,000
Pacific Indemnity Co. Chubb Limited insurance violation 2020 CT-INS $16,000
The Standard Insurance Co. Meiji Yasuda Life Insurance insurance violation 2020 CT-INS $7,500
Minnesota Life Insurance Co. Securian Financial insurance violation 2020 CT-INS $9,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2020 CT-SEC $400,000
Bank of Nova Scotia Scotiabank price-fixing or anti-competitive practices 2020 DOJ_CRIMINAL $60,400,000
Bank of America, N.A. Bank of America Americans with Disabilities Act 2020 DOJ_RIGHTS $300,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 FL-OFR $79,045
Hartford Life and Accident Insurance Co. Hartford Financial Services insurance violation 2020 MA-AG $145,000
Freedom Mortgage Corp. Freedom Mortgage consumer protection violation 2020 MA-BKG $25,000
Wells Fargo & Co. Wells Fargo investor protection violation 2020 MD-AG $20,000,000
USAA General Indemnity Co. et al. USAA insurance violation 2020 MD-INS $67,500
Lincoln National Life Insurance Co. Lincoln National insurance violation 2020 MO-INS $15,000
Chicago Title Insurance Co. Fidelity National Financial insurance violation 2020 MO-INS $48,500
Permanent General Assurance Corp. American Family Insurance insurance violation 2020 MO-INS $15,000
Stewart Title Guaranty Co. Stewart Information Services insurance violation 2020 MO-INS $100,000
Principal Life Insurance Company Principal Financial insurance violation 2020 MULTI-FIN $145,000
Gerber Life Insurance Co. Western & Southern Financial Group insurance violation 2020 NC-INS $3,635,665
Mid-Century Insurance Company Zurich Insurance insurance violation 2020 NY-DFS $200,000
Praetorian Insurance Company QBE Insurance insurance violation 2020 NY-DFS $20,000
The Signal, LP, an Assurant Company Assurant insurance violation 2020 NY-DFS $2,800,000
Deutsche Bank AG and Deutsche Bank Trust Co. America Deutsche Bank banking violation 2020 NY-DFS $150,000,000
Capital One Bank (USA), National Association Capital One Financial banking violation 2020 OCC $80,000,000
Deutsche Bank Trust Company Americas Deutsche Bank economic sanction violation 2020 OFAC $583,100
Teachers Insurance and Annuity Association TIAA employment discrimination 2020 OFCCP $1,500,000
Wells Fargo Bank, N.A. Wells Fargo employment discrimination 2020 OFCCP $7,800,000
American National Property and Casualty Co. American National Insurance insurance violation 2020 OR-FIN $20,000
USAA Casualty Insurance Co. USAA insurance violation 2020 OR-FIN $50,000
Mutual of Omaha Mortgage, Inc. Mutual of Omaha consumer protection violation 2020 PA-BKG $7,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 PA-BKG $52,372
Federal Insurance Co. Chubb Limited insurance violation 2020 SD-INS $25,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 SD-SEC $5,750
Northern Trust Hedge Fund Services LLC Northern Trust investor protection violation 2020 SEC $167,629
Interactive Brokers LLC Interactive Brokers Group investor protection violation 2020 SEC $11,500,000
World Acceptance Corporation World Acceptance Corporation Foreign Corrupt Practices Act 2020 SEC $21,700,000
VALIC Financial Advisors Inc. American International Group investor protection violation 2020 SEC $39,900,000
UBS Financial Services Inc. UBS investor protection violation 2020 SEC $10,000,000
Franklin Advisers and Inc. Franklin Resources investor protection violation 2020 SEC $250,000
Franklin Templeton Investments Corp. Franklin Resources investor protection violation 2020 SEC $75,000
BNP Paribas Securities Corp. BNP Paribas investor protection violation 2020 SEC $250,000
SG Americas Securities LLC Societe Generale investor protection violation 2020 SEC $1,550,000
AmTrust Financial Services Inc. AmTrust Financial Services investor protection violation 2020 SEC $10,300,000
New Hampshire Insurance Co. American International Group insurance violation 2020 TX-INS $7,000
Old Republic Insurance Co. Old Republic International insurance violation 2020 TX-INS $18,150
Zurich American Insurance Co. of Illinois Zurich Insurance insurance violation 2020 TX-INS $10,800
Property and Casualty Insurance Co. of Hartford Hartford Financial Services insurance violation 2020 TX-INS $20,000
Travelers Property Casualty Co. of America Travelers insurance violation 2020 TX-INS $10,000
Old Republic Insurance Co. Old Republic International insurance violation 2020 TX-INS $7,000
Twin City Fire Insurance Co. Hartford Financial Services insurance violation 2020 TX-INS $6,000
New Hampshire Insurance Co. American International Group insurance violation 2020 TX-INS $16,500
XL Specialty Insurance Co. AXA insurance violation 2020 TX-INS $7,000
Ace American Insurance Co. Chubb Limited insurance violation 2020 TX-INS $19,500
New Hampshire Insurance Co. American International Group insurance violation 2020 TX-INS $9,500
New Hampshire Insurance Co. American International Group insurance violation 2020 TX-INS $5,500
Amica Mutual Insurance Co. Amica Mutual Insurance insurance violation 2020 TX-INS $120,000
Trumbull Insurance Co. Hartford Financial Services insurance violation 2020 TX-INS $15,000
Sentinel Insurance Company, Ltd. Hartford Financial Services insurance violation 2020 TX-INS $10,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 TX-SEC $46,073
Dairyland Insurance Co. and Peak Property and Casualty Insurance Corp. Sentry Insurance insurance violation 2020 VA-INS $140,492
Carefirst Bluechoice, Inc. CareFirst of Maryland insurance violation 2020 VA-INS $90,600
Group Hospitalization and Medical Services, Inc. CareFirst of Maryland insurance violation 2020 VA-INS $36,250
Santander Consumer USA Inc. Banco Santander consumer protection violation 2020 VT-AG $105,000
State Farm Life Insurance Co. State Farm Insurance insurance violation 2020 VT-FIN $204,000
Arch Insurance Co. Arch Capital insurance violation 2020 WA-INS $10,000
Premera Blue Cross Premera Blue Cross insurance violation 2020 WA-INS $25,000
Crestbrook Insurance Co. Nationwide insurance violation 2020 WA-INS $5,000
Cincinnati Insurance Co. Cincinnati Financial insurance violation 2020 WA-INS $5,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)