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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 Year Agency Penalty Amountsort icon
Group Hospitalization & Medical Services, Inc. CareFirst of Maryland insurance violation 2013 MD-INS $5,000
CareFirst BlueChoice, Inc. CareFirst of Maryland insurance violation 2013 MD-INS $5,000
CareFirst BlueChoice, Inc. CareFirst of Maryland insurance violation 2013 MD-INS $5,000
Carefirst of Maryland, Inc. CareFirst of Maryland insurance violation 2013 MD-INS $5,000
Allstate Indemnity Co. Allstate insurance violation 2014 MD-INS $5,000
Elephant Insurance Co. Admiral Group insurance violation 2014 MD-INS $5,000
USAA Casualty Insurance Co. et al. USAA insurance violation 2014 MD-INS $5,000
SAFECO Insurance Company of America et al. Liberty Mutual Insurance insurance violation 2014 MD-INS $5,000
Elephant Insurance Co. Admiral Group insurance violation 2014 MD-INS $5,000
Allstate Insurance Co. Allstate insurance violation 2015 MD-INS $5,000
Homesite Insurance Company of the Midwest American Family Insurance insurance violation 2015 MD-INS $5,000
Unitrin Direct Property & Casualty Co. et al. Kemper insurance violation 2015 MD-INS $5,000
American Automobile Insurance Co. Allianz insurance violation 2015 MD-INS $5,000
Fireman's Fund Insurance Co. Allianz insurance violation 2015 MD-INS $5,000
Erie Insurance Exchange Erie Indemnity insurance violation 2016 MD-INS $5,000
Chicago Title Insurance Co. Fidelity National Financial insurance violation 2016 MD-INS $5,000
Safety National Casualty Corp. Tokio Marine insurance violation 2017 MD-INS $5,000
Allied Property And Casualty Insurance Co. et al. Nationwide insurance violation 2017 MD-INS $5,000
CareFirst BlueChoice, Inc. CareFirst of Maryland insurance violation 2018 MD-INS $5,000
Bankers Life & Casualty Co. CNO Financial insurance violation 2003 ME-INS $5,000
John Alden Life Insurance Co. Assurant insurance violation 2004 ME-INS $5,000
John Alden Life Insurance Co. Assurant insurance violation 2004 ME-INS $5,000
Hartford Fire Insurance Co. Hartford Financial Services insurance violation 2007 ME-INS $5,000
Hartford Accident and Indemnity Co. Hartford Financial Services insurance violation 2007 ME-INS $5,000
Hartford Casualty Insurance Co. Hartford Financial Services insurance violation 2007 ME-INS $5,000
Hartford Underwriters Insurance Co. Hartford Financial Services insurance violation 2007 ME-INS $5,000
Twin City Fire Insurance Co. Hartford Financial Services insurance violation 2007 ME-INS $5,000
Prosper Marketplace, Inc. Prosper Marketplace investor protection violation 2011 ME-SEC $5,000
Solium Financial Services, LLC Morgan Stanley investor protection violation 2020 ME-SEC $5,000
Fortis Insurance Co. and Fortis Benefits Insurance Co. Assurant insurance violation 2001 MN-FIN $5,000
American Express Financial Advisors, Inc. Ameriprise Financial investor protection violation 2002 MN-FIN $5,000
American Family Mutual Insurance Co. American Family Insurance insurance violation 2002 MN-FIN $5,000
Travelers Indemnity Co. Travelers insurance violation 2002 MN-FIN $5,000
Illinois Union Insurance Co. Chubb Limited insurance violation 2002 MN-FIN $5,000
Chubb Indemnity Insurance Co. Chubb Limited insurance violation 2002 MN-FIN $5,000
Auto-Owners Insurance Co. Auto-Owners Insurance insurance violation 2003 MN-FIN $5,000
Foremost Insurance Co. Zurich Insurance insurance violation 2003 MN-FIN $5,000
Conseco Senior Health Insurance Co. CNO Financial insurance violation 2004 MN-FIN $5,000
Conseco Health Insurance Co. CNO Financial insurance violation 2004 MN-FIN $5,000
Fortis Insurance Co. Assurant insurance violation 2004 MN-FIN $5,000
John Alden Life Insurance Co. Assurant insurance violation 2004 MN-FIN $5,000
Safeco Insurance Company of Illinois Liberty Mutual Insurance insurance violation 2004 MN-FIN $5,000
Metropolitan Property and Casualty Insurance Co. MetLife insurance violation 2005 MN-FIN $5,000
Stewart Title Guaranty Co. Stewart Information Services insurance violation 2006 MN-FIN $5,000
The Prudential Insurance Company of America Prudential Financial insurance violation 2006 MN-FIN $5,000
American Family Mutual Insurance Co. American Family Insurance insurance violation 2011 MN-FIN $5,000
ING Financial Partners, Inc. Voya Financial investor protection violation 2012 MN-FIN $5,000
State Farm Fire and Casualty Co. State Farm Insurance insurance violation 2012 MN-FIN $5,000
Allstate Insurance Co. Allstate insurance violation 2012 MN-FIN $5,000
American Family Mutual Insurance Co. American Family Insurance insurance violation 2013 MN-FIN $5,000
QBE Insurance Co. QBE Insurance insurance violation 2013 MN-FIN $5,000
American Security Insurance Company Assurant insurance violation 2013 MN-FIN $5,000
Progressive Casualty Insurance Co. Progressive insurance violation 2014 MN-FIN $5,000
QBE North America QBE Insurance insurance violation 2014 MN-FIN $5,000
USAA Casualty Insurance Co. USAA insurance violation 2014 MN-FIN $5,000
Philadelphia Indemnity Insurance Co. Tokio Marine insurance violation 2015 MN-FIN $5,000
Transamerica Premier Life Insurance Co. Aegon insurance violation 2015 MN-FIN $5,000
Philadelphia Indemnity Insurance Co. Tokio Marine insurance violation 2015 MN-FIN $5,000
Prudential Insurance Company of America Prudential Financial insurance violation 2016 MN-FIN $5,000
AXA Equitable Life Insurance Co. Equitable Holdings insurance violation 2016 MN-FIN $5,000
State Farm Mutual Automobile Insurance Co. State Farm Insurance insurance violation 2016 MN-FIN $5,000
HCC Life Insurance Co. Tokio Marine insurance violation 2016 MN-FIN $5,000
Allstate Insurance Co. Allstate insurance violation 2016 MN-FIN $5,000
John Hancock Life & Health Insurance Co. Manulife Financial insurance violation 2016 MN-FIN $5,000
American National Property and Casualty Co. American National Insurance insurance violation 2017 MN-FIN $5,000
ReliaStar Insurance Co. Voya Financial insurance violation 2017 MN-FIN $5,000
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
Progressive Casualty Insurance Company Progressive insurance violation 2020 MN-FIN $5,000
Berthel Fisher & Company Financial Services, Inc. Berthel Fisher investor protection violation 2011 MO-SEC $5,000
National General Insurance Co. Allstate insurance violation 2012 MO-INS $5,000
Accident Fund General Insurance Co. AF Group insurance violation 2018 MO-INS $5,000
Accident Fund National Insurance Co. AF Group insurance violation 2018 MO-INS $5,000
Accident Fund Insurance Company of America AF Group insurance violation 2018 MO-INS $5,000
United Wisconsin Insurance Co. AF Group insurance violation 2018 MO-INS $5,000
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
Athene Annuity and Life Co. Athene Holding insurance violation 2019 MO-INS $5,000
Seneca Ins Co. Inc. Fairfax Financial Holdings insurance violation 2004 MS-INS $5,000
Safety National Casualty Corp. Tokio Marine insurance violation 2004 MS-INS $5,000
Seneca Insurance Co. Inc. Fairfax Financial Holdings insurance violation 2004 MS-INS $5,000
Trumbull Insurance Co. Hartford Financial Services insurance violation 2002 MT-INS $5,000
NEXT Financial Group, Inc. Atria Wealth Solutions investor protection violation 2010 MT-SEC $5,000
Genworth Life and Annuity Insurance Co. Genworth Financial insurance violation 2011 MT-INS $5,000
Metlife Investors USA Insurance Co MetLife investor protection violation 2012 MT-SEC $5,000
John Hancock Life Insurance Co. Manulife Financial insurance violation 2013 MT-INS $5,000
Travelers Casualty and Surety Co. et al. Travelers insurance violation 2013 MT-INS $5,000
The Prudential Insurance Company of America Prudential Financial insurance violation 2015 MT-INS $5,000
AXA Equitable Life & Annuity Co. Equitable Holdings insurance violation 2016 MT-INS $5,000
Liberty Mutual Insurance Co. Liberty Mutual Insurance insurance violation 2016 MT-INS $5,000
Conseco Senior Health Insurance Company CNO Financial insurance violation 2001 ND-INS $5,000
American Family Mutual Insurance Company American Family Insurance insurance violation 2009 ND-INS $5,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler investor protection violation 2002 NE-DBF $5,000
Berthel, Fisher & Company Financial Services, Inc. Berthel Fisher investor protection violation 2007 NE-DBF $5,000
Standard Life and Accident Insurance Company American National Insurance insurance violation 2015 NE-DOI $5,000
Progressive Northern Insurance Company Progressive insurance violation 2006 NH-INS $5,000
Allstate New Jersey Insurance Company Allstate insurance violation 2009 NJ-DBI $5,000
Gallagher Benefit Services, Inc. Arthur J. Gallagher & Co. insurance violation 2014 NJ-DBI $5,000
LifeWise, A Premera Health Plan, Inc. Premera Blue Cross insurance violation 2002 OR-FIN $5,000
Globe Life And Accident Insurance Compan Globe Life Inc. insurance violation 2002 OR-FIN $5,000
Great American Insurance Company of New York American Financial Group insurance violation 2005 OR-FIN $5,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)