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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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 Current Parent CompaniesTotal Penalty $Number of Records
Bank of America$87,286,650,890328
JPMorgan Chase$39,340,688,209275
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,780,502,443203
BNP Paribas$10,363,464,66623

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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CompanyCurrent ParentPrimary Offense TypeYear sort iconAgencyPenalty Amount
Banc of America Securities LLCBank of Americainvestor protection violation2008MULTI-AG$4,550,000,000
Bankers Life and CasualtyCNO Financialprivacy violation2008MO-AG$25,000
CitibankCitigroupconsumer protection violation2008CA-AG$3,500,000
CitigroupCitigrouptoxic securities abuses2008MA-AG$20,000,000
Citigroup Global Markets, Inc. and Citi Smith BarneyCitigroupinvestor protection violation2008MULTI-AG$7,100,000,000
Comerica BankComericatoxic securities abuses2008MI-AG$110,000
Countrywide Home LoansBank of Americamortgage abuses2008MULTI-AG$8,680,000,000
Deutsche Bank Securities, Inc. and Deutsche Bank AGDeutsche Bankinvestor protection violation2008MULTI-AG$3,348,333,333
Edward Jones & Co.Jones Financialinvestor protection violation2008CA-AG$7,500,000
EZCORP, Inc.EZCORP Inc.privacy violation2008TX-AG$600,000
Fannie MaeFannie Maeconsumer protection violation2008NY-AG$12,000,000
Freddie MacFreddie Mac (Federal Home Loan Mortgage Corporation)consumer protection violation2008NY-AG$12,000,000
GMAC BankAlly Financialconsumer protection violation2008NY-AG$200,000
Goldman Sachs Group, Inc.Goldman Sachsinvestor protection violation2008MULTI-AG$3,355,833,333
H&R BlockH&R Blockconsumer protection violation2008NY-AG$245,000
Jackson National Life Insurance CoJackson Financialinvestor protection violation2008CT-AG$484,000
JP Morgan Chase & Co.JPMorgan Chaseinvestor protection violation2008MULTI-AG$3,525,000,000
Mastercard International Inc.MasterCardprice-fixing or anti-competitive practices2008WV-AG$6,400,000
Merrill LynchBank of Americatoxic securities abuses2008MA-AG$13,700,000
Merrill Lynch & Co.Bank of Americainvestor protection violation2008MULTI-AG$3,458,333,333
Morgan StanleyMorgan Stanleyinvestor protection violation2008MULTI-AG$3,535,000,000
Morgan Stanley & Co.Morgan Stanleytoxic securities abuses2008MA-AG$1,500,000
Mutual of Omaha Insurance Co.Mutual of Omahakickbacks and bribery2008CT-AG$1,700,000
National City Commercial Capital Company LLCPNC Financial Servicesconsumer protection violation2008MULTI-AG$7,200,000
Nationwide InsuranceNationwideconsumer protection violation2008MS-AG$40,000,000
Nelnet, Inc.Nelnetconsumer protection violation2008NY-AG$200,000
RBC Capital Markets CorporationRoyal Bank of Canadainvestor protection violation2008MULTI-AG$859,800,000
State FarmState Farm Insuranceconsumer protection violation2008MS-AG$74,000,000
UBS Financial Services, Inc. and UBS Securities LLCUBStoxic securities abuses2008MA-AG$35,000,000
UBS Securities LLC and UBS Financial Services, Inc.UBSinvestor protection violation2008MULTI-AG$11,150,000,000
Universal Underwriters Life Insurance Co.Zurich Insuranceconsumer protection violation2008TX-AG$2,400,000
Visa USA Inc.Visaprice-fixing or anti-competitive practices2008WV-AG$6,400,000
Wachovia SecuritiesWells Fargoinvestor protection violation2008MULTI-AG$60,000,000
CompuCredit CorporationAtlanticus Holdingsbanking violation2008FDIC$806,000
CompuCredit CorporationAtlanticus Holdingsbanking violation2008FDIC$558,000
Unum GroupUnumkickbacks and bribery2008USAO$5,550,000
Metropolitan Life InsuranceMetLifekickbacks and bribery2008CA-MULTI$500,000
Prudential Insurance Co.Prudential Financialkickbacks and bribery2008CA-MULTI$350,000
Unum Insurance Co.Unumkickbacks and bribery2008CA-MULTI$250,000
Countrywide Financial Corp.Bank of Americamortgage abuses2008HI-DCCA$84,548,000
Wells Fargo BankWells FargoFalse Claims Act and related2008USAO$4,046,786
Principal Life Insurance Co.Principal Financialinsurance violation2008AK-INS$25,000
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2008AZ-DIFI$12,500
Western Union Financial Services, Inc.Western Unionconsumer protection violation2008AZ-DIFI$2,000,000
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2008CA-INS$10,050,000
Philadelphia Indemnity Insurance Co.Tokio Marineinsurance violation2008CA-INS$60,000
American Bankers Life Assurance Company of Florida et al.Assurantinsurance violation2008CA-INS$750,000
Assurant HealthAssurantinsurance violation2008CT-INS$2,100,000
Jackson National Life Insurance Co.Jackson Financialinsurance violation2008CT-INS$483,000
Chicago Insurance Co.Allianzinsurance violation2008FL-OFR$130,000
The Guardian Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2008FL-OFR$10,500
Zurich American Insurance Co.Zurich Insuranceinsurance violation2008FL-OFR$8,000
State Farm Life Insurance Co.State Farm Insuranceinsurance violation2008FL-OFR$10,500
Property and Casualty Insurance Company of HartfordHartford Financial Servicesinsurance violation2008FL-OFR$13,000
QBE Insurance Corp.QBE Insuranceinsurance violation2008FL-OFR$157,000
Amex Assurance Co.American Expressinsurance violation2008FL-OFR$8,000
Nationwide Financial ServicesNationwideconsumer protection violation2008FL-OFR$7,000
American General Life Insurance Co.American International Groupinsurance violation2008FL-OFR$260,000
Old Republic National Title Insurance Co.Old Republic Internationalinsurance violation2008ID-INS$10,000
Bristol West Insurance Co.Zurich Insuranceinsurance violation2008ID-INS$5,330
Globe Life and Accident Insurance Co.Globe Life Inc.insurance violation2008ID-INS$26,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2008IL-SEC$1,449,384
ING Financial Partners, Inc.Voya Financialinvestor protection violation2008IL-SEC$4,677,326
Wausau Business Insurance Co.Liberty Mutual Insuranceinsurance violation2008KS-INS$15,622
Continental Western Insurance Co.W.R. Berkleyinsurance violation2008KS-INS$10,000
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2008KY-FIN$105,000
Home Loan Center, Inc. dba Lending Tree LoansLendingTreeconsumer protection violation2008KY-FIN$16,000
Banc of America Investment Services, Inc.Bank of Americainvestor protection violation2008MD-SEC$10,000
Morgan Stanley & Co. Inc.Morgan Stanleyinvestor protection violation2008MD-SEC$35,000
Wachovia Securities, LLCWells Fargoinvestor protection violation2008MD-SEC$50,000
Time Insurance Co.Haven Holdingsinsurance violation2008MN-FIN$7,500
Bankers Life and Casualty Co.CNO Financialinsurance violation2008MN-FIN$7,500
Illinois Farmers Insurance Co.Zurich Insuranceinsurance violation2008MN-FIN$70,000
Allied Property and Casualty Insurance Co.Nationwideinsurance violation2008MN-FIN$7,000
Federal Insurance Co.Chubb Limitedinsurance violation2008MO-INS$5,900
Allstate Insurance Co. et al.Allstateinsurance violation2008MO-INS$9,483
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2008MS-SEC$150,000
Safety National Casualty Corp.Tokio Marineinsurance violation2008MS-INS$10,000
Countrywide Home Loans Inc.Bank of Americaconsumer protection violation2008NC-BKG$1,611,500
American General Financial Services, Inc.OneMain Holdingsconsumer protection violation2008NE-DBF$30,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2008NE-DBF$11,000
Cadaret, Grant & Co., Inc.Atria Wealth Solutionsinvestor protection violation2008NE-DBF$10,000
Household Finance CorpoationHSBCconsumer protection violation2008NE-DBF$55,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2008NH-BSR$3,400,000
John Alden Life Insurance CompanyAssurantinsurance violation2008NH-INS$450,000
Time Insurance CompanyHaven Holdingsinsurance violation2008NH-INS$450,000
Chicago Title Insurance CompanyFidelity National Financialinsurance violation2008NJ-DBI$20,000
Monumental Life Insurance CompanyAegoninsurance violation2008NJ-DBI$250,000
HealthNow New York Inc.Highmark Inc.insurance violation2008NY-DFS$1,050,000
Waddell & Reed Inc.Macquarieinvestor protection violation2008OK-SEC$10,000
Virginia Surety Company, Inc.Assurantinsurance violation2008OR-FIN$25,000
QBE Insurance CorporationQBE Insuranceinsurance violation2008OR-FIN$17,700
Bankers Life and Casualty CompanyCNO Financialinsurance violation2008OR-FIN$150,000
First American Title Insurance Company of OregonFirst American Financialinsurance violation2008OR-FIN$6,000
American Family Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2008OR-FIN$6,500
American International Insurance Group Inc.American International Groupinsurance violation2008PA-INS$9,125,400
Liberty Insurance Underwriters Inc.Liberty Mutual Insuranceinsurance violation2008PA-INS$5,000
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2008PA-INS$40,000
Aon Risk Services Central Inc.Aoninsurance violation2008PA-INS$5,000
Marsh USA Inc.Marsh & McLennaninsurance violation2008PA-INS$50,000
AIG National Insurance CompanyAmerican International Groupinsurance violation2008RI-FIN$10,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.