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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 TypeYearAgency sort iconPenalty Amount
Wachovia Securities, LLC nka Wells Fargo Advisors, LLCWells Fargoinvestor protection violation2010CT-SEC$75,000
Charles Schwab & Co., Inc.Charles Schwab Corp.investor protection violation2011CT-SEC$2,800,000
Prosper Marketplace, Inc.Prosper Marketplaceinvestor protection violation2012CT-SEC$40,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2014CT-SEC$5,000,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2014CT-SEC$53,800
Citigroup Global Markets Inc.Citigroupinvestor protection violation2015CT-SEC$35,000
ProEquities, Inc.Dai-ichi Lifeinvestor protection violation2018CT-SEC$7,590
Voya Financial Advisors, Inc. fka ING Financial Partners, Inc.Voya Financialinvestor protection violation2019CT-SEC$1,015,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020CT-SEC$51,136
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2020CT-SEC$400,000
Janney Montgomery Scott, LLCPenn Mutualinvestor protection violation2020CT-SEC$250,000
Schupp & Grochmal, LLCSchupp & Grochmalinvestor protection violation2020CT-SEC$7,500
LPL Financial LLCLPL Financialinvestor protection violation2021CT-SEC$500,000
Assurant HealthAssurantinsurance violation2008CT-INS$2,100,000
Jackson National Life Insurance Co.Jackson Financialinsurance violation2008CT-INS$483,000
SafecoLiberty Mutual Insuranceinsurance violation2009CT-INS$434,000
Bankers Life & Casualty Co.CNO Financialinsurance violation2009CT-INS$100,000
Zurich Insurance GroupZurich Insuranceinsurance violation2010CT-INS$235,000
Chicago Title Insurance Company,Fidelity National Financialinsurance violation2010CT-INS$62,000
Kemper Independence Insurance Co.Kemperinsurance violation2019CT-INS$134,000
Mid-Century Insurance Co.Zurich Insuranceinsurance violation2019CT-INS$64,000
Massachusetts Mutual Life Insurance Company, Inc.Massachusetts Mutual Life Insuranceinsurance violation2019CT-INS$61,000
Continental Western Insurance Co.W.R. Berkleyinsurance violation2019CT-INS$23,000
National General Insurance Co.Allstateinsurance violation2019CT-INS$167,500
Berkshire Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2019CT-INS$7,500
Ameritas Life Insurance Corp.Ameritas Mutual Holding Companyinsurance violation2019CT-INS$5,000
AIG Property Casualty Co.American International Groupinsurance violation2019CT-INS$120,000
Continental American Insurance Co.Aflacinsurance violation2019CT-INS$10,000
Nationwide Life and Annuity Insurance Co.Nationwideinsurance violation2019CT-INS$16,500
Hartford Casualty Insurance Co.Hartford Financial Servicesinsurance violation2019CT-INS$57,500
Hartford Accident and Indemnity Co.Hartford Financial Servicesinsurance violation2019CT-INS$43,000
Property Casualty Insurance Company of HartfordHartford Financial Servicesinsurance violation2019CT-INS$14,000
Trumbull Insurance Co.Hartford Financial Servicesinsurance violation2019CT-INS$141,500
Sentinel Insurance Co.Hartford Financial Servicesinsurance violation2019CT-INS$84,000
Mutual of Omaha Insurance Co.Mutual of Omahainsurance violation2019CT-INS$60,500
Horace Mann Property & Casualty Insurance Co.Horace Mann Educators Corp.insurance violation2019CT-INS$18,000
American Alternative Insurance Corp.Munich Reinsurance violation2019CT-INS$49,500
Lincoln Life & Annuity Company of New YorkLincoln Nationalinsurance violation2019CT-INS$7,500
The Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2019CT-INS$65,000
Harleysville Insurance Co.Nationwideinsurance violation2020CT-INS$49,000
Allstate Indemnity Co.Allstateinsurance violation2020CT-INS$7,500
American Bankers Insurance Company of FloridaAssurantinsurance violation2020CT-INS$198,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2020CT-INS$28,000
American Family Life Assurance Company of ColumbusAflacinsurance violation2020CT-INS$8,500
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2020CT-INS$106,000
Nationwide Life Insurance Co.Nationwideinsurance violation2020CT-INS$10,000
Old Republic National Title Insurance Co.Old Republic Internationalinsurance violation2020CT-INS$20,000
First American Title insurance Co.First American Financialinsurance violation2020CT-INS$40,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2020CT-INS$47,000
Pacific Indemnity Co.Chubb Limitedinsurance violation2020CT-INS$16,000
The Standard Insurance Co.Meiji Yasuda Life Insuranceinsurance violation2020CT-INS$7,500
Minnesota Life Insurance Co.Securian Financialinsurance violation2020CT-INS$9,000
Prudential Retirement Insurance and Annuity CompanyPrudential Financialinsurance violation2021CT-INS$300,000
State Farm Fire & Casualty CompanyState Farm Insuranceinsurance violation2020CT-INS$60,000
Transamerica Life Insurance CompanyAegoninsurance violation2020CT-INS$10,000
American General Life Insurance CompanyAmerican International Groupinsurance violation2020CT-INS$10,000
Minnesota Life Insurance CompanySecurian Financialinsurance violation2020CT-INS$7,000
Standard Insurance CompanyMeiji Yasuda Life Insuranceinsurance violation2020CT-INS$10,000
Principal Life Insurance CompanyPrincipal Financialinsurance violation2020CT-INS$10,000
Harleysville Worcester Insurance CompanyNationwideinsurance violation2020CT-INS$6,500
Progressive Direct Insurance CompanyProgressiveinsurance violation2020CT-INS$56,500
Crestbrook Insurance CompanyNationwideinsurance violation2020CT-INS$15,500
American Guarantee and Liability Insurance CompanyZurich Insuranceinsurance violation2020CT-INS$10,000
Provident Life and Accident Insurance Co.Unuminsurance violation2021CT-INS$7,500
UNUM Life Insurance Company of AmericaUnuminsurance violation2021CT-INS$12,500
United Services Automobile AssociationUSAAinsurance violation2021CT-INS$32,500
USAA Casualty Insurance Co.USAAinsurance violation2021CT-INS$36,500
USAA Indemnity Co.USAAinsurance violation2021CT-INS$32,500
Homesite Insurance CompanyAmerican Family Insuranceinsurance violation2021CT-INS$193,000
Great American Life Insurance CompanyMassachusetts Mutual Life Insuranceinsurance violation2021CT-INS$6,000
Bankers Life & Casualty CompanyCNO Financialinsurance violation2023CT-INS$10,000
Ace American Insurance CompanyChubb Limitedinsurance violation2023CT-INS$72,500
Esurance Insurance CompanyAllstateinsurance violation2022CT-INS$37,000
Allstate Fire and Casualty Insurance CompanyAllstateinsurance violation2022CT-INS$86,500
Allstate Insurance CompanyAllstateinsurance violation2022CT-INS$29,500
Reliance Standard Life Insurance CompanyTokio Marineinsurance violation2022CT-INS$9,000
Arch Insurance CompanyArch Capitalinsurance violation2022CT-INS$6,500
Foremost Insurance Company Grand Rapids, MichiganZurich Insuranceinsurance violation2022CT-INS$20,000
John Hancock Life Insurance Company (U.S.A.)Manulife Financialinsurance violation2022CT-INS$68,000
Metropolitan Group Property & Casualty Insurance CompanyZurich Insuranceinsurance violation2022CT-INS$34,000
Ameritas Life Insurance CompanyAmeritas Mutual Holding Companyinsurance violation2022CT-INS$31,500
Zurich American Insurance CompanyZurich Insuranceinsurance violation2022CT-INS$12,000
Wheelabrator Lisbon, Inc.Macquarieenvironmental violation2013CT-ENV$9,350
UBS AGUBSenvironmental violation2011CT-ENV$80,000
Pro Line Printing, Inc.Chatham Asset Managementenvironmental violation2004CT-ENV$11,125
Wheelabrator Putnam IncorporatedMacquarieenvironmental violation2003CT-ENV$33,500
R.R. Donnelley & Sons CompanyChatham Asset Managementenvironmental violation2002CT-ENV$25,500
Freedom Mortgage Corp.Freedom Mortgageconsumer protection violation2009CT-BKG$43,000
PHH Mortgage Corp. dba Century MortgageOcwen Financialconsumer protection violation2009CT-BKG$6,000
Citigroup Global Markets Inc.Citigroupconsumer protection violation2009CT-BKG$75,000
Prospect Mortgage Company, LLCHomebridge Financial Servicesconsumer protection violation2010CT-BKG$33,000
PHH Mortgage Corp. dba Century MortgageOcwen Financialconsumer protection violation2013CT-BKG$29,000
CashCall, Inc. and Western Sky Financial L.L.C.CashCall Inc.payday lending violation2014CT-BKG$400,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2018CT-BKG$100,000
Heartland Payment Systems, LLC dba HPS Heartland Payroll Solutions, Inc.Global Payments Inc.consumer protection violation2019CT-BKG$12,450
Janney Montgomery Scott, LLCPenn Mutualinvestor protection violation2020CT-BKG$150,000
Schupp & Grochmal, LLCSchupp & Grochmalinvestor protection violation2020CT-BKG$10,510
E-Trade Financial Corporate Services, Inc.Morgan Stanleyconsumer protection violation2021CT-BKG$10,000
Navient Solutions, LLCNavientconsumer protection violation2021CT-BKG$25,400
MUFG BANK, LTD.U.S. Bancorpbanking violation2024CT-BKG$10,000
American Express Centurion BankAmerican Expresstax violations2012CT-AG$14,970
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.