Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$333,568,388,571
Number of Records: 
6,826
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$82,896,776,051261
JPMorgan Chase$35,851,437,155191
Citigroup$25,535,002,360154
Wells Fargo$21,678,596,719218
Deutsche Bank$18,341,457,30276
UBS$16,853,736,33498
Goldman Sachs$16,381,931,83964
NatWest Group PLC$13,477,129,00031
BNP Paribas$12,147,863,95019
Credit Suisse$10,448,892,62645


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
Transamerica Life Insurance Company Aegon insurance violation 2019 SD-INS $30,000
Edward D. Jones & Co. L.P. Jones Financial investor protection violation 2019 SD-INS $10,000
The Hanover Insurance Company Hanover Insurance insurance violation 2019 TX-INS $20,000
Liberty Mutual Fire Insurance Company Liberty Mutual Insurance insurance violation 2019 TX-INS $32,000
New Hampshire Insurance Company American International Group insurance violation 2019 TX-INS $7,500
Accident Fund National Insurance Company AF Group insurance violation 2019 TX-INS $5,000
American Zurich Insurance Company Zurich Insurance insurance violation 2019 TX-INS $45,000
Sentry Insurance Sentry Insurance insurance violation 2019 TX-INS $9,000
XL Insurance America, Inc. AXA insurance violation 2019 TX-INS $5,000
Indemnity Insurance Company of North America Chubb Limited insurance violation 2019 TX-INS $8,000
Hartford Casualty Insurance Company Hartford Financial Services insurance violation 2019 TX-INS $6,000
Indemnity Insurance Company of North America Chubb Limited insurance violation 2019 TX-INS $9,900
Safety National Casualty Corporation Tokio Marine insurance violation 2019 TX-INS $5,000
Chubb Indemnity Insurance Company Chubb Limited insurance violation 2019 TX-INS $9,500
New Hampshire Insurance Company American International Group insurance violation 2019 TX-INS $30,000
Hartford Insurance Company of the Midwest Hartford Financial Services insurance violation 2019 TX-INS $10,000
American Zurich Insurance Company Zurich Insurance insurance violation 2019 TX-INS $17,000
Ace American Insurance Company Chubb Limited insurance violation 2019 TX-INS $18,000
Ace American Insurance Company Chubb Limited insurance violation 2019 TX-INS $5,000
Standard Fire Insurance Company Travelers insurance violation 2019 TX-INS $20,000
The Phoenix Insurance Company Travelers insurance violation 2019 TX-INS $6,000
Hartford Fire Insurance Company Hartford Financial Services insurance violation 2019 TX-INS $8,000
Everest National Insurance Company Everest Re Group insurance violation 2019 TX-INS $13,500
Travelers Indemnity Company Travelers insurance violation 2019 TX-INS $5,000
Selective Insurance Company of America Selective Insurance Group insurance violation 2019 TX-INS $6,500
The Insurance Company of the State of Pennsylvania American International Group insurance violation 2019 TX-INS $9,000
Liberty Mutual Insurance Company Liberty Mutual Insurance insurance violation 2019 TX-INS $10,000
Hartford Insurance Company of the Midwest Hartford Financial Services insurance violation 2019 TX-INS $10,000
Old Republic Insurance Company Old Republic International insurance violation 2019 TX-INS $5,850
Zurich American Insurance Company Zurich Insurance insurance violation 2019 TX-INS $15,000
Liberty Insurance Corporation Liberty Mutual Insurance insurance violation 2019 TX-INS $6,500
Arch Indemnity Insurance Company Arch Capital insurance violation 2019 TX-INS $10,250
Hartford Fire Insurance Company Hartford Financial Services insurance violation 2019 TX-INS $12,500
Travelers Casualty and Surety Company Travelers insurance violation 2019 TX-INS $14,000
LM General Insurance Company Liberty Mutual Insurance insurance violation 2019 UT-INS $70,000
UBS Financial Services Inc. UBS investor protection violation 2019 VA-SEC $288,970
Globe Life and Accident Insurance Company Globe Life Inc. insurance violation 2019 VA-INS $15,000
Praetorian Insurance Company QBE Insurance insurance violation 2019 VA-INS $183,819
Elephant Insurance Company Admiral Group insurance violation 2019 VA-INS $47,619
General Automobile Insurance Company, Inc American Family Insurance insurance violation 2019 VA-INS $27,624
National Union Fire Insurance Company of Pittsburgh, Pennsylvania American International Group insurance violation 2019 VA-INS $28,806
Liberty Mutual Fire Insurance Company Liberty Mutual Insurance insurance violation 2019 VA-INS $27,828
Erie Insurance Exchange Erie Indemnity insurance violation 2019 VA-INS $1,921,784
Selective Insurance Company of America Selective Insurance Group insurance violation 2019 VA-INS $10,137
United States Fire Insurance Company Fairfax Financial Holdings insurance violation 2019 VA-INS $5,000
Acadia Insurance Company et al. W.R. Berkley insurance violation 2019 VA-INS $9,341
Nationwide Mutual Fire Insurance Company Nationwide insurance violation 2019 VA-INS $397,667
Progressive Advanced Insurance Company et al. Progressive insurance violation 2019 VA-INS $4,876,344
American Fire and Casualty Company and Ohio Security Insurance Company Liberty Mutual Insurance insurance violation 2019 VA-INS $148,910
Arch Insurance Company Arch Capital insurance violation 2019 VA-INS $26,447
Solium Financial Services LLC Morgan Stanley investor protection violation 2019 VA-SEC $10,000
Erie Insurance Company and Erie Insurance Exchange Erie Indemnity insurance violation 2019 VA-INS $90,219
State Farm Fire & Casualty Company and State Farm Mutual Auto Insurance Co. State Farm Insurance insurance violation 2019 VT-FIN $265,000
CMFG Life Insurance Company CUNA Mutual insurance violation 2019 VT-FIN $231,000
Permanent General Assurance Corporation American Family Insurance insurance violation 2019 VT-FIN $11,000
Companion Life Insurance Company BlueCross BlueShield of South Carolina insurance violation 2019 VT-FIN $1,656,000
John Hancock Life Insurance Company (U.S.A.) Manulife Financial insurance violation 2019 VT-FIN $800,000
Illinois Union Ins Co Chubb Limited insurance violation 2019 WA-INS $102,000
Homesite Insurance Company Of The Midwest American Family Insurance insurance violation 2019 WA-INS $15,000
Lincoln National Life Insurance Company Lincoln National insurance violation 2019 WA-INS $100,000
American Family Connect Property And Casualty Insurance Company American Family Insurance insurance violation 2019 WA-INS $7,500
Premera Blue Cross Premera Blue Cross insurance violation 2019 WA-INS $50,000
Principal Life Insurance Company Principal Financial insurance violation 2019 WA-INS $16,150
Bankers Life & Casualty Company CNO Financial insurance violation 2019 WA-INS $30,000
Ameritas Life Insurance Corp Ameritas Mutual Holding Company insurance violation 2019 WA-INS $50,000
Lifewise Health Plan Of Washington Premera Blue Cross insurance violation 2019 WA-INS $25,000
Premera Blue Cross Premera Blue Cross insurance violation 2019 WA-INS $50,000
Mutual Of Omaha Insurance Company Mutual of Omaha insurance violation 2019 WA-INS $12,000
Premera Blue Cross Premera Blue Cross insurance violation 2019 WA-INS $5,000
National Casualty Company Nationwide insurance violation 2019 WA-INS $20,000
State Farm Fire & Casualty Company State Farm Insurance insurance violation 2019 WA-INS $20,000
LM Insurance Corporation Liberty Mutual Insurance insurance violation 2019 WA-INS $25,000
Liberty Mutual Fire Insurance Company Liberty Mutual Insurance insurance violation 2019 WA-INS $30,000
Transamerica Life Insurance Company Aegon insurance violation 2019 WA-INS $15,000
Ticor Title Company Fidelity National Financial insurance violation 2019 WA-INS $5,000
Producers Agriculture Insurance Company Tokio Marine insurance violation 2019 WA-INS $50,000
Stewart Title Guaranty Company Stewart Information Services insurance violation 2019 WA-INS $10,050
Bankers Standard Insurance Company et al. Chubb Limited insurance violation 2019 WA-INS $25,000
Globe Life and Accident Insurance Company of Omaha, Nebraska Globe Life Inc. insurance violation 2019 MULTI-FIN $3,300,000
Protective Life Insurance Company et al. Dai-ichi Life insurance violation 2019 MULTI-FIN $350,000
Seterus Inc. Mr. Cooper Group mortgage abuses 2019 MULTI-FIN $350,000
Wells Fargo & Co. Wells Fargo discriminatory practices (non-employment) 2019 private lawsuit-federal $10,000,000
U.S. Bank U.S. Bancorp privacy violation 2019 private lawsuit-federal $2,670,336
JPMorgan Chase JPMorgan Chase benefit plan administrator violation 2019 private lawsuit-federal $75,000,000
Oppenheimer & Co. Inc. Oppenheimer Holdings investor protection violation 2019 FINRA $4,600,000
Citigroup Global Markets Inc. Citigroup investor protection violation 2019 FINRA $280,000
J.P. Morgan Securities LLC JPMorgan Chase investor protection violation 2019 FINRA $280,000
LPL Financial LLC LPL Financial investor protection violation 2019 FINRA $280,000
Morgan Stanley Smith Barney LLC Morgan Stanley investor protection violation 2019 FINRA $280,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America investor protection violation 2019 FINRA $280,000
Credit Suisse Securities (USA) LLC Credit Suisse investor protection violation 2019 FINRA $6,500,000
Robinhood Financial, LLC Robinhood Markets investor protection violation 2019 FINRA $1,250,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America investor protection violation 2019 FINRA $4,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial investor protection violation 2019 FINRA $8,000,000
BNP Paribas Securities Corp. and BNP Paribas Prime Brokerage, Inc. BNP Paribas anti-money-laundering deficiencies 2019 FINRA $15,000,000
UBS Financial Services Inc. UBS investor protection violation 2019 FINRA $2,000,000
J.P. Morgan Securities LLC JPMorgan Chase investor protection violation 2019 FINRA $1,100,000
Citigroup Global Markets Inc. Citigroup investor protection violation 2019 FINRA $1,250,000
AXA Advisors, LLC Equitable Holdings investor protection violation 2019 FINRA $772,000
Cantor Fitzgerald & Co. Cantor Fitzgerald investor protection violation 2019 FINRA $2,000,000
JP Morgan Chase Bank, NA JPMorgan Chase employment discrimination 2019 CA-DFEH $60,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)