Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$344,899,848,624
Number of Records: 
6,989
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$82,898,016,192264
JPMorgan Chase$36,107,446,133199
Citigroup$25,540,645,217156
Wells Fargo$21,881,892,841222
Deutsche Bank$18,341,457,30276
UBS$16,854,318,334101
Goldman Sachs$16,399,485,79387
NatWest Group PLC$13,515,546,85731
BNP Paribas$12,148,363,95019
Credit Suisse$10,732,400,12649


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
RBC Capital Markets LLC Royal Bank of Canada investor protection violation 2020 SEC $3,889,007
Merrill Lynch, Pierce and Fenner & Smith, Incorporated Bank of America investor protection violation 2020 SEC $325,376
Cantor Fitzgerald & Co. Cantor Fitzgerald investor protection violation 2020 SEC $3,200,000
HSBC Securities (USA) Inc. HSBC investor protection violation 2020 SEC $725,000
Santander Consumer USA Inc. Banco Santander consumer protection violation 2020 MULTI-AG $550,000,000
American General Life Insurance Company American International Group insurance violation 2020 MA-AG $363,000
Securian Financial Services, Inc. Securian Financial investor protection violation 2020 AK-DBS $10,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 AK-DBS $10,527
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 AL-SEC $18,874
American Family Connect Property and Casualty Insurance Company American Family Insurance insurance violation 2020 AZ-DIFI $50,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 CA-DFPI $52,047
Societe Generale Financial Corporation Societe Generale banking violation 2020 CA-DFPI $10,250
Harleysville Insurance Co. Nationwide insurance violation 2020 CT-INS $49,000
Allstate Indemnity Co. Allstate insurance violation 2020 CT-INS $7,500
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 CT-SEC $51,136
American Bankers Insurance Company of Florida Assurant insurance violation 2020 CT-INS $198,000
Hartford Underwriters Insurance Co. et al. Hartford Financial Services insurance violation 2020 DE-INS $34,000
The Travelers Indemnity Company of America et al. Travelers insurance violation 2020 DE-INS $6,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 GA-SEC $22,104
Solium Financial Services, LLC Morgan Stanley investor protection violation 2020 IA-INS $10,147
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 IN-SEC $15,575
J.P. Morgan Securities LLC JPMorgan Chase investor protection violation 2020 KY-FIN $325,000
Farmers Insurance Exchange Farmers Insurance Exchange insurance violation 2020 MD-INS $90,000
First American Title Insurance Co. First American Financial insurance violation 2020 MD-INS $52,000
National Union Fire Insurance Company of Pittsburgh, Pennsylvania et al. American International Group insurance violation 2020 MD-INS $20,000
Solium Financial Services, LLC Morgan Stanley investor protection violation 2020 ME-SEC $5,000
Raymond James & Associates, Inc. Raymond James Financial investor protection violation 2020 MI-SEC $50,000
Liberty Insurance Corporation Liberty Mutual Insurance insurance violation 2020 MN-FIN $15,000
Horace Mann Insurance Co. Horace Mann Educators Corp. insurance violation 2020 MN-FIN $5,000
Progressive Casualty Insurance Company Progressive insurance violation 2020 MN-FIN $5,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 MO-SEC $9,130
Great Plains Specialty Finance, Inc. dba Check 'n Go CNG Financial consumer protection violation 2020 NE-DBF $9,700
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 NH-BSR $90,000
Asurion Insurance Services, Inc. and Asurion Protection Services LLC Asurion insurance violation 2020 NY-DFS $4,000,000
Lincoln Life & Annuity Company of New York Lincoln National insurance violation 2020 NY-DFS $193,166
MassMutual Life Insurance Company Massachusetts Mutual Life Insurance insurance violation 2020 NY-DFS $1,399,708
Pacific Life & Annuity Company Pacific Life insurance violation 2020 NY-DFS $425,533
Industrial Bank of Korea Industrial Bank of Korea anti-money-laundering deficiencies 2020 NY-DFS $35,000,000
Bank Hapoalim B.M. Bank Hapoalim tax violations 2020 NY-DFS $220,000,000
Great Plains Specialty Finance Inc. dba Check 'N Go CNG Financial consumer protection violation 2020 OK-DCC $27,500
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 OK-SEC $9,968
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 OR-FIN $10,599
The Prudential Insurance Company of America Prudential Financial insurance violation 2020 OR-FIN $25,000
USAA Casualty Insurance Company USAA insurance violation 2020 RI-FIN $12,000
American General Life Insurance Company American International Group insurance violation 2020 RI-FIN $25,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 TN-SEC $12,994
Next Financial Group, Inc. Atria Wealth Solutions investor protection violation 2020 TX-SEC $600,000
Marsh & McLennan Agency LLC Marsh & McLennan insurance violation 2020 TX-INS $6,350
Arthur J. Gallagher Risk Management Services, Inc. Arthur J. Gallagher & Co. insurance violation 2020 TX-INS $7,025
LendingClub Corporation LendingClub Corp. investor protection violation 2020 TX-SEC $400,000
Elephant Insurance Company Admiral Group insurance violation 2020 TX-INS $80,000
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
National General Insurance Company Allstate insurance violation 2020 AZ-DIFI $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
Fidelity National Title Insurance Co. Fidelity National Financial insurance violation 2020 MD-INS $64,600
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
Fidelity National Title Insurance Co. Fidelity National Financial insurance violation 2020 MO-INS $45,900
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
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)