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 Year Agencysort icon Penalty Amount
MLD Mortgage, Inc. d/b/a The Money Store and Mortgage Loan Direct MLD Mortgage Inc. dba The Money Store consumer protection violation 2016 WA-FIN $407,103
Cash Call Inc. and Western Sky Financial LLC CashCall Inc. consumer protection violation 2015 WA-FIN $2,000,000
New Day Financial, LLC d/b/a NewDay USA New Day Financial LLC consumer protection violation 2015 WA-FIN $120,000
CashCall, Inc. CashCall Inc. consumer protection violation 2014 WA-FIN $6,390,670
Fifth Third Mortgage Co. Fifth Third Bancorp consumer protection violation 2014 WA-FIN $228,626
Countrywide Home Loans Inc. Bank of America consumer protection violation 2010 WA-FIN $650,000
American General Financial Services OneMain Holdings consumer protection violation 2009 WA-FIN $74,984
Freedom Mortgage Corp. Freedom Mortgage consumer protection violation 2009 WA-FIN $52,791
Allstate Financial Services, Inc. Allstate consumer protection violation 2003 WA-FIN $58,988
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 WA-FIN $33,753
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2016 WA-FIN $55,000
OppenheimerFunds Distributor, Inc. Invesco investor protection violation 2007 WA-FIN $669,500
Morgan Stanley DW Inc. Morgan Stanley investor protection violation 2004 WA-FIN $325,000
Austin Mutual Insurance Company American Family Insurance insurance violation 2010 WA-INS $10,000
National Union Fire Insurance Company Of Pittsburgh, Pa American International Group insurance violation 2010 WA-INS $100,000
National Union Fire Insurance Company Of Pittsburgh, Pa American International Group insurance violation 2010 WA-INS $40,000
National Union Fire Insurance Company Of Pittsburgh, Pa American International Group insurance violation 2010 WA-INS $55,000
National General Insurance Company Allstate insurance violation 2010 WA-INS $15,000
State Farm Mutual Automobile Insurance Company State Farm Insurance insurance violation 2010 WA-INS $6,500
State Farm Mutual Automobile Insurance Company State Farm Insurance insurance violation 2010 WA-INS $12,000
Chicago Insurance Company Allianz insurance violation 2010 WA-INS $7,500
Unum Life Insurance Company Of America Unum insurance violation 2010 WA-INS $7,000
Liberty Mutual Fire Insurance Company Liberty Mutual Insurance insurance violation 2010 WA-INS $35,000
Virginia Surety Company Inc Assurant insurance violation 2010 WA-INS $12,000
Austin Mutual Insurance Company American Family Insurance insurance violation 2011 WA-INS $10,000
Chubb Group Of Companies Chubb Limited insurance violation 2011 WA-INS $534,000
Homesite Insurance Company Of The Midwest American Family Insurance insurance violation 2011 WA-INS $12,000
Ace American Insurance Company Chubb Limited insurance violation 2011 WA-INS $50,000
Progressive American Insurance Company Progressive insurance violation 2011 WA-INS $30,000
Athene Annuity & Life Assurance Company Of New York Athene Holding insurance violation 2011 WA-INS $5,000
American Family Mutual Insurance Company S.I. American Family Insurance insurance violation 2011 WA-INS $20,000
Old Republic Title Ltd Old Republic International insurance violation 2011 WA-INS $5,000
Metropolitan Life Insurance Company MetLife insurance violation 2011 WA-INS $10,000
Unum Life Insurance Company Of America Unum insurance violation 2011 WA-INS $75,000
Reassure America Life Insurance Company Prudential PLC insurance violation 2011 WA-INS $20,000
American Bankers Insurance Company Of Florida Assurant insurance violation 2011 WA-INS $170,000
Victoria Fire & Casualty Company Nationwide insurance violation 2011 WA-INS $5,000
HSBC Securities USA Inc HSBC insurance violation 2011 WA-INS $7,000
Allstate Insurance Company Allstate insurance violation 2011 WA-INS $50,000
Chicago Title Insurance Company Fidelity National Financial insurance violation 2011 WA-INS $10,000
Lifewise Health Plan Of Washington Premera Blue Cross insurance violation 2011 WA-INS $10,000
Arch Insurance Company Arch Capital insurance violation 2011 WA-INS $20,000
Lifewise Health Plan Of Washington Premera Blue Cross insurance violation 2011 WA-INS $20,000
American National General Insurance Company American National Insurance insurance violation 2012 WA-INS $10,000
State Farm Mutual Automobile Insurance Company State Farm Insurance insurance violation 2012 WA-INS $5,000
Sentinel Insurance Company Ltd Hartford Financial Services insurance violation 2012 WA-INS $30,000
Premera Blue Cross Premera Blue Cross insurance violation 2012 WA-INS $10,000
Premera Blue Cross Premera Blue Cross insurance violation 2012 WA-INS $10,000
Farmers Insurance Company Of Washington And Farmers Insurance Exchange Zurich Insurance insurance violation 2012 WA-INS $10,000
Homesite Insurance Company Of The Midwest American Family Insurance insurance violation 2012 WA-INS $30,000
Old Republic Title Ltd Old Republic International insurance violation 2012 WA-INS $8,000
Fidelity & Guaranty Life Insurance Company Fidelity National Financial insurance violation 2012 WA-INS $7,500
Hartford Insurance Company The Midwest Hartford Financial Services insurance violation 2012 WA-INS $30,000
State Farm Fire & Casualty Company State Farm Insurance insurance violation 2012 WA-INS $50,000
Unitrin Auto And Home Insurance Company Kemper insurance violation 2012 WA-INS $15,000
American Income Life Insurance Company Globe Life Inc. insurance violation 2013 WA-INS $75,000
American Family Mutual Insurance Company S.I. American Family Insurance insurance violation 2013 WA-INS $10,000
United States Fire Insurance Company Fairfax Financial Holdings insurance violation 2013 WA-INS $15,000
American Alternative Insurance Corporation et al. Munich Re insurance violation 2013 WA-INS $10,000
Allianz Life Insurance Company Of North America Allianz insurance violation 2013 WA-INS $150,000
Hartford Fire Insurance Company And Twin City Fire Insurance Company Hartford Financial Services insurance violation 2013 WA-INS $10,000
Hartford Accident & Indemnity Company et al. Hartford Financial Services insurance violation 2013 WA-INS $100,000
Allstate Fire & Casualty Insurance Company Allstate insurance violation 2013 WA-INS $15,000
American Guarantee & Liability Insurance Company et al. Zurich Insurance insurance violation 2013 WA-INS $50,000
Transamerica Premier Life Insurance Company Aegon insurance violation 2013 WA-INS $150,000
Transamerica Casualty Insurance Company Aegon insurance violation 2014 WA-INS $20,000
Unitrin Auto And Home Insurance Company Kemper insurance violation 2014 WA-INS $20,000
Combined Insurance Company Of America Chubb Limited insurance violation 2014 WA-INS $5,000
Life Insurance Company Of The Southwest National Life Group insurance violation 2014 WA-INS $17,500
Fidelity & Guaranty Life Insurance Company Fidelity National Financial insurance violation 2014 WA-INS $10,000
Lifewise Health Plan Of Washington Premera Blue Cross insurance violation 2014 WA-INS $50,000
Time Insurance Company Ii Haven Holdings insurance violation 2015 WA-INS $10,000
State Farm Fire & Casualty Company State Farm Insurance insurance violation 2015 WA-INS $30,000
Farmers Insurance Company Of Washington Zurich Insurance insurance violation 2015 WA-INS $100,000
National Union Fire Insurance Company Of Pittsburgh, Pa American International Group insurance violation 2015 WA-INS $300,000
Hartford Accident & Indemnity Company et al. Hartford Financial Services insurance violation 2015 WA-INS $20,000
Transamerica Casualty Insurance Company Aegon insurance violation 2015 WA-INS $10,000
Allstate Indemnity Company et al. Allstate insurance violation 2015 WA-INS $10,000
Bankers Standard Insurance Company Chubb Limited insurance violation 2015 WA-INS $25,000
United Of Omaha Life Insurance Company Mutual of Omaha insurance violation 2015 WA-INS $5,000
National Union Fire Insurance Company Of Pittsburgh, Pa American International Group insurance violation 2015 WA-INS $110,000
National Union Fire Insurance Company Of Pittsburgh, Pa American International Group insurance violation 2015 WA-INS $200,000
American Family Mutual Insurance Company S.I. American Family Insurance insurance violation 2015 WA-INS $10,000
Hartford Accident & Indemnity Company Hartford Financial Services insurance violation 2015 WA-INS $15,000
AGCS Marine Insurance Company Allianz insurance violation 2015 WA-INS $300,000
Ticor Title Company Fidelity National Financial insurance violation 2015 WA-INS $5,000
Farmers Insurance Company Of Washington Zurich Insurance insurance violation 2015 WA-INS $300,000
American Family Mutual Insurance Company S.I. American Family Insurance insurance violation 2016 WA-INS $15,000
Qbe Insurance Corporation QBE Insurance insurance violation 2016 WA-INS $10,000
National Casualty Company Nationwide insurance violation 2016 WA-INS $9,000
Jackson National Life Insurance Company Prudential PLC insurance violation 2016 WA-INS $8,000
Jackson National Life Insurance Company Prudential PLC insurance violation 2016 WA-INS $20,000
American Family Connect Property And Casualty Insurance Company American Family Insurance insurance violation 2016 WA-INS $10,000
Unitrin Auto And Home Insurance Company Kemper insurance violation 2016 WA-INS $20,000
Zurich American Insurance Company Zurich Insurance insurance violation 2016 WA-INS $20,000
Permanent General Assurance Corporation American Family Insurance insurance violation 2016 WA-INS $5,000
Jefferson Insurance Company Allianz insurance violation 2016 WA-INS $5,000
Transamerica Life Insurance Company Aegon insurance violation 2016 WA-INS $5,000
American Modern Home Insurance Company Munich Re insurance violation 2016 WA-INS $5,000
United States Fire Insurance Company Fairfax Financial Holdings insurance violation 2016 WA-INS $25,000
AGCS Marine Insurance Company Allianz insurance violation 2016 WA-INS $15,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)