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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
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2020MI-SEC$50,000
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2020MN-FIN$15,000
Horace Mann Insurance Co.Horace Mann Educators Corp.insurance violation2020MN-FIN$5,000
Progressive Casualty Insurance CompanyProgressiveinsurance violation2020MN-FIN$5,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020MO-SEC$9,130
Great Plains Specialty Finance, Inc. dba Check 'n GoCNG Financialconsumer protection violation2020NE-DBF$9,700
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020NH-BSR$90,000
Asurion Insurance Services, Inc. and Asurion Protection Services LLCAsurioninsurance violation2020NY-DFS$4,000,000
Lincoln Life & Annuity Company of New YorkLincoln Nationalinsurance violation2020NY-DFS$193,166
MassMutual Life Insurance CompanyMassachusetts Mutual Life Insuranceinsurance violation2020NY-DFS$1,399,708
Pacific Life & Annuity CompanyPacific Lifeinsurance violation2020NY-DFS$425,533
Industrial Bank of KoreaIndustrial Bank of Koreaanti-money-laundering deficiencies2020NY-DFS$35,000,000
Bank Hapoalim B.M.Bank Hapoalimtax violations2020NY-DFS$220,000,000
Great Plains Specialty Finance Inc. dba Check 'N GoCNG Financialconsumer protection violation2020OK-DCC$27,500
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020OK-SEC$9,968
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020OR-FIN$10,599
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2020OR-FIN$25,000
USAA Casualty Insurance CompanyUSAAinsurance violation2020RI-FIN$12,000
American General Life Insurance CompanyAmerican International Groupinsurance violation2020RI-FIN$25,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020TN-SEC$12,994
Next Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2020TX-SEC$600,000
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2020TX-INS$6,350
Arthur J. Gallagher Risk Management Services, Inc.Arthur J. Gallagher & Co.insurance violation2020TX-INS$7,025
LendingClub CorporationLendingClub Corp.investor protection violation2020TX-SEC$400,000
Elephant Insurance CompanyAdmiral Groupinsurance violation2020TX-INS$80,000
Bristol West Casualty Insurance Company and Bristol West Insurance CompanyZurich Insuranceinsurance violation2020VA-INS$27,560
Bristol West Casualty Insurance Company and Bristol West Insurance CompanyZurich Insuranceinsurance violation2020VA-INS$91,872
John Hancock Life Insurance CompanyManulife Financialinsurance violation2020VA-INS$60,600
Jefferson National Life Insurance CompanyNationwideinsurance violation2020VA-INS$27,600
The Travelers Indemnity Company ofAmericaTravelersinsurance violation2020VA-INS$49,500
Next Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2020VA-SEC$5,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020VT-FIN$6,900
Merrill LynchBank of Americainvestor protection violation2020VT-FIN$125,000
Homesite Insurance CompanyAmerican Family Insuranceinsurance violation2020VT-FIN$31,000
Farmers Insurance Company Of Washington And Farmers Insurance ExchangeZurich Insuranceinsurance violation2020WA-INS$50,000
Ace American Insurance CompanyChubb Limitedinsurance violation2020WA-INS$750,000
American General Life Insurance CompanyAmerican International Groupinsurance violation2020WA-INS$10,000
Lincoln National Life Insurance Company TheLincoln Nationalinsurance violation2020WA-INS$8,000
Privilege Underwriters Reciprocal ExchangeTokio Marineinsurance violation2020WA-INS$20,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020WA-FIN$33,753
National General Insurance CompanyAllstateinsurance violation2020AZ-DIFI$75,000
BOK Financial Securities, Inc.BOK Financialinsurance violation2020CA-INS$5,000
TD Bank, N.A.Toronto-Dominion Bankconsumer protection violation2020CFPB$122,000,000
The Bank of Nova ScotiaScotiabankinvestor protection violation2020CFTC$50,000,000
The Bank of Nova ScotiaScotiabankinvestor protection violation2020CFTC$77,400,000
Interactive Brokers LLCInteractive Brokers Groupanti-money-laundering deficiencies2020CFTC$12,206,214
Deutsche Bank AGDeutsche Bankinvestor protection violation2020CFTC$9,000,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2020CFTC$1,250,000
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
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2020CT-SEC$400,000
Bank of Nova ScotiaScotiabankprice-fixing or anti-competitive practices2020DOJ_CRIMINAL$60,400,000
Bank of America, N.A.Bank of AmericaAmericans with Disabilities Act2020DOJ_RIGHTS$300,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020FL-OFR$79,045
Hartford Life and Accident Insurance Co.Hartford Financial Servicesinsurance violation2020MA-AG$145,000
Freedom Mortgage Corp.Freedom Mortgageconsumer protection violation2020MA-BKG$25,000
Wells Fargo & Co.Wells Fargoinvestor protection violation2020MD-AG$20,000,000
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2020MD-INS$64,600
USAA General Indemnity Co. et al.USAAinsurance violation2020MD-INS$67,500
Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2020MO-INS$15,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2020MO-INS$48,500
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2020MO-INS$45,900
Permanent General Assurance Corp.American Family Insuranceinsurance violation2020MO-INS$15,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2020MO-INS$100,000
Principal Life Insurance CompanyPrincipal Financialinsurance violation2020MULTI-FIN$145,000
Gerber Life Insurance Co.Western & Southern Financial Groupinsurance violation2020NC-INS$3,635,665
Mid-Century Insurance CompanyZurich Insuranceinsurance violation2020NY-DFS$200,000
Praetorian Insurance CompanyQBE Insuranceinsurance violation2020NY-DFS$20,000
The Signal, LP, an Assurant CompanyAssurantinsurance violation2020NY-DFS$2,800,000
Deutsche Bank AG and Deutsche Bank Trust Co. AmericaDeutsche Bankbanking violation2020NY-DFS$150,000,000
Capital One Bank (USA), National AssociationCapital One Financialbanking violation2020OCC$80,000,000
Deutsche Bank Trust Company AmericasDeutsche Bankeconomic sanction violation2020OFAC$583,100
Teachers Insurance and Annuity AssociationTIAAemployment discrimination2020OFCCP$1,500,000
Wells Fargo Bank, N.A.Wells Fargoemployment discrimination2020OFCCP$7,800,000
USAA Casualty Insurance Co.USAAinsurance violation2020OR-FIN$50,000
Mutual of Omaha Mortgage, Inc.Mutual of Omahaconsumer protection violation2020PA-BKG$7,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020PA-BKG$52,372
Federal Insurance Co.Chubb Limitedinsurance violation2020SD-INS$25,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020SD-SEC$5,750
Northern Trust Hedge Fund Services LLCNorthern Trustinvestor protection violation2020SEC$167,629
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2020SEC$11,500,000
World Acceptance CorporationWorld Acceptance CorporationForeign Corrupt Practices Act2020SEC$21,700,000
VALIC Financial Advisors Inc.American International Groupinvestor protection violation2020SEC$39,900,000
UBS Financial Services Inc.UBSinvestor protection violation2020SEC$10,000,000
Franklin Advisers and Inc.Franklin Resourcesinvestor protection violation2020SEC$250,000
Franklin Templeton Investments Corp.Franklin Resourcesinvestor protection violation2020SEC$75,000
BNP Paribas Securities Corp.BNP Paribasinvestor protection violation2020SEC$250,000
SG Americas Securities LLCSociete Generaleinvestor protection violation2020SEC$1,550,000
New Hampshire Insurance Co.American International Groupinsurance violation2020TX-INS$7,000
Old Republic Insurance Co.Old Republic Internationalinsurance violation2020TX-INS$18,150
Zurich American Insurance Co. of IllinoisZurich Insuranceinsurance violation2020TX-INS$10,800
Property and Casualty Insurance Co. of HartfordHartford Financial Servicesinsurance violation2020TX-INS$20,000
Travelers Property Casualty Co. of AmericaTravelersinsurance violation2020TX-INS$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.