Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$336,354,784,532
Number of Records: 
7,048
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$82,901,469,908264
JPMorgan Chase$36,060,746,133196
Citigroup$25,540,645,217156
Wells Fargo$21,874,892,841221
Deutsche Bank$18,341,457,30276
UBS$16,854,236,33499
Goldman Sachs$16,386,580,99666
NatWest Group PLC$13,516,771,85733
BNP Paribas$12,147,863,95019
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 Year Agencysort icon Penalty Amount
UnumProvident Corp. et al. Unum insurance violation 2006 CA-INS $700,000
Hartford Fire Insurance Co. et al. Hartford Financial Services insurance violation 2006 CA-INS $125,000
Harleysville Mutual Insurance Co. Nationwide insurance violation 2007 CA-INS $299,500
Metropolitan Life Insurance Co. MetLife insurance violation 2007 CA-INS $700,000
21st Century Insurance Co. and 21st Century Casualty Co. Zurich Insurance insurance violation 2007 CA-INS $50,000
QBE Insurance Corp. QBE Insurance insurance violation 2007 CA-INS $120,000
Stewart Title Guaranty Co. and Electronic Closing Services, Inc. dba E-Title Stewart Information Services insurance violation 2007 CA-INS $1,500,000
Farmers Insurance Exchange et al. Farmers Insurance Exchange insurance violation 2007 CA-INS $2,000,000
Infinity Insurance Companies Kemper insurance violation 2007 CA-INS $750,000
Stewart Title Guaranty Co. Stewart Information Services insurance violation 2007 CA-INS $1,000,400
American Contractors Indemnity Co. Tokio Marine insurance violation 2007 CA-INS $170,000
Allianz Life Insurance Company of North America Allianz insurance violation 2008 CA-INS $10,050,000
Philadelphia Indemnity Insurance Co. Tokio Marine insurance violation 2008 CA-INS $60,000
American Bankers Life Assurance Company of Florida et al. Assurant insurance violation 2008 CA-INS $750,000
Blue Shield of California Life & Health Insurance Co. California Physicians' Service insurance violation 2009 CA-INS $285,000
New York Life Insurance Co. New York Life Insurance insurance violation 2009 CA-INS $175,000
Conseco Senior Health Insurance Co. CNO Financial insurance violation 2009 CA-INS $500,000
Coast National Insurance Co. Zurich Insurance insurance violation 2009 CA-INS $150,000
Hartford Accident and Indemnity Co. et al. Hartford Financial Services insurance violation 2010 CA-INS $40,000
Old Republic Title Co. and Old Republic National Title Insurance Co. Old Republic International insurance violation 2010 CA-INS $399,000
Chicago Title Insurance Co. Fidelity National Financial insurance violation 2011 CA-INS $185,000
John Hancock Life Insurance Co. Manulife Financial insurance violation 2011 CA-INS $70,000
First Mercury Insurance Co. Fairfax Financial Holdings insurance violation 2012 CA-INS $330,000
Travelers Companies Travelers insurance violation 2012 CA-INS $10,500,000
New Hampshire Insurance Co. American International Group insurance violation 2012 CA-INS $142,500
National Union Fire Insurance Co. American International Group insurance violation 2013 CA-INS $5,991,132
Homesite Insurance Company American Family Insurance insurance violation 2013 CA-INS $360,522
Safeco Insurance Company Liberty Mutual Insurance insurance violation 2013 CA-INS $900,000
Ace Limited Insurance Group Chubb Limited insurance violation 2014 CA-INS $100,000
Unum Life Insurance Company of America Unum insurance violation 2014 CA-INS $25,000
Mercury Insurance Company Mercury General Corporation insurance violation 2015 CA-INS $1,000,000
Pruco Life Insurance Co. Prudential Financial insurance violation 2015 CA-INS $8,000
RiverSource Life Insurance Co. Ameriprise Financial insurance violation 2015 CA-INS $800,000
W.R. Berkley Corp. W.R. Berkley insurance violation 2017 CA-INS $3,015,000
Admiral Risk Insurance Services, Inc. W.R. Berkley insurance violation 2017 CA-INS $1,542,500
Admiral Insurance Co. W.R. Berkley insurance violation 2017 CA-INS $1,542,500
State Farm State Farm Insurance insurance violation 2017 CA-INS $13,335,701
United Casualty Insurance Co. Kemper insurance violation 2018 CA-INS $22,500
Ticor Title Company of California Fidelity National Financial insurance violation 2018 CA-INS $6,000
Wells Fargo Bank, N.A. and Wells Fargo Insurance, Inc. Wells Fargo insurance violation 2019 CA-INS $5,345,816
Ameritas Investment Corp. Ameritas Mutual Holding Company insurance violation 2019 CA-INS $15,000
Mercury Insurance Co. and Mercury Casualty Co. and California Automobile Insurance Co. Mercury General Corporation insurance violation 2019 CA-INS $41,188,505
BOK Financial Securities, Inc. BOK Financial insurance violation 2020 CA-INS $5,000
First American Title Co. First American Financial insurance violation 2021 CA-INS $50,000
First American Title Co. First American Financial insurance violation 2021 CA-INS $1,185,000
First American Title Co. First American Financial insurance violation 2021 CA-INS $55,000
Jefferson National Life Insurance Co. Nationwide insurance violation 2021 CA-INS $165,342
Household Finance Corp. of California and Beneficial California, Inc. HSBC mortgage abuses 2002 CA-DFPI $8,900,000
Wells Fargo Financial California, Inc. Wells Fargo consumer protection violation 2005 CA-DFPI $1,621,010
ACE Cash Express, Inc. ACE Cash Express payday lending violation 2010 CA-DFPI $118,400
Allied Cash Advance California, LLC CNG Financial payday lending violation 2011 CA-DFPI $103,709
RBC Capital Markets, LLC Royal Bank of Canada investor protection violation 2013 CA-DFPI $33,520
Wells Fargo Fund Distributor, LLC Wells Fargo consumer protection violation 2014 CA-DFPI $8,000
Prospect Mortgage, LLC Homebridge Financial Services consumer protection violation 2014 CA-DFPI $3,141,000
Ocwen Loan Servicing, LLC Ocwen Financial consumer protection violation 2015 CA-DFPI $2,500,000
CashCall, Inc. CashCall Inc. payday lending violation 2015 CA-DFPI $1,000,000
ACE Cash Express, Inc. ACE Cash Express payday lending violation 2015 CA-DFPI $22,500
LendingClub Corp. LendingClub Corp. investor protection violation 2015 CA-DFPI $46,000
PrimeLending, A PlainsCapital Company Hilltop Holdings consumer protection violation 2016 CA-DFPI $1,619,523
SunTrust Mortgage, Inc. Truist Financial mortgage abuses 2016 CA-DFPI $50,000
Guaranteed Rate, Inc. Guaranteed Rate Inc. consumer protection violation 2017 CA-DFPI $50,000
Ocwen Loan Servicing, LLC Ocwen Financial mortgage abuses 2017 CA-DFPI $225,000,000
Amerisave Mortgage Corp. AmeriSave Mortgage consumer protection violation 2017 CA-DFPI $50,000
MLD Mortgage, Inc. dba The Money Store dba Mortgage Lending Direct MLD Mortgage Inc. dba The Money Store consumer protection violation 2017 CA-DFPI $30,000
Homebridge Financial Services, Inc. Homebridge Financial Services consumer protection violation 2017 CA-DFPI $80,000
Bannockburn Global Forex, LLC First Financial Bancorp. consumer protection violation 2017 CA-DFPI $500,000
Nationstar Mortgage, LLC dba Mr. Cooper Mr. Cooper Group consumer protection violation 2017 CA-DFPI $9,118,784
Santander Consumer USA, Inc. Banco Santander consumer protection violation 2018 CA-DFPI $300,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2018 CA-DFPI $115,000
Cash America Advance, Inc. FirstCash payday lending violation 2019 CA-DFPI $10,000
SunTrust Mortgage, Inc. Truist Financial consumer protection violation 2019 CA-DFPI $349,015
CitiMortgage, Inc. Citigroup consumer protection violation 2019 CA-DFPI $7,800,000
OneMain Financial Group, LLC OneMain Holdings consumer protection violation 2019 CA-DFPI $150,000
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
Morgan Stanley Smith Barney FA Notes Holdings LLC Morgan Stanley consumer protection violation 2020 CA-DFPI $1,000,000
PHH Mortgage Corporation Ocwen Financial consumer protection violation 2020 CA-DFPI $62,000
Freedom Mortgage Corporation Freedom Mortgage consumer protection violation 2020 CA-DFPI $75,000
BB&T Equipment Finance LLC Truist Financial consumer protection violation 2021 CA-DFPI $75,000
JP Morgan Chase Bank, NA JPMorgan Chase employment discrimination 2019 CA-DFEH $60,000
Vitol, Inc. Vitol environmental violation 2014 CA-ARB $70,000
Trafigura Beheer B.V. Amsterdam Trafigura environmental violation 2012 CA-ARB $10,000
Vitol Vitol environmental violation 2007 CA-ARB $150,000
Glencore Glencore environmental violation 2006 CA-ARB $10,000
Vitol Vitol environmental violation 2005 CA-ARB $20,000
Vitol S.A. Vitol environmental violation 2002 CA-ARB $25,000
Citibank Citigroup consumer protection violation 2008 CA-AG $3,500,000
Citibank Citigroup consumer protection violation 2002 CA-AG $1,600,000
Edward Jones & Co. Jones Financial investor protection violation 2008 CA-AG $7,500,000
First American Title Insurance Company First American Financial consumer protection violation 2002 CA-AG $7,000,000
Franklin/Templeton Distributors, Inc. Franklin Resources investor protection violation 2004 CA-AG $18,000,000
H&R Block H&R Block consumer protection violation 2009 CA-AG $4,850,000
J.P. Morgan Chase & Co. JPMorgan Chase toxic securities abuses 2013 CA-AG (*) $298,973,000
Jackson Hewitt, Inc. Jackson Hewitt consumer protection violation 2007 CA-AG $5,000,000
JPMorgan Chase JPMorgan Chase consumer protection violation 2015 CA-AG $50,000,000
Morgan Stanley Morgan Stanley investor protection violation 2019 CA-AG $150,000,000
Providian Financial Corp. JPMorgan Chase consumer protection violation 2000 CA-AG $305,500,000
Royal Bank of Scotland NatWest Group PLC toxic securities abuses 2017 CA-AG $125,000,000
Stewart Title Company of California Stewart Information Services consumer protection violation 2002 CA-AG $2,500,000
U.S. Bancorp U.S. Bancorp consumer protection violation 2005 CA-AG $2,600,000
Wells Fargo Wells Fargo mortgage abuses 2010 CA-AG $33,868,615
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)