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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 Parentsort icon Primary Offense Type Year Agency Penalty Amount
American International Group American International Group insurance violation 2012 MULTI-FIN $11,000,000
National Union Fire Insurance Company of Pittsburgh, PA American International Group insurance violation 2012 MULTI-FIN $39,000,000
National Union Fire Insurance Company of Pittsburgh, PA American International Group insurance violation 2020 CT-INS $106,000
VALIC Financial Advisors Inc. American International Group investor protection violation 2020 SEC $39,900,000
New Hampshire Insurance Co. American International Group insurance violation 2020 TX-INS $7,000
New Hampshire Insurance Co. American International Group insurance violation 2020 TX-INS $16,500
New Hampshire Insurance Co. American International Group insurance violation 2020 TX-INS $9,500
New Hampshire Insurance Co. American International Group insurance violation 2020 TX-INS $5,500
National Union Fire Insurance Company of Pittsburgh, PA. et al. American International Group insurance violation 2020 WA-INS $20,000
American General Life Insurance American International Group discriminatory practices (non-employment) 2000 private lawsuit-federal $214,000,000
AIG Property Casualty Company American International Group insurance violation 2020 NY-DFS $583,900
NEW HAMPSHIRE INSURANCE COMPANY American International Group insurance violation 2020 WA-INS $15,000
American International Group American International Group insurance violation 2021 NY-DFS $12,000,000
VALIC Financial Advisors, Inc. American International Group investor protection violation 2016 FINRA $1,750,000
SunAmerica Securities, Inc. American International Group investor protection violation 2009 FINRA $300,000
SunAmerica Securities, Inc. American International Group investor protection violation 2005 FINRA $2,500,000
SunAmerica Securities, Inc. American International Group investor protection violation 2004 FINRA $100,000
American General Life Insurance Company American International Group insurance violation 2020 CT-INS $10,000
National Union Fire Insurance Company of Pittsburgh, Pa American International Group insurance violation 2021 KS-INS $5,000
New Hampshire Insurance Co. American International Group insurance violation 2021 TX-INS $6,200
New Hampshire Insurance Co. American International Group insurance violation 2021 TX-INS $7,500
Insurance Company of the State of Pennsylvania American International Group insurance violation 2021 TX-INS $9,000
New Hampshire Insurance Co. American International Group insurance violation 2021 TX-INS $15,000
New Hampshire Insurance Co. American International Group insurance violation 2021 TX-INS $6,000
American General Life Insurance Company American International Group insurance violation 2021 DE-INS $106,000
National Union Fire Insurance Company of Pittsburgh, Pa American International Group insurance violation 2021 LA-INS $9,000
American General Life Insurance Company American International Group insurance violation 2021 MD-INS $32,250
American General Life Insurance Company American International Group insurance violation 2021 WA-INS $10,000
Variable Annuity Life Insurance Company American International Group insurance violation 2021 NY-DFS $230,820
National Union Fire Insurance Company of Pittsburgh, PA American International Group insurance violation 2022 TX-INS $10,000
New Hampshire Insurance Company American International Group insurance violation 2021 TX-INS $5,500
National Union Fire Insurance Company of Pittsburgh, PA. et al. American International Group insurance violation 2021 NY-DFS $50,000
AMERICAN INTERNATIONAL GROUP American International Group workplace safety or health violation 2003 OSHA $5,900
Brothers Property Corporation American Financial Group wage and hour violation 2006 WHD $29,273
Great American Insurance Co. American Financial Group insurance violation 2009 MA-AG $176,000
Great American Financial Resources, Inc. American Financial Group wage and hour violation 2019 private lawsuit-federal $1,250,000
GREAT AMERICAN ALLIANCE INSURANCE COMPANY American Financial Group insurance violation 2001 FL-OFR $5,500
GREAT AMERICAN ASSURANCE COMPANY American Financial Group insurance violation 2001 FL-OFR $12,500
Great American Insurance Co. American Financial Group insurance violation 2017 KS-INS $13,000
National Interstate Insurance Co. American Financial Group insurance violation 2011 MO-INS $43,000
Great American Alliance Insurance Co. American Financial Group insurance violation 2014 MO-INS $33,000
Great American Insurance Company of New York American Financial Group insurance violation 2014 MO-INS $23,000
National Interstate Insurance Company American Financial Group insurance violation 2015 NY-DFS $90,000
Great American Insurance Company of New York American Financial Group insurance violation 2005 OR-FIN $5,000
Great American Alliance Insurance Company American Financial Group insurance violation 2004 PA-INS $16,000
Great American Assurance Company American Financial Group insurance violation 2004 PA-INS $25,000
Great American Insurance Company of New York American Financial Group insurance violation 2004 PA-INS $17,500
Great American Insurance Company American Financial Group insurance violation 2004 PA-INS $20,000
Great American Spirit Insurance Company American Financial Group insurance violation 2004 PA-INS $25,000
Great American Insurance Company American Financial Group insurance violation 2005 PA-INS $150,000
Great American Assurance Co. et al. American Financial Group insurance violation 2011 TX-INS $195,000
National Interstate Insurance Company American Financial Group insurance violation 2013 TX-INS $23,000
Great American Alliance Insurance Company American Financial Group insurance violation 2014 TX-INS $7,500
National Interstate Insurance Company American Financial Group insurance violation 2014 TX-INS $5,000
National Interstate Insurance Company American Financial Group insurance violation 2015 TX-INS $15,000
National Interstate Insurance Company American Financial Group insurance violation 2016 TX-INS $17,000
National Interstate Insurance Company American Financial Group insurance violation 2017 TX-INS $6,000
National Interstate Insurance Company American Financial Group insurance violation 2018 TX-INS $10,000
GREAT AMERICAN INSURANCE COMPANY ET AL American Financial Group insurance violation 2006 VA-INS $7,200
GREAT AMERICAN INSURANCE COMPANY ET AL American Financial Group insurance violation 2006 VA-INS $7,200
Great American Insurance Co. American Financial Group insurance violation 2004 WI-INS $5,000
Great American Assurance Company American Financial Group insurance violation 2021 MN-FIN $25,000
Great American Alliance Insurance Company American Financial Group insurance violation 2021 TX-INS $7,000
Austin Mutual Insurance Company American Family Insurance wage and hour violation 2006 WHD $16,245
Permanent General Assurance Corp. American Family Insurance insurance violation 2011 AZ-DIFI $70,000
Homesite Indemnity Co. American Family Insurance insurance violation 2011 AZ-DIFI $19,000
Austin Mututal Insurance Co. American Family Insurance insurance violation 2011 AZ-DIFI $30,000
American Family Connect Property and Casualty Insurance Company American Family Insurance insurance violation 2020 AZ-DIFI $50,000
Homesite Insurance Company American Family Insurance insurance violation 2013 CA-INS $360,522
American Family Mutual Insurance Co. American Family Insurance insurance violation 2006 CO-INS $6,000
American Family Mutual Insurance Co. American Family Insurance insurance violation 2007 CO-INS $5,500
Permanent General Assurance Corp. American Family Insurance insurance violation 2009 CO-INS $31,900
Permanent General Assurance Corp. American Family Insurance insurance violation 2019 CO-INS $56,494
Permanent General Assurance Corporation of Ohio American Family Insurance insurance violation 2019 CO-INS $50,974
HomeSite Insurance Co. American Family Insurance insurance violation 2016 DE-INS $15,000
American Family Mutual Insurance Co. American Family Insurance insurance violation 2016 KS-INS $20,000
Homesite Insurance Company of the Midwest American Family Insurance insurance violation 2013 MD-INS $20,000
Homesite Insurance Company of the Midwest American Family Insurance insurance violation 2015 MD-INS $5,000
Homesite Insurance Company of the Midwest American Family Insurance insurance violation 2011 ME-INS $7,500
American Family Mutual Insurance Co. American Family Insurance insurance violation 2002 MN-FIN $5,000
Austin Mutual Insurance Co. and Northern Mutual Insurance Co. American Family Insurance insurance violation 2002 MN-FIN $12,500
American Family Mutual Insurance Co. American Family Insurance insurance violation 2002 MN-FIN $10,000
Homesite Insurance Company of the Midwest American Family Insurance insurance violation 2009 MN-FIN $15,000
American Family Mutual Insurance Co. American Family Insurance insurance violation 2011 MN-FIN $5,000
American Family Mutual Insurance Co. American Family Insurance insurance violation 2013 MN-FIN $5,000
American Family Mutual Insurance Co. American Family Insurance insurance violation 2014 MN-FIN $7,500
Austin Mutual Insurance Co. American Family Insurance insurance violation 2019 MN-FIN $10,000
Homesite Insurance Co. American Family Insurance insurance violation 2019 MN-FIN $5,000
American Family Mutual Insurance Co. and American Standard Insurance Co. of Wisconsin American Family Insurance insurance violation 2015 MO-INS $472,089
American Family Mutual Insurance Co. American Family Insurance insurance violation 2016 MO-INS $7,000
American Family Mutual Insurance Company American Family Insurance insurance violation 2009 ND-INS $5,000
Austin Mutual Insurance Company American Family Insurance insurance violation 2014 ND-INS $10,000
American Family Mutual Insurance Company American Family Insurance insurance violation 2016 NE-DOI $15,000
American Family Insurance Company American Family Insurance insurance violation 2018 NE-DOI $15,000
Permanent General Assurance Corporation American Family Insurance insurance violation 2014 NY-DFS $75,000
American Family Mutual Insurance Company American Family Insurance insurance violation 2003 OR-FIN $10,000
American Family Mutual Insurance Company American Family Insurance insurance violation 2008 OR-FIN $6,500
Homesite Insurance Company American Family Insurance insurance violation 2013 RI-FIN $5,000
The General Automobile Insurance Company Inc. American Family Insurance insurance violation 2018 TX-INS $100,000
Permanent General Assurance Corporation American Family Insurance insurance violation 2018 TX-INS $70,000
American Family Mutual Insurance Company American Family Insurance insurance violation 2018 UT-INS $39,400
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)