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 Yearsort icon Agency Penalty Amount
E-Trade Financial Corporate Services, Inc. Morgan Stanley consumer protection violation 2021 CT-BKG $10,000
Prudential Retirement Insurance and Annuity Company Prudential Financial insurance violation 2021 CT-INS $300,000
AMERICAN HEALTH AND LIFE INSURANCE COMPANY OneMain Holdings insurance violation 2021 MO-INS $7,500
TRANSAMERICA LIFE INSURANCE COMPANY Aegon insurance violation 2021 MO-INS $11,000
USAA Casualty Insurance Company et al. USAA insurance violation 2021 NH-INS $25,000
IMTT - BAYONNE Macquarie environmental violation 2021 NJ-ENV $10,000
First Unum Life Insurance Company of America and Paul Revere Life Insurance Company Unum privacy violation 2021 NY-DFS $1,800,000
American Family Connect Insurance Company American Family Insurance insurance violation 2021 NY-DFS $23,000
Erie Insurance Company of New York Erie Indemnity insurance violation 2021 NY-DFS $22,000
Farmers Insurance Zurich Insurance insurance violation 2021 OK-AG $25,000,000
Ameritas Investment Corp. Ameritas Mutual Holding Company investor protection violation 2021 SD-SEC $20,000
Ace American Insurance Company Chubb Limited insurance violation 2021 UT-INS $41,500
Transamerica Premier Life Insurance Company Aegon insurance violation 2021 VT-FIN $84,000
Metropolitan Property and Casualty Insurance Company Zurich Insurance insurance violation 2021 VT-FIN $13,000
United Services Automobile Association et al. USAA insurance violation 2021 VA-INS $10,000
LIFEWISE HEALTH PLAN OF WASHINGTON Premera Blue Cross insurance violation 2021 WA-INS $20,000
PREMERA BLUE CROSS Premera Blue Cross insurance violation 2021 WA-INS $10,000
AMERICAN FAMILY INSURANCE COMPANY American Family Insurance insurance violation 2021 WA-INS $50,000
HSBC SECURITIES USA INC HSBC insurance violation 2021 WA-INS $10,000
STANDARD FIRE INSURANCE COMPANY Travelers insurance violation 2021 WA-INS $5,000
AMERICAN NATIONAL PROPERTY AND CASUALTY COMPANY American National Insurance insurance violation 2021 WA-INS $5,000
ALLIED PROPERTY AND CASUALTY INSURANCE COMPANY ET AL. Nationwide insurance violation 2021 WA-INS $20,000
NATIONAL CASUALTY COMPANY Nationwide insurance violation 2021 WA-INS $50,000
State Farm Fire & Casualty Co State Farm Insurance insurance violation 2021 WI-INS $10,000
OCWEN FINANCIAL CORPORATION Ocwen Financial benefit plan administrator violation 2021 EBSA $50,000
Bank of the West BNP Paribas banking violation 2021 FDIC $281,000
Bryn Mawr Trust Company Bryn Mawr Bank Corp. banking violation 2021 FED $105,000
Wells Fargo Bank Wells Fargo discriminatory practices (non-employment) 2021 HUD $125,000
Bank Julius Baer & Co. Ltd. Julius Baer Group money laundering 2021 DOJ_CRIMINAL $79,000,000
Swiss Life Holding AG et al. Swiss Life Group tax violations 2021 DOJ_TAX $77,374,337
State Street Corporation State Street Corp. fraud 2021 USAO $115,000,000
American Express Travel Related Services Co. American Express wage and hour violation 2021 WHD $5,663
MoneyGram Payment Systems, Inc MoneyGram International economic sanction violation 2021 OFAC $34,328
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
California Physicians' Service d.b.a. Blue Shield of California California Physicians' Service insurance violation 2021 CA-MHC $150,000
California Physicians' Service d.b.a. Blue Shield of California California Physicians' Service insurance violation 2021 CA-MHC $5,000
Oscar Health Plan of California Mulberry Health insurance violation 2021 CA-MHC $15,000
California Physicians' Service d.b.a. Blue Shield of California California Physicians' Service insurance violation 2021 CA-MHC $30,000
California Physicians' Service d.b.a. Blue Shield of California California Physicians' Service insurance violation 2021 CA-MHC $5,000
California Physicians' Service d.b.a. Blue Shield of California California Physicians' Service insurance violation 2021 CA-MHC $5,000
California Physicians' Service d.b.a. Blue Shield of California California Physicians' Service insurance violation 2021 CA-MHC $10,000
Santander Consumer USA, Inc. Banco Santander consumer protection violation 2021 CO-AG $3,065,000
United States Fire Insurance Co. Fairfax Financial Holdings consumer protection violation 2021 CO-AG $50,000
Credit Suisse Credit Suisse investor protection violation 2021 CFTC $1,500,000
Provident Life and Accident Insurance Co. Unum insurance violation 2021 CT-INS $7,500
UNUM Life Insurance Company of America Unum insurance violation 2021 CT-INS $12,500
United Services Automobile Association USAA insurance violation 2021 CT-INS $32,500
USAA Casualty Insurance Co. USAA insurance violation 2021 CT-INS $36,500
USAA Indemnity Co. USAA insurance violation 2021 CT-INS $32,500
Lincoln National Life Insurance Co. Lincoln National insurance violation 2021 DE-INS $91,000
Principal Life Insurance Co. Principal Financial insurance violation 2021 DE-INS $23,000
Umpqua Bank Umpqua Holdings banking violation 2021 FDIC $1,800,000
LendingClub Corp. LendingClub Corp. consumer protection violation 2021 FTC $18,000,000
Robinhood Financial LLC Robinhood Markets investor protection violation 2021 FINRA $69,600,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America investor protection violation 2021 FINRA $11,650,000
Wheelabrator South Broward, Inc. Macquarie environmental violation 2021 FL-DEP $78,000
Moneygram Payment Systems, Inc. MoneyGram International consumer protection violation 2021 FL-OFR $9,625
National Union Fire Insurance Company of Pittsburgh, Pa American International Group insurance violation 2021 KS-INS $5,000
Ace American Insurance Co. and Indemnity Insurance Company of North America Chubb Limited insurance violation 2021 MD-INS $7,000
Athene Annuity and Life Co. Athene Holding insurance violation 2021 MD-INS $8,880
Credit Acceptance Corporation Credit Acceptance Corp. consumer protection violation 2021 MA-AG $27,200,000
U.S. Bank U.S. Bancorp consumer protection violation 2021 MA-AG $230,000
MML Investors Services, LLC Massachusetts Mutual Life Insurance investor protection violation 2021 MA-SEC $4,000,000
State Farm Mutual Automobile Insurance Company State Farm Insurance insurance violation 2021 MN-FIN $6,000
Santander Banco Santander consumer protection violation 2021 MS-AG $3,700,000
Companion Life Insurance Co. BlueCross BlueShield of South Carolina insurance violation 2021 MULTI-FIN $5,000,000
Scottsdale Insurance Co. Nationwide insurance violation 2021 NH-INS $10,579
Old Republic National Title Insurance Company Old Republic International wage and hour violation 2021 NY-AG $1,000,000
TIAA-CREF Individual & Institutional Services, LLC TIAA benefit plan administrator violation 2021 NY-AG (*) $97,000,000
Bank of China (UK) Limited Bank of China economic sanction violation 2021 OFAC $2,329,991
Wells Fargo Bank, National Association Wells Fargo banking violation 2021 OCC $250,000,000
Foremost Insurance Company Grand Rapids, Michigan Zurich Insurance insurance violation 2021 OR-FIN $15,000
Liberty Mutual Group Inc. and Safeco Insurance Company of Oregon Liberty Mutual Insurance insurance violation 2021 OR-FIN $120,000
RBC Capital Markets LLC Royal Bank of Canada investor protection violation 2021 SEC $863,326
Berthel Fisher & Company Financial Services, Inc. Berthel Fisher investor protection violation 2021 SEC $389,425
MML Investors Services, LLC Massachusetts Mutual Life Insurance investor protection violation 2021 SEC $2,109,458
UBS Financial Services Inc. UBS investor protection violation 2021 SEC $8,112,174
TIAA-CREF Individual & Institutional Services LLC TIAA accounting fraud or deficiencies 2021 SEC $97,000,000
Hilltop Securities Inc. Hilltop Holdings investor protection violation 2021 SEC $340,193
First American Financial Corporation First American Financial privacy violation 2021 SEC $487,616
XL Specialty Insurance Co. AXA insurance violation 2021 TX-INS $15,825
Travelers Indemnity Co. Travelers insurance violation 2021 TX-INS $11,000
Trumbull Insurance Co. Hartford Financial Services insurance violation 2021 TX-INS $5,000
XL Insurance America, Inc. AXA insurance violation 2021 TX-INS $17,000
Accident Fund General Insurance Co. AF Group insurance violation 2021 TX-INS $6,500
Federal Insurance Co. Chubb Limited insurance violation 2021 TX-INS $19,000
New Hampshire Insurance Co. American International Group insurance violation 2021 TX-INS $6,200
Old Republic Insurance Old Republic International insurance violation 2021 TX-INS $6,750
Protective Insurance Co. Protective Insurance Corp. insurance violation 2021 TX-INS $8,500
Safety National Casualty Corp. Tokio Marine insurance violation 2021 TX-INS $9,500
Travelers Indemnity Co. Travelers insurance violation 2021 TX-INS $23,500
Liberty Insurance Corp. Liberty Mutual Insurance insurance violation 2021 TX-INS $7,000
Travelers Indemnity Co. Travelers insurance violation 2021 TX-INS $5,000
Trumbull Insurance Co. Hartford Financial Services insurance violation 2021 TX-INS $7,500
New Hampshire Insurance Co. American International Group insurance violation 2021 TX-INS $7,500
Ace American Insurance Co. Chubb Limited insurance violation 2021 TX-INS $5,000
QBE Insurance Corp. QBE Insurance insurance violation 2021 TX-INS $10,000
Standard Fire Insurance Co. Travelers insurance violation 2021 TX-INS $7,500
Arch Insurance Co. Arch Capital insurance violation 2021 TX-INS $6,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)