Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$325,206,110,617
Number of Records: 
5,976
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$82,700,046,034213
JPMorgan Chase$34,530,243,993154
Citigroup$25,045,655,764120
Wells Fargo$21,199,943,231179
Deutsche Bank$18,156,533,87859
UBS$16,792,800,91083
Royal Bank of Scotland$13,455,904,00027
Goldman Sachs$13,140,380,98740
BNP Paribas$12,132,582,95017
Credit Suisse$10,409,957,62631


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
Companysort icon Parent Primary Offense Type Year Agency Penalty Amount
Amex Assurance Co. American Express insurance violation 2008 FL-OFR $8,000
AMEX Assurance Co. American Express insurance violation 2011 MD-INS $10,000
AMEX ASSURANCE CO. American Express insurance violation 2007 VA-INS $26,400
AMEX Assurance Company American Express insurance violation 2009 OR-FIN $25,000
Amica Mutual Insurance Co. Amica Mutual Insurance consumer protection violation 2012 MA-AG $837,384
Amica Mutual Insurance Co. Amica Mutual Insurance insurance violation 2007 MA-INS $12,000
Amica Mutual Insurance Co. Amica Mutual Insurance insurance violation 2016 MD-INS $7,500
Amica Mutual Insurance Co. Amica Mutual Insurance insurance violation 2020 TX-INS $120,000
Amica Mutual Insurance Company Amica Mutual Insurance insurance violation 2018 NY-DFS $20,000
Amica Mutual Insurance Company Amica Mutual Insurance insurance violation 2018 TX-INS $10,000
AMICA MUTUAL INSURANCE COMPANY Amica Mutual Insurance insurance violation 2002 VA-INS $14,000
Amica Mutual Insurance Company Amica Mutual Insurance insurance violation 2018 WA-INS $20,000
AmSouth Regions Financial anti-money-laundering deficiencies 2004 FINCEN $10,000,000
AmSouth Bancorporation Regions Financial fraud 2004 USAO $40,000,000
AmSouth Bank Regions Financial investor protection violation 2008 SEC $11,400,000
AmSouth Investment Services Inc. Regions Financial investor protection violation 2004 MULTI-FIN $225,000
AmSouth Investment Services, Inc. Regions Financial investor protection violation 2004 MS-SEC $225,000
AmTrust Financial Services Inc. AmTrust Financial Services investor protection violation 2020 SEC $10,300,000
Aon Aon wage and hour violation 2011 private lawsuit-state $10,500,000
AON Consulting Corporation Inc Aon wage and hour violation 2004 WHD $47,131
Aon Corp. Aon consumer protection violation 2008 FL-AG $4,000,000
Aon Corporation Aon Foreign Corrupt Practices Act 2011 DOJ_CRIMINAL $1,760,000
Aon Corporation Aon Foreign Corrupt Practices Act 2011 SEC $14,545,020
Aon Corporation Aon benefit plan administrator violation 2010 private lawsuit-federal $1,800,000
Aon Corporation Aon price-fixing or anti-competitive practices 2005 MULTI-AG $190,000,000
Aon Risk Services Central Inc. Aon insurance violation 2008 PA-INS $5,000
AON Risk Services Inc Aon insurance violation 2004 NJ-DBI $10,000
Aon Risk Services Inc. of Pennsylvania Aon insurance violation 2005 MA-INS $19,000
Aon Risk Services Inc. of Washington Aon insurance violation 2002 AK-INS $5,000
Aon Risk Services Northeast Aon insurance violation 2014 MA-INS $15,000
AON SERVICE CORPORATION Aon wage and hour violation 2017 WHD $7,406
Arab Banking Corp. Arab Banking Corp. economic sanction violation 2004 OFAC $5,500
Arch Indemnity Insurance Company Arch Capital insurance violation 2019 TX-INS $10,250
Arch Insurance Co. Arch Capital insurance violation 2019 ID-INS $5,000
Arch Insurance Co. Arch Capital insurance violation 2016 MO-INS $145,000
Arch Insurance Co. Arch Capital insurance violation 2013 MT-INS $29,075
Arch Insurance Co. Arch Capital insurance violation 2020 WA-INS $10,000
Arch Insurance Company Arch Capital consumer protection violation 2010 MD-AG $460,000
Arch Insurance Company Arch Capital insurance violation 2019 NY-DFS $5,000,000
Arch Insurance Company Arch Capital insurance violation 2010 TX-INS $14,000
Arch Insurance Company Arch Capital insurance violation 2012 TX-INS $26,500
Arch Insurance Company Arch Capital insurance violation 2014 TX-INS $40,143
Arch Insurance Company Arch Capital insurance violation 2014 TX-INS $10,000
Arch Insurance Company Arch Capital insurance violation 2015 TX-INS $19,000
Arch Insurance Company Arch Capital insurance violation 2016 TX-INS $32,500
Arch Insurance Company Arch Capital insurance violation 2017 TX-INS $5,000
Arch Insurance Company Arch Capital insurance violation 2018 TX-INS $7,000
Arch Insurance Company Arch Capital insurance violation 2019 VA-INS $26,447
Arch Insurance Company Arch Capital insurance violation 2011 WA-INS $20,000
Arch Insurance Company Arch Capital insurance violation 2017 MULTI-FIN $1,017,000
Arthur J. Gallagher Arthur J. Gallagher & Co. wage and hour violation 2011 private lawsuit-federal $3,900,000
Arthur J. Gallagher & Co. Arthur J. Gallagher & Co. consumer protection violation 2005 IL-AG $27,000,000
Arthur J. Gallagher Risk Management Services, Inc. Arthur J. Gallagher & Co. insurance violation 2018 TX-INS $6,300
Arthur J. Gallagher Risk Management Services, Inc. Arthur J. Gallagher & Co. insurance violation 2020 TX-INS $7,025
ASI SERVICES Progressive aviation safety violation 2015 FAA $17,000
ASI SERVICES Progressive aviation safety violation 2015 FAA $27,000
Asset Acceptance LLC Encore Capital Group consumer protection violation 2012 FTC $2,500,000
Asset Acceptance, LLC Encore Capital Group Family and Medical Leave Act 2014 WHD $7,450
Associated Banc-Corp Associated Banc-Corp wage and hour violation 2012 private lawsuit-federal $1,275,000
Associated Bank, N.A. Associated Banc-Corp discriminatory practices (non-employment) 2015 HUD $200,000,000
Assurant Health Assurant insurance violation 2008 CT-INS $2,100,000
Assurant Inc. Assurant accounting fraud or deficiencies 2010 SEC $3,500,000
Assurant Inc. Assurant insurance violation 2016 MULTI-FIN $80,217,000
Assurant, Inc. Assurant insurance violation 2013 NY-DFS $14,000,000
Asurion Insurance Services, Inc. and Asurion Protection Services LLC Asurion insurance violation 2020 NY-DFS $4,000,000
Asurion Warranty Services, Inc. Asurion insurance violation 2007 WI-INS $5,000
Asurion, LLC Asurion employment discrimination 2019 EEOC $50,000
Athene Annuity & Life Assurance Company Of New York Athene Holding insurance violation 2011 WA-INS $5,000
Athene Annuity and Life Co. Athene Holding insurance violation 2019 MO-INS $5,000
Athene Annuity And Life Company Athene Holding insurance violation 2018 WA-INS $10,000
Athene Holding Ltd. Athene Holding insurance violation 2020 NY-DFS $45,000,000
Athene Life Insurance Company of New York Athene Holding insurance violation 2016 NY-DFS $142,193
Athene Life Insurance Company of New York Athene Holding insurance violation 2018 NY-DFS $15,000,000
Atlantic Credit and Finance, Inc. Encore Capital Group wage and hour violation 2006 WHD $9,422
Aurora Bank FSB Aurora Bank banking violation 2013 OCC $242,418,293
Austin Mutual Insurance Co. American Family Insurance insurance violation 2019 MN-FIN $10,000
Austin Mutual Insurance Co. American Family Insurance insurance violation 2007 WI-INS $8,000
Austin Mutual Insurance Co. and Northern Mutual Insurance Co. American Family Insurance insurance violation 2002 MN-FIN $12,500
Austin Mutual Insurance Company American Family Insurance wage and hour violation 2006 WHD $16,245
Austin Mutual Insurance Company American Family Insurance insurance violation 2014 ND-INS $10,000
Austin Mutual Insurance Company American Family Insurance insurance violation 2010 WA-INS $10,000
Austin Mutual Insurance Company American Family Insurance insurance violation 2011 WA-INS $10,000
Austin Mututal Insurance Co. American Family Insurance insurance violation 2011 AZ-INS $30,000
Auto Owners Insurance Co. Auto-Owners Insurance insurance violation 2017 CO-INS $25,875
AUTO OWNERS INSURANCE COMPANY Auto-Owners Insurance insurance violation 2015 VA-INS $114,217
Auto-Owners (Mutual) Insurance Co. and Owners Insurance Co. Auto-Owners Insurance insurance violation 2019 KS-INS $10,000
Auto-Owners Insurance Co. Auto-Owners Insurance insurance violation 2007 CO-INS $5,000
Auto-Owners Insurance Co. Auto-Owners Insurance insurance violation 2000 MN-FIN $15,000
Auto-Owners Insurance Co. Auto-Owners Insurance insurance violation 2003 MN-FIN $5,000
Auto-Owners Insurance Co. Auto-Owners Insurance insurance violation 2016 MN-FIN $10,000
Auto-Owners Insurance Co. Auto-Owners Insurance insurance violation 2015 MO-INS $39,600
Auto-Owners Insurance Co. Auto-Owners Insurance insurance violation 2004 WI-INS $5,000
Auto-Owners Insurance Co. and Owners Insurance Co. Auto-Owners Insurance insurance violation 2019 MN-FIN $35,000
Auto-Owners Insurance Co. and Owners Insurance Co. Auto-Owners Insurance insurance violation 2007 MO-INS $28,704
Auto-Owners Insurance Company Auto-Owners Insurance insurance violation 2016 SC-INS $7,356
Auto-Owners Insurance Company and Owners Insurance Company Auto-Owners Insurance insurance violation 2011 VA-INS $10,000
AVEMCO INSURANCE COMPANY Tokio Marine insurance violation 2002 VA-INS $12,000
Aviva Life & Annuity Company Athene Holding insurance violation 2013 MULTI-AG $4,000,000
Aviva Life and Annuity Co. Athene Holding insurance violation 2011 CO-INS $25,300
AXA Advisors AXA wage and hour violation 2016 private lawsuit-federal $2,300,000
AXA Advisors LLC AXA investor protection violation 2011 OR-FIN $80,000
Download results as CSV or XML