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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.
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Company Parent Primary Offense Type Yearsort icon Agency Penalty Amount
Safety National Casualty Corp. Tokio Marine insurance violation 2004 MS-INS $5,000
Seneca Insurance Co. Inc. Fairfax Financial Holdings insurance violation 2004 MS-INS $5,000
Fortis Insurance Co. et al. Assurant insurance violation 2004 MT-INS $70,000
Fortis Insurance Co. Assurant insurance violation 2004 MT-INS $65,000
Principal Life Insurance Company Principal Financial investor protection violation 2004 ND-SEC $30,000
Berthel Fisher and Company Financial Services Inc. Berthel Fisher investor protection violation 2004 ND-SEC $20,000
Piper Jaffray & Co. Piper Jaffray investor protection violation 2004 ND-SEC $20,000
Piper Jaffray & Co. Piper Jaffray investor protection violation 2004 ND-SEC $17,000
Morgan Stanley Morgan Stanley investor protection violation 2004 NH-BSR $500,000
Allstate Life Insurance Co. Allstate insurance violation 2004 NJ-DBI $15,000
AON Risk Services Inc Aon insurance violation 2004 NJ-DBI $10,000
Hanover Insurance Co. Hanover Insurance insurance violation 2004 NJ-DBI $40,000
Selective Insurance Co. of America Selective Insurance Group insurance violation 2004 NJ-DBI $25,000
State Farm Indemnity Co. State Farm Insurance insurance violation 2004 NJ-DBI $35,000
American General Financial Services Inc. OneMain Holdings insurance violation 2004 NJ-DBI $1,200,000
Credit Agricole Credit Agricole banking violation 2004 NY-DFS $5,000,000
Combined Insurance Company of America Chubb Limited insurance violation 2004 OR-FIN $10,000
Ragen Mackenzie Investment Services LLC Wells Fargo investor protection violation 2004 OR-FIN $8,500
ING Life Insurance and Annuity Company Voya Financial insurance violation 2004 OR-FIN $10,000
Affinity Insurance Services Inc. Aon insurance violation 2004 PA-INS $5,000
Bristol West Insurance Company Zurich Insurance insurance violation 2004 PA-INS $10,000
Travelers Indemnity Company of Connecticut Travelers insurance violation 2004 PA-INS $7,500
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
Bankers Life and Casualty Company CNO Financial insurance violation 2004 PA-INS $5,000
Allstate Life Insurance Company Allstate insurance violation 2004 PA-INS $25,000
Hartford Casualty Insurance Hartford Financial Services insurance violation 2004 PA-INS $30,000
Conseco Life Insurance Company CNO Financial insurance violation 2004 SC-INS $6,000
Pruco Securities LLC Prudential Financial investor protection violation 2004 TX-SEC $10,000
PRUDENTIAL INSURANCE COMPANY Prudential Financial insurance violation 2004 VA-INS $7,500
PRUCO LIFE INSURANCE CO Prudential Financial insurance violation 2004 VA-INS $7,500
MERRILL LYNCH PIERCE FENNER & Bank of America investor protection violation 2004 VA-SEC $268,723
AMERICAN ZURICH INSURANCE CO Zurich Insurance insurance violation 2004 VA-INS $5,000
CAREFIRST BLUECHOICE, INC. CareFirst of Maryland insurance violation 2004 VA-INS $118,000
THE GUARDIAN LIFE INSURANCE CO Guardian Life Insurance insurance violation 2004 VA-INS $27,000
FEDERAL INSURANCE CO., ET AL. Chubb Limited insurance violation 2004 VA-INS $65,000
CITIGROUP GLOBAL MARKETS INC Citigroup investor protection violation 2004 VA-SEC $72,486
PROTECTIVE LIFE INSURANCE CO. Dai-ichi Life insurance violation 2004 VA-INS $10,000
LIBERTY MUTUAL INSURANCE CO., ET AL Liberty Mutual Insurance insurance violation 2004 VA-INS $37,000
Morgan Stanley DW Inc. Morgan Stanley investor protection violation 2004 WA-FIN $325,000
Conseco Health Insurance Co. CNO Financial insurance violation 2004 WI-INS $11,000
Great American Insurance Co. American Financial Group insurance violation 2004 WI-INS $5,000
Auto-Owners Insurance Co. Auto-Owners Insurance insurance violation 2004 WI-INS $5,000
American National Insurance Company American National Insurance insurance violation 2004 MULTI-FIN $250,000
AmSouth Investment Services Inc. Regions Financial investor protection violation 2004 MULTI-FIN $225,000
Cincinnati Life Insurance Company Cincinnati Financial insurance violation 2004 MULTI-FIN $216,750
KEYBANK NATIONAL ASSOCIATION KeyCorp workplace safety or health violation 2004 OSHA $28,000
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2004 MSHA $36,800
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2004 MSHA $5,800
WFS Financial, Inc. Wells Fargo discriminatory practices (non-employment) 2004 private lawsuit-federal $4,550,000
General Motors Acceptance Corp. Ally Financial discriminatory practices (non-employment) 2004 private lawsuit-federal $9,600,000
Cincinnati Life Insurance Company Cincinnati Financial discriminatory practices (non-employment) 2004 private lawsuit-state $1,900,000
Flagstar Bank Flagstar Bancorp discriminatory practices (non-employment) 2004 private lawsuit-federal $1,100,000
Credit Lyonnais Rouse Limited Credit Agricole investor protection violation 2005 CFTC $85,000
GOODRICH AVIATION TECHNICAL SERVICES INC Macquarie aviation safety violation 2005 FAA $5,000
GOODRICH AVIATION TECHNICAL SERVICES INC Macquarie aviation safety violation 2005 FAA $90,000
First Interstate Bank First Interstate Bancsystem banking violation 2005 FED $15,750
Capital City Mortgage Corporation Capital City Bank Group consumer protection violation 2005 FTC $750,000
Bank of China Bank of China economic sanction violation 2005 OFAC $11,000
Fidelity Brokerage Services, Inc. dba Fidelity Investments Fidelity Investments economic sanction violation 2005 OFAC $63,853
PNC Bank PNC Financial Services economic sanction violation 2005 OFAC $8,200
Seabury & Smith Inc. Marsh & McLennan economic sanction violation 2005 OFAC $46,341
SunTrust Bank Truist Financial economic sanction violation 2005 OFAC $40,423
SunTrust Bank Truist Financial economic sanction violation 2005 OFAC $30,800
The Bank of New York Bank of New York Mellon economic sanction violation 2005 OFAC $5,844
Wachovia Bank Wells Fargo economic sanction violation 2005 OFAC $5,500
Wells Fargo Bank Wells Fargo economic sanction violation 2005 OFAC $42,833
Lasalle Bank MidWest National Association Bank of America banking violation 2005 OCC $6,250,000
First Tennessee Bank National Association First Horizon National banking violation 2005 OCC $180,000
Wells Fargo Bank, National Association Wells Fargo banking violation 2005 OCC $115,000
City National Bank Royal Bank of Canada banking violation 2005 OCC $750,000
First National Bank of Omaha First National of Nebraska banking violation 2005 OCC $20,000
Ameriprise Financial, Inc. Ameriprise Financial investor protection violation 2005 SEC $15,000,000
Ameriprise Financial, Inc. Ameriprise Financial investor protection violation 2005 SEC $30,000,000
Federated Investors, Inc. Federated Investors Inc. investor protection violation 2005 SEC $72,000,000
Canadian Imperial Bank of Commerce Canadian Imperial Bank of Commerce investor protection violation 2005 SEC $125,000,000
Huntington Bancshares, Inc. Huntington Bancshares accounting fraud or deficiencies 2005 SEC $7,500,000
Citigroup, Inc. Citigroup investor protection violation 2005 SEC $208,000,000
New York Stock Exchange, Inc. IntercontinentalExchange Group investor protection violation 2005 SEC $20,000,000
Citigroup Global Markets, Inc. Citigroup investor protection violation 2005 SEC $20,000,000
Banc of America Capital Management LLC, BACAP Distributors LLC and Banc of America Securities LLC Bank of America investor protection violation 2005 SEC $375,000,000
Columbia Management Advisors Inc. and Columbia Funds Distributor Inc. Ameriprise Financial investor protection violation 2005 SEC $140,000,000
Goldman, Sachs & Co. Goldman Sachs investor protection violation 2005 SEC $40,000,000
Morgan Stanley & Co. Morgan Stanley investor protection violation 2005 SEC $40,000,000
Southwest Securities, Inc. Hilltop Holdings investor protection violation 2005 SEC $10,000,000
Oppenheimer & Company, Inc. Oppenheimer Holdings anti-money-laundering deficiencies 2005 FINCEN $2,800,000
First American Title Insurance Company First American Financial kickbacks and bribery 2005 HUD $680,000
Chicago Title Insurance Company Fidelity National Financial mortgage abuses 2005 HUD $5,000,000
AMERICAN INTERNATIONAL GROUP INC GROUP LIFE & MEDICAL INSURANCE PLAN American International Group benefit plan administrator violation 2005 EBSA $50,001
Huntington National Bank Huntington Bancshares wage and hour violation 2005 WHD $51,259
J P Morgan Chase Bank JPMorgan Chase wage and hour violation 2005 WHD $6,688
Nationwide Mutual Insurance Company Nationwide wage and hour violation 2005 WHD $16,185
Ace Cash Express, Inc. ACE Cash Express wage and hour violation 2005 WHD $12,796
Nationwide Credit, Inc. Altisource Portfolio Solutions wage and hour violation 2005 WHD $68,433
Scott Danahy Naylon Co. Inc. Financial Institutions Inc. wage and hour violation 2005 WHD $5,495
Compass Bank Banco Bilbao Vizcaya Argentaria wage and hour violation 2005 WHD $810,122
Compass Bank Banco Bilbao Vizcaya Argentaria wage and hour violation 2005 WHD $5,105
Fidelity National Financial, Inc. Fidelity National Financial wage and hour violation 2005 WHD $778,391
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