Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$323,889,987,491
Number of Records: 
5,839
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$82,695,676,034210
JPMorgan Chase$34,517,828,993151
Citigroup$25,045,655,764120
Wells Fargo$21,139,073,231172
Deutsche Bank$17,995,700,77855
UBS$16,782,800,91082
Royal Bank of Scotland$13,455,904,00027
Goldman Sachs$13,140,380,98740
BNP Paribas$12,132,332,95016
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 Parentsort icon Primary Offense Type Year Agency Penalty Amount
Fortis Insurance Company Assurant insurance violation 2003 OR-FIN $20,000
John Alden Life Insurance Company Assurant insurance violation 2007 OR-FIN $10,000
Virginia Surety Company, Inc. Assurant insurance violation 2007 OR-FIN $6,100
Virginia Surety Company, Inc. Assurant insurance violation 2008 OR-FIN $25,000
Virginia Surety Company, Inc. Assurant insurance violation 2009 OR-FIN $10,000
Union Security Insurance Company Assurant insurance violation 2015 SD-INS $7,500
American Memorial Life Insurance Company Assurant insurance violation 2016 SD-INS $5,000
Union Security Insurance Company Assurant insurance violation 2016 SD-INS $35,000
Virginia Surety Company, Inc. Assurant insurance violation 2008 TX-INS $7,000
Virginia Surety Company Inc. Assurant insurance violation 2011 TX-INS $200,000
American Bankers Insurance Company of Florida Assurant insurance violation 2017 TX-INS $35,000
AMERICAN BANKERS LIFE ASSURANCE OF FLORIDA Assurant insurance violation 2001 VA-INS $15,000
FORTIS INSURANCE COMPANY Assurant insurance violation 2001 VA-INS $57,000
FORTIS INSURANCE CO., ET AL. Assurant insurance violation 2002 VA-INS $27,000
AMERICAN BANKERS INSURANCE Assurant insurance violation 2006 VA-INS $45,000
AMERICAN SECURITY INSURANCE CO Assurant insurance violation 2006 VA-INS $45,000
STANDARD GUARANTY INSURANCE CO Assurant insurance violation 2006 VA-INS $45,000
AMERICAN BANKERS LIFE Assurant insurance violation 2007 VA-INS $97,000
UNION SECURITY LIFE INSURANCE Assurant insurance violation 2007 VA-INS $27,000
Virginia Surety Company Inc Assurant insurance violation 2010 WA-INS $12,000
American Bankers Insurance Company Of Florida Assurant insurance violation 2011 WA-INS $170,000
American Bankers Insurance Group Inc. Assurant insurance violation 2001 MULTI-FIN $3,000,000
Assurant Inc. Assurant insurance violation 2016 MULTI-FIN $80,217,000
Virginia Surety Company Inc. Assurant insurance violation 2013 MULTI-FIN $200,000
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
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
AmerUS Life Insurance Co. Athene Holding insurance violation 2007 MN-FIN $250,000
Athene Annuity and Life Co. Athene Holding insurance violation 2019 MO-INS $5,000
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
Athene Holding Ltd. Athene Holding insurance violation 2020 NY-DFS $45,000,000
Liberty Life Insurance Company Athene Holding insurance violation 2001 SC-INS $10,000
Athene Annuity & Life Assurance Company Of New York Athene Holding insurance violation 2011 WA-INS $5,000
Athene Annuity And Life Company Athene Holding insurance violation 2018 WA-INS $10,000
Liberty Life Insurance Company of Greenville, S.C. Athene Holding insurance violation 2005 MULTI-FIN $3,075,950
CompuCredit Corporation Atlanticus Holdings banking violation 2008 FDIC $116,400,000
CompuCredit Corporation Atlanticus Holdings consumer protection violation 2008 FTC $114,000,000
CompuCredit Corporation Atlanticus Holdings banking violation 2008 FDIC $806,000
CompuCredit Corporation Atlanticus Holdings banking violation 2008 FDIC $558,000
Cadaret, Grant & Co. Inc. Atria Wealth Solutions investor protection violation 2018 SEC $513,194
Sorrento Pacific Financial, LLC Atria Wealth Solutions investor protection violation 2019 SEC $49,162
CUSO Financial Services, L.P. Atria Wealth Solutions investor protection violation 2019 SEC $296,750
Next Financial Group, Inc. Atria Wealth Solutions investor protection violation 2019 SEC $1,405,349
Next Financial Group, Inc. Atria Wealth Solutions investor protection violation 2012 AL-SEC $60,000
Next Financial Group, Inc. Atria Wealth Solutions investor protection violation 2019 MA-SEC $150,000
NEXT Financial Group, Inc. Atria Wealth Solutions investor protection violation 2010 MT-SEC $5,000
Cadaret, Grant & Co., Inc. Atria Wealth Solutions investor protection violation 2008 NE-DBF $10,000
NEXT Financial Group, Inc Atria Wealth Solutions investor protection violation 2014 NH-BSR $140,000
NEXT Financial Group, Inc Atria Wealth Solutions investor protection violation 2019 NH-BSR $325,000
Cadaret Grant & Co. Inc. Atria Wealth Solutions investor protection violation 2019 PA-BKG $90,000
Next Financial Group, Inc. Atria Wealth Solutions investor protection violation 2020 TX-SEC $600,000
NEXT FINANCIAL GROUP, INC. Atria Wealth Solutions investor protection violation 2015 VA-SEC $18,000
NEXT FINANCIAL GROUP, INC. Atria Wealth Solutions investor protection violation 2017 VA-SEC $60,000
Next Financial Group, Inc. Atria Wealth Solutions investor protection violation 2020 VA-SEC $5,000
Aurora Bank FSB Aurora Bank banking violation 2013 OCC $242,418,293
Auto-Owners Insurance Co. Auto-Owners Insurance insurance violation 2007 CO-INS $5,000
Auto Owners Insurance Co. Auto-Owners Insurance insurance violation 2017 CO-INS $25,875
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 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. 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 Co. Auto-Owners Insurance insurance violation 2015 MO-INS $39,600
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
AUTO OWNERS INSURANCE COMPANY Auto-Owners Insurance insurance violation 2015 VA-INS $114,217
Auto-Owners Insurance Co. Auto-Owners Insurance insurance violation 2004 WI-INS $5,000
AXA Rosenberg AXA investor protection violation 2011 SEC $242,000,000
Alliance Capital Management L.P. AXA investor protection violation 2003 SEC $250,000,000
Equitable Life & Casualty Insurance Company AXA wage and hour violation 2008 WHD $19,445
AXA Equitable Life Insurance Company AXA wage and hour violation 2006 WHD $29,534
AXA Advisors AXA wage and hour violation 2016 private lawsuit-federal $2,300,000
AllianceBernstein AXA wage and hour violation 2013 private lawsuit-federal $2,980,000
AXA Financial AXA wage and hour violation 2009 private lawsuit-federal $6,500,000
AXA Advisors, LLC AXA investor protection violation 2012 SEC $100,000
AXA Advisors, LLC AXA investor protection violation 2009 SEC $50,000
AllianceBernstein, L.P. AXA investor protection violation 2007 SEC $450,000
AXA Equitable Life Insurance Company AXA benefit plan administrator violation 2011 private lawsuit-federal $2,500,000
AXA Advisors, LLC AXA investor protection violation 2019 SEC $1,134,152
Alliance Capital Management AXA investor protection violation 2003 NY-AG (*) $600,000,000
AXA Equitable Life Insurance Company AXA insurance violation 2012 NY-AG $850,000
Axa S.A. AXA insurance violation 2015 MULTI-AG $3,280,000
MONY Life Insurance Co. AXA consumer protection violation 2000 CT-AG $250,000
AllianceBernstein L.P. AXA investor protection violation 2013 CO-SEC $20,232
AllianceBernstein L.P. AXA investor protection violation 2012 DE-SEC $20,000
AXA Equitable Life Insurance Co. AXA insurance violation 2018 DE-INS $5,000
T.H.E. INSURANCE COMPANY AXA insurance violation 2001 FL-OFR $15,000
The Equitable Life Assurance Society of the United States AXA insurance violation 2003 FL-OFR $1,600,000
Axa Re Property and Casualty Insurance Co. AXA insurance violation 2005 FL-OFR $15,000
Axa Insurance Co. AXA insurance violation 2019 LA-INS $6,000
AXA Equitable Life Insurance Co. et al. AXA insurance violation 2016 MN-FIN $900,000
AXA Equitable Life Insurance Co. AXA insurance violation 2016 MN-FIN $5,000
AXA Advisors, LLC AXA investor protection violation 2010 MO-SEC $92,015
XL Specialty Insurance Co. AXA insurance violation 2012 MO-INS $21,000
AXA Equitable Life & Annuity Co. AXA insurance violation 2016 MT-INS $5,000
AXA Equitable Life Insurance Company AXA insurance violation 2010 NY-DFS $1,900,000
AXA Equitable AXA insurance violation 2014 NY-DFS $20,000,000
AXA Art Insurance Corporation AXA insurance violation 2015 NY-DFS $70,000
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