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 (maximum 10,000; for access to larger downloads contact Phil Mattera)
Company Parent Primary Offense Type Year Agency Penalty Amountsort icon
Bear, Stearns & Co., Inc. JPMorgan Chase investor protection violation 2005 IL-SEC $10,000
Edward D. Jones & Co., L.P. Jones Financial investor protection violation 2011 IN-SEC $10,000
Continental Western Insurance Co. W.R. Berkley insurance violation 2008 KS-INS $10,000
The Travelers Indemnity Co. et al. Travelers insurance violation 2010 KS-INS $10,000
Allstate Fire and Casualty Co. Allstate insurance violation 2014 KS-INS $10,000
State Farm Fire and Casualty Co. State Farm Insurance insurance violation 2015 KS-INS $10,000
Auto-Owners (Mutual) Insurance Co. and Owners Insurance Co. Auto-Owners Insurance insurance violation 2019 KS-INS $10,000
Bankers Life and Casualty Co. CNO Financial insurance violation 2017 LA-INS $10,000
The Lincoln National Life Insurance Co. Lincoln National insurance violation 2019 LA-INS $10,000
Banc of America Investment Services, Inc. Bank of America investor protection violation 2008 MD-SEC $10,000
Allstate Indemnity Co. et al. Allstate insurance violation 2010 MD-INS $10,000
Bankers Life and Casualty Co. CNO Financial insurance violation 2011 MD-INS $10,000
AMEX Assurance Co. American Express insurance violation 2011 MD-INS $10,000
State Farm Mutual Automobile Insurance Co. et al. State Farm Insurance insurance violation 2011 MD-INS $10,000
Praetorian Insurance Co. and Redland Insurance Co. QBE Insurance insurance violation 2011 MD-INS $10,000
Praetorian Insurance Co. and Stonington Insurance Co. QBE Insurance insurance violation 2013 MD-INS $10,000
Foremost Insurance Company Grand Rapids, Michigan Zurich Insurance insurance violation 2014 MD-INS $10,000
The Standard Fire Insurance Co. Travelers insurance violation 2015 MD-INS $10,000
Commonwealth Land Title Insurance Co. Fidelity National Financial insurance violation 2015 MD-INS $10,000
Forethought Life Insurance Co. Global Atlantic Financial Group insurance violation 2016 MD-INS $10,000
Twin City Fire Insurance Co. et al. Hartford Financial Services insurance violation 2016 MD-INS $10,000
Farmers Insurance Exchange Farmers Insurance Exchange insurance violation 2016 MD-INS $10,000
Travelers Commercial Insurance Co. et al. Travelers insurance violation 2017 MD-INS $10,000
QBE Insurance Co. and Praetorian Insurance Co. QBE Insurance insurance violation 2017 MD-INS $10,000
Conseco Health Insurance Co. CNO Financial insurance violation 2004 ME-INS $10,000
Edward D. Jones & Co., L.P. Jones Financial investor protection violation 2010 ME-SEC $10,000
Metropolitan Property and Casualty Insurance Co. et al. MetLife insurance violation 2001 MN-FIN $10,000
Allstate Insurance Co. Allstate insurance violation 2001 MN-FIN $10,000
Fortis Insurance Co. and John Alden Life Insurance Co. Assurant insurance violation 2002 MN-FIN $10,000
American Family Mutual Insurance Co. American Family Insurance insurance violation 2002 MN-FIN $10,000
Illinois Farmers Insurance Co. Zurich Insurance insurance violation 2003 MN-FIN $10,000
Metropolitan Life Insurance Co. MetLife insurance violation 2003 MN-FIN $10,000
Berthel Fisher & Company Berthel Fisher investor protection violation 2003 MN-FIN $10,000
Fortis Insurance Co. Assurant insurance violation 2005 MN-FIN $10,000
Metropolitan Property and Casualty Insurance Co. MetLife insurance violation 2012 MN-FIN $10,000
Allstate Insurance Co. Allstate insurance violation 2014 MN-FIN $10,000
United States Fire Insurance Co. Fairfax Financial Holdings insurance violation 2014 MN-FIN $10,000
Farmers Insurance Exchange Farmers Insurance Exchange insurance violation 2015 MN-FIN $10,000
American General Life Insurance Co. American International Group insurance violation 2015 MN-FIN $10,000
Chicago Title Insurance Co. Fidelity National Financial insurance violation 2015 MN-FIN $10,000
The Lincoln National Life Insurance Co. Lincoln National insurance violation 2016 MN-FIN $10,000
Travelers Home and Marine Insurance Co. Travelers insurance violation 2016 MN-FIN $10,000
Auto-Owners Insurance Co. Auto-Owners Insurance insurance violation 2016 MN-FIN $10,000
Safeco Surplus Lines Insurance Co. Liberty Mutual Insurance insurance violation 2017 MN-FIN $10,000
Bankers Life and Casualty Co. and Colonial Penn Life Insurance Co. CNO Financial insurance violation 2018 MN-FIN $10,000
Lincoln National Life Insurance Co. Lincoln National insurance violation 2019 MN-FIN $10,000
Austin Mutual Insurance Co. American Family Insurance insurance violation 2019 MN-FIN $10,000
The Travelers Indemnity Co. Travelers insurance violation 2019 MN-FIN $10,000
American Modern Home Insurance Co. Munich Re insurance violation 2015 MO-INS $10,000
Safety National Casualty Corp. Tokio Marine insurance violation 2008 MS-INS $10,000
Allstate Fire and Casualty Insurance Co. et al. Allstate insurance violation 2017 MT-INS $10,000
Austin Mutual Insurance Company American Family Insurance insurance violation 2014 ND-INS $10,000
Cadaret, Grant & Co., Inc. Atria Wealth Solutions investor protection violation 2008 NE-DBF $10,000
Ameriprise Financial Services Inc. Ameriprise Financial consumer protection violation 2013 NE-DBF $10,000
Moneygram International MoneyGram International consumer protection violation 2007 NH-BKG $10,000
Seterus, Inc. Mr. Cooper Group consumer protection violation 2014 NH-BKG $10,000
AON Risk Services Inc Aon insurance violation 2004 NJ-DBI $10,000
21st Century National Insurance Company Zurich Insurance insurance violation 2010 NJ-DBI $10,000
Praetorian Insurance Company QBE Insurance insurance violation 2012 NJ-DBI $10,000
Lincoln National Life Insurance Company Lincoln National insurance violation 2015 NJ-DBI $10,000
Genworth Life Insurance Company Genworth Financial insurance violation 2019 NJ-DBI $10,000
Ocwen Loan Servicing LLC Ocwen Financial consumer protection violation 2009 OH-BKG $10,000
Allied Home Mortgage Capital Corporation Americus Mortgage consumer protection violation 2009 NY-DFS $10,000
Investment Professionals Inc. Ameriprise Financial insurance violation 2014 NY-DFS $10,000
Virginia Surety Company, Inc. Assurant insurance violation 2015 NY-DFS $10,000
USAA Life Insurance Company of New York USAA insurance violation 2016 NY-DFS $10,000
Waddell & Reed Inc. Waddell & Reed Financial Inc. investor protection violation 2008 OK-SEC $10,000
Nationwide Mutual Insurance Company Nationwide insurance violation 2000 OR-FIN $10,000
Great American Life Insurance Company American Financial Group insurance violation 2002 OR-FIN $10,000
AIU Insurance Company American International Group insurance violation 2002 OR-FIN $10,000
Jackson National Life Insurance Company Prudential (UK) insurance violation 2002 OR-FIN $10,000
American Family Mutual Insurance Company American Family Insurance insurance violation 2003 OR-FIN $10,000
Combined Insurance Company of America Chubb Limited insurance violation 2004 OR-FIN $10,000
ING Life Insurance and Annuity Company Voya Financial insurance violation 2004 OR-FIN $10,000
AIG Life Insurance Company American International Group insurance violation 2006 OR-FIN $10,000
Progressive Northern Insurance Company Progressive insurance violation 2006 OR-FIN $10,000
John Alden Life Insurance Company Assurant insurance violation 2007 OR-FIN $10,000
Reliance Standard Life Insurance Company Tokio Marine insurance violation 2007 OR-FIN $10,000
Nationwide Mutual Insurance Company Nationwide insurance violation 2007 OR-FIN $10,000
American Home Assurance Company American International Group insurance violation 2007 OR-FIN $10,000
Commerce and Industry Insurance Company American International Group insurance violation 2007 OR-FIN $10,000
The Insurance Company of the State of Pennsylvania American International Group insurance violation 2007 OR-FIN $10,000
Farmers Insurance Company of Oregon Zurich Insurance insurance violation 2007 OR-FIN $10,000
Virginia Surety Company, Inc. Assurant insurance violation 2009 OR-FIN $10,000
Farmers Insurance Company of Oregon Zurich Insurance insurance violation 2009 OR-FIN $10,000
Insurance Company of the State of Pennsylvania American International Group insurance violation 2012 OR-FIN $10,000
Progressive Universal Insurance Company et al. Progressive insurance violation 2017 OR-FIN $10,000
Bristol West Insurance Company Zurich Insurance insurance violation 2004 PA-INS $10,000
Northwestern Mutual Investment Services Northwestern Mutual insurance violation 2006 PA-INS $10,000
Freedom Mortgage Corporation dba Jefferson Home Mortgage and Loan Freedom Mortgage consumer protection violation 2010 PA-BKG $10,000
Allied Home Mortgage Corporation et al. Americus Mortgage consumer protection violation 2012 PA-BKG $10,000
QBE Insurance Corporation QBE Insurance insurance violation 2015 PA-INS $10,000
Janney Montgomery Scott LLC Penn Mutual investor protection violation 2016 PA-BKG $10,000
AGCS Marine Insurance Company Allianz insurance violation 2016 PA-INS $10,000
Nationwide Mutual Insurance Company Nationwide insurance violation 2017 PA-INS $10,000
AIG National Insurance Company American International Group insurance violation 2008 RI-FIN $10,000
Allstate Insurance Company Allstate insurance violation 2016 RI-FIN $10,000
Progressive Casualty Insurance Company Progressive insurance violation 2019 RI-FIN $10,000
Standard Fire Insurance Company Travelers insurance violation 2000 SC-INS $10,000
Liberty Life Insurance Company Athene Holding insurance violation 2001 SC-INS $10,000
United States Fire Insurance Company Fairfax Financial Holdings insurance violation 2012 SC-INS $10,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)