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
United States Fire Insurance Company Fairfax Financial Holdings insurance violation 2012 SC-INS $10,000
Allstate Vehicle and Property Insurance Company Allstate insurance violation 2018 SC-INS $10,000
Guardian Life Insurance Company of America Guardian Life Insurance insurance violation 2018 SC-INS $10,000
Hartford Accident and Indemnity Hartford Financial Services insurance violation 2014 SD-INS $10,000
Nationwide Life Insurance Company Nationwide insurance violation 2015 SD-INS $10,000
Standard Life & Accident Insurance Company American National Insurance insurance violation 2016 SD-INS $10,000
Hartford Accident and Indemnity Hartford Financial Services insurance violation 2016 SD-INS $10,000
Hartford Life and Accident Insurance Company Hartford Financial Services insurance violation 2018 SD-INS $10,000
Transamerica Life Insurance Company Aegon insurance violation 2018 SD-INS $10,000
Edward D. Jones & Co. L.P. Jones Financial investor protection violation 2019 SD-INS $10,000
MONY Securities Corporation AXA investor protection violation 2003 TN-SEC $10,000
Selective Insurance Company of South Carolina Selective Insurance Group insurance violation 2014 TN-INS $10,000
Broadspire Services Inc. Crawford & Co. insurance violation 2016 TN-INS $10,000
Pruco Securities LLC Prudential Financial investor protection violation 2004 TX-SEC $10,000
Sentinel Insurance Company Ltd. Hartford Financial Services insurance violation 2010 TX-INS $10,000
Trumbull Insurance Company Hartford Financial Services insurance violation 2010 TX-INS $10,000
Zurich American Insurance Company Zurich Insurance insurance violation 2011 TX-INS $10,000
Travelers Casualty Insurance Company of America Travelers insurance violation 2014 TX-INS $10,000
Arch Insurance Company Arch Capital insurance violation 2014 TX-INS $10,000
Travelers Indemnity Company Travelers insurance violation 2015 TX-INS $10,000
The Travelers Indemnity Company Travelers insurance violation 2015 TX-INS $10,000
Unitrin County Mutual Insurance Company Kemper insurance violation 2016 TX-INS $10,000
Protective Insurance Company Protective Insurance Corp. insurance violation 2017 TX-INS $10,000
Travelers Lloyds of Texas Insurance Company Travelers insurance violation 2017 TX-INS $10,000
Amica Mutual Insurance Company Amica Mutual Insurance insurance violation 2018 TX-INS $10,000
LM Insurance Corporation Liberty Mutual Insurance insurance violation 2018 TX-INS $10,000
National Interstate Insurance Company American Financial Group insurance violation 2018 TX-INS $10,000
Hartford Insurance Company of the Midwest Hartford Financial Services insurance violation 2019 TX-INS $10,000
Liberty Mutual Insurance Company Liberty Mutual Insurance insurance violation 2019 TX-INS $10,000
Hartford Insurance Company of the Midwest Hartford Financial Services insurance violation 2019 TX-INS $10,000
Globe Life and Accident Insurance Company Globe Life Inc. insurance violation 2013 UT-INS $10,000
Liberty Mutual General Insurance Company Liberty Mutual Insurance insurance violation 2016 UT-INS $10,000
UNITED AMERICAN INSURANCE CO. Globe Life Inc. insurance violation 2002 VA-INS $10,000
ALLSTATE INSURANCE COMPANY Allstate insurance violation 2002 VA-INS $10,000
PRINCIPAL LIFE INSURANCE CO Principal Financial insurance violation 2003 VA-INS $10,000
PROTECTIVE LIFE INSURANCE CO. Dai-ichi Life insurance violation 2004 VA-INS $10,000
GENERAL AMERICAN LIFE INSURANCE MetLife insurance violation 2006 VA-INS $10,000
XL LIFE INSURANCE AND ANNUITY AXA insurance violation 2006 VA-INS $10,000
AIG CASUALTY INSURANCE CO., ET AL. American International Group insurance violation 2008 VA-INS $10,000
Group Hospitalization and Medical Services, Inc. CareFirst of Maryland insurance violation 2008 VA-INS $10,000
Auto-Owners Insurance Company and Owners Insurance Company Auto-Owners Insurance insurance violation 2011 VA-INS $10,000
CAROLINA CASUALTY INSURANCE CO W.R. Berkley insurance violation 2011 VA-INS $10,000
National Union Fire Insurance Company of Pittsburgh, PA American International Group insurance violation 2011 VA-INS $10,000
National Union Fire Insurance Company of Pittsburgh, PA American International Group insurance violation 2011 VA-INS $10,000
American Family Life Assurance Company of Columbus Aflac insurance violation 2013 VA-INS $10,000
SELECTIVE INSURANCE CO. ET AL. Selective Insurance Group insurance violation 2018 VA-INS $10,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2019 VA-SEC $10,000
Lincoln Financial Securities Corporation Lincoln National investor protection violation 2010 VT-FIN $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
Metropolitan Life Insurance Company MetLife insurance violation 2011 WA-INS $10,000
Chicago Title Insurance Company Fidelity National Financial insurance violation 2011 WA-INS $10,000
Lifewise Health Plan Of Washington Premera Blue Cross insurance violation 2011 WA-INS $10,000
American National General Insurance Company American National Insurance insurance violation 2012 WA-INS $10,000
Premera Blue Cross Premera Blue Cross insurance violation 2012 WA-INS $10,000
Premera Blue Cross Premera Blue Cross insurance violation 2012 WA-INS $10,000
Farmers Insurance Company Of Washington And Farmers Insurance Exchange Zurich Insurance insurance violation 2012 WA-INS $10,000
American Family Mutual Insurance Company S.I. American Family Insurance insurance violation 2013 WA-INS $10,000
American Alternative Insurance Corporation et al. Munich Re insurance violation 2013 WA-INS $10,000
Hartford Fire Insurance Company And Twin City Fire Insurance Company Hartford Financial Services insurance violation 2013 WA-INS $10,000
Fidelity & Guaranty Life Insurance Company FGL Holdings insurance violation 2014 WA-INS $10,000
Time Insurance Company Ii Haven Holdings insurance violation 2015 WA-INS $10,000
Transamerica Casualty Insurance Company Aegon insurance violation 2015 WA-INS $10,000
Allstate Indemnity Company et al. Allstate insurance violation 2015 WA-INS $10,000
American Family Mutual Insurance Company S.I. American Family Insurance insurance violation 2015 WA-INS $10,000
Qbe Insurance Corporation QBE Insurance insurance violation 2016 WA-INS $10,000
American Family Connect Property And Casualty Insurance Company American Family Insurance insurance violation 2016 WA-INS $10,000
State Farm Fire & Casualty Company State Farm Insurance insurance violation 2017 WA-INS $10,000
Farmers Insurance Company Of Washington Zurich Insurance insurance violation 2017 WA-INS $10,000
Hartford Insurance Company The Midwest Hartford Financial Services insurance violation 2017 WA-INS $10,000
United States Fire Insurance Company Fairfax Financial Holdings insurance violation 2017 WA-INS $10,000
Ameritas Life Insurance Corp Ameritas Mutual Holding Company insurance violation 2017 WA-INS $10,000
Depositors Insurance Company Nationwide insurance violation 2017 WA-INS $10,000
Berkley National Insurance Company W.R. Berkley insurance violation 2018 WA-INS $10,000
Ticor Title Company Fidelity National Financial insurance violation 2018 WA-INS $10,000
Athene Annuity And Life Company Athene Holding insurance violation 2018 WA-INS $10,000
American Strategic Insurance Corp Progressive insurance violation 2018 WA-INS $10,000
American Family Mutual Insurance Company S.I. American Family Insurance insurance violation 2018 WA-INS $10,000
State Farm Life Insurance Company State Farm Insurance insurance violation 2018 WA-INS $10,000
American Automobile Insurance Company Allianz insurance violation 2018 WA-INS $10,000
American General Life Insurance Company American International Group insurance violation 2020 WA-INS $10,000
National Union Fire Ins Co. of Pittsburgh American International Group insurance violation 2003 WI-INS $10,000
National Union Fire Ins Co. of Pittsburgh American International Group insurance violation 2003 WI-INS $10,000
Universal Underwriters Service Corp. Zurich Insurance insurance violation 2008 WI-INS $10,000
FARMERS INSURANCE EXCHANGE Farmers Insurance Exchange workplace safety or health violation 2009 OSHA $10,000
WHEELABRATOR SHASTA ENERGY CO, INC Macquarie workplace safety or health violation 2010 OSHA $10,000
MORGAN STANLEY Morgan Stanley environmental violation 2014 EPA $10,000
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $10,000
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $10,000
Bowie Resources LLC Trafigura workplace safety or health violation 2013 MSHA $10,000
Bowie Resources LLC Trafigura workplace safety or health violation 2013 MSHA $10,000
Bowie Resources LLC Trafigura workplace safety or health violation 2013 MSHA $10,000
Bowie Resources LLC Trafigura workplace safety or health violation 2013 MSHA $10,000
Bowie Resources LLC Trafigura workplace safety or health violation 2013 MSHA $10,000
Bowie Resources LLC Trafigura workplace safety or health violation 2013 MSHA $10,000
Bowie Resources LLC Trafigura workplace safety or health violation 2013 MSHA $10,000
Nationwide Life Insurance Co. Nationwide insurance violation 2020 CT-INS $10,000
Travelers Property Casualty Co. of America Travelers insurance violation 2020 TX-INS $10,000
Sentinel Insurance Company, Ltd. Hartford Financial Services insurance violation 2020 TX-INS $10,000
Arch Insurance Co. Arch Capital insurance violation 2020 WA-INS $10,000
FIRST NIAGARA FINANCIAL GROUP, INC. KeyCorp benefit plan administrator violation 2011 EBSA $10,001
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)