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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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 Current Parent CompaniesTotal Penalty $Number of Records
Bank of America$87,286,650,890328
JPMorgan Chase$39,340,688,209275
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,780,502,443203
BNP Paribas$10,363,464,66623

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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CompanyCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount sort icon
Arch Indemnity Insurance CompanyArch Capitalinsurance violation2022TX-INS$19,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2023TX-INS$19,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2023TX-INS$19,000
Safety National Casualty Corp.Tokio Marineinsurance violation2023TX-INS$19,000
Accident Fund National Insurance CompanyAF Groupinsurance violation2018TX-INS$19,100
JP Morgan Chase Bank, NAJPMorgan Chaseexport control violation2010BIS$19,125
Branch Banking & Trust Co.Truist Financialeconomic sanction violation2014OFAC$19,125
Compass BankPNC Financial Serviceseconomic sanction violation2013OFAC$19,125
Big Cajun 2 - Louisiana Generating LLCMacquarieenvironmental violation2005EPA$19,250
Privilege Underwriters Reciprocal ExchangeTokio Marineinsurance violation2021VA-INS$19,295
Erie Insurance Company and Erie Insurance ExchangeErie Indemnityinsurance violation2020VA-INS$19,371
JPMorgan Chase BankJPMorgan Chasewage and hour violation2004WHD$19,373
The Travelers Indemnity CompanyTravelersinsurance violation2014TX-INS$19,442
Equitable Life & Casualty Insurance CompanyEquitable Holdingswage and hour violation2008WHD$19,445
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2010KY-FIN$19,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2015TX-INS$19,500
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2018TX-INS$19,500
Ace American Insurance Co.Chubb Limitedinsurance violation2020TX-INS$19,500
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2021TX-INS$19,500
Ace American Insurance CompanyChubb Limitedinsurance violation2022TX-INS$19,500
Mitsui Sumitomo Insurance Company of AmericaMS&AD Insuranceinsurance violation2022TX-INS$19,500
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2023TX-INS$19,500
GRANITE STATE INSURANCE CO.American International Groupinsurance violation2012VA-INS$19,560
Transamerica Premier Life Insurance Co.Aegoninsurance violation2018MA-AG$19,647
United American Insurance CompanyGlobe Life Inc.wage and hour violation2012WHD$19,791
Deutsche Bank Trust Company AmericasDeutsche Bankeconomic sanction violation2013OFAC$19,800
Progressive Casualty Insurance Co. et al.Progressiveinsurance violation2004KS-INS$19,800
Accident Fund Insurance Company of AmericaAF Groupinsurance violation2018TX-INS$19,800
ANDERSON LAChatham Asset Managementworkplace safety or health violation2014OSHA$19,875
Santander Bank & Trust (Bahamas) LtdBanco Santandereconomic sanction violation2004OFAC$20,000
First National Bank of OmahaFirst National of Nebraskabanking violation2005OCC$20,000
Mitsubishi UFJ Securities (USA), Inc.Mitsubishi UFJ Financial Groupinvestor protection violation2016SEC$20,000
Fifth Third Securities, Inc.Fifth Third Bancorpinvestor protection violation2015SEC$20,000
Fahnestock & Co., Inc.Oppenheimer Holdingsinvestor protection violation2000SEC$20,000
American Bankers Insurance Co.Assurantconsumer protection violation2006MA-AG$20,000
Liberty Mutual Insurance Co.Liberty Mutual Insuranceconsumer protection violation2010MA-AG$20,000
Metropolitan Property & CasualtyZurich Insuranceconsumer protection violation2010MA-AG$20,000
Peerless Insurance Co.Liberty Mutual Insuranceconsumer protection violation2010MA-AG$20,000
The Guardian Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2007MA-AG$20,000
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2019AK-INS$20,000
Morgan Keegan & Co.Raymond James Financialinvestor protection violation2017AL-SEC$20,000
American Express Prepaid Card Management Corp.American Expressconsumer protection violation2010AR-SEC$20,000
CitiMortgage, Inc.Citigroupconsumer protection violation2014AR-SEC$20,000
Titan Indemnity Co.Nationwideinsurance violation2010AZ-DIFI$20,000
Sentry Insurance A Mutual Co.Sentry Insuranceinsurance violation2015AZ-DIFI$20,000
Amco Insurance Co. and Allied Property and Casualty Insurance Co.Nationwideinsurance violation2005CA-INS$20,000
AllianceBernstein L.P.Equitable Holdingsinvestor protection violation2012DE-SEC$20,000
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2019DE-INS$20,000
Sagamore Insurance Co.Progressiveinsurance violation2001KS-INS$20,000
Farmers Insurance Company, Inc.Zurich Insuranceinsurance violation2016KS-INS$20,000
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2016KS-INS$20,000
PennyMac Loan Services, LLCPennyMac Financial Servicesconsumer protection violation2015KY-FIN$20,000
Fireman's Fund Insurance CompanyAllianzinsurance violation2002MA-INS$20,000
Titan Indemnity Co. and Victoria Fire and Casualty Co.Nationwideinsurance violation2011MD-INS$20,000
Homesite Insurance Company of the MidwestAmerican Family Insuranceinsurance violation2013MD-INS$20,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2015MD-INS$20,000
Allied Property And Casualty Insurance Co. et al.Nationwideinsurance violation2016MD-INS$20,000
Crum & Forster Indemnity Co.Fairfax Financial Holdingsinsurance violation2018MD-INS$20,000
National Union Fire Insurance Company of Pittsburgh, Pennsylvania et al.American International Groupinsurance violation2020MD-INS$20,000
John Alden Life Insurance Co.Assurantinsurance violation2004ME-INS$20,000
American Family Life Assurance Company of ColumbusAflacinsurance violation2011ME-INS$20,000
Illinois Farmers Insurance Co.Zurich Insuranceinsurance violation2003MN-FIN$20,000
AMCO Insurance Co.Nationwideinsurance violation2013MN-FIN$20,000
QBE Insurance Co.QBE Insuranceinsurance violation2014MN-FIN$20,000
ServiceLink, LLCFidelity National Financialinsurance violation2014MN-FIN$20,000
Bristol West Casualty Insurance Co.Zurich Insuranceinsurance violation2017MN-FIN$20,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2009MO-SEC$20,000
Travelers Indemnity Company of AmericaTravelersinsurance violation2016MO-INS$20,000
Liberty Insurance Corp. et al.Liberty Mutual Insuranceinsurance violation2017MO-INS$20,000
Federal Insurance Co.Chubb Limitedinsurance violation2018MT-FIN$20,000
Berthel Fisher and Company Financial Services Inc.Berthel Fisherinvestor protection violation2004ND-SEC$20,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2004ND-SEC$20,000
A.G. Edwards & Sons Inc.Wells Fargoinvestor protection violation2003NE-DBF$20,000
Virginia Surety Company Inc.Assurantinsurance violation2010NH-INS$20,000
Chicago Title Insurance CompanyFidelity National Financialinsurance violation2008NJ-DBI$20,000
Amica Mutual Insurance CompanyAmica Mutual Insuranceinsurance violation2018NY-DFS$20,000
Fortis Insurance CompanyAssurantinsurance violation2003OR-FIN$20,000
United States Life Insurance Company in the City of New YorkAmerican International Groupinsurance violation2006OR-FIN$20,000
Farmers Insurance Company of OregonZurich Insuranceinsurance violation2007OR-FIN$20,000
Mid-Century Insurance CompanyZurich Insuranceinsurance violation2007OR-FIN$20,000
American Home Assurance CompanyAmerican International Groupconsumer protection violation2012OR-FIN$20,000
Commerce and Industry Insurance CompanyAmerican International Groupinsurance violation2012OR-FIN$20,000
Great American Insurance CompanyAmerican Financial Groupinsurance violation2004PA-INS$20,000
Empire Fire & Marine Insurance CompanyZurich Insuranceinsurance violation2006PA-INS$20,000
Morgan Keegan & Co. Inc.Raymond James Financialinvestor protection violation2010RI-FIN$20,000
Travelers Property Casualty Company of AmericaTravelersinsurance violation2010TX-INS$20,000
Praetorian Insurance CompanyQBE Insuranceinsurance violation2014TX-INS$20,000
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2015TX-INS$20,000
Metropolitan Life Insurance CompanyMetLifeinsurance violation2015TX-INS$20,000
Sentry InsuranceSentry Insuranceinsurance violation2015TX-INS$20,000
Praetorian Insurance CompanyQBE Insuranceinsurance violation2015TX-INS$20,000
American Home Assurance CompanyAmerican International Groupinsurance violation2016TX-INS$20,000
American Fire and Casualty CoLiberty Mutual Insuranceinsurance violation2016TX-INS$20,000
Accident Fund Insurance Company of AmericaAF Groupinsurance violation2017TX-INS$20,000
Trumbull Insurance CompanyHartford Financial Servicesinsurance violation2018TX-INS$20,000
Commerce and Industry Insurance CompanyAmerican International Groupinsurance violation2018TX-INS$20,000
The Travelers Indemnity Company of ConnecticutTravelersinsurance violation2018TX-INS$20,000
The Hanover Insurance CompanyHanover Insuranceinsurance violation2019TX-INS$20,000
Standard Fire Insurance CompanyTravelersinsurance violation2019TX-INS$20,000
FIDELITY & GUARANTY LIFE INSURANCEFidelity National Financialinsurance violation2003VA-INS$20,000
BRISTOL WEST INSURANCE COMPANYZurich Insuranceinsurance violation2006VA-INS$20,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.