Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$336,354,784,532
Number of Records: 
7,048
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$82,901,469,908264
JPMorgan Chase$36,060,746,133196
Citigroup$25,540,645,217156
Wells Fargo$21,874,892,841221
Deutsche Bank$18,341,457,30276
UBS$16,854,236,33499
Goldman Sachs$16,386,580,99666
NatWest Group PLC$13,516,771,85733
BNP Paribas$12,147,863,95019
Credit Suisse$10,732,400,12649


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 Yearsort icon Agency Penalty Amount
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2022 CA-MHC $89,000
Oscar Health Plan of California Mulberry Health insurance violation 2022 CA-MHC $10,000
California Physicians' Service California Physicians' Service Medicare Parts C and D Enforcement Action 2022 CMS $40,282
First Midwest Bank Old National Bancorp banking violation 2022 FED $253,500
Credit Suisse Securities Credit Suisse investor protection violation 2022 FINRA $9,000,000
Santander Consumer USA Banco Santander consumer protection violation 2022 MA-AG $5,560,000
Mutual of Omaha Mortgage, Inc. Mutual of Omaha consumer protection violation 2022 MA-BKG $25,000
Stewart Title Guaranty Company Stewart Information Services insurance violation 2022 MD-INS $123,105
Navient Navient consumer protection violation 2022 MULTI-AG $1,850,000,000
American Family Mutual Insurance Co. American Family Insurance insurance violation 2022 MULTI-FIN $1,950,000
Interactive Brokers LLC Interactive Brokers Group investor protection violation 2022 OK-SEC $15,000
United States Fire Insurance Company Fairfax Financial Holdings insurance violation 2022 RI-FIN $10,000
Ameritas Advisory Services, LLC Ameritas Mutual Holding Company investor protection violation 2022 SEC $4,628,194
Ace American Insurance Company Chubb Limited insurance violation 2022 TX-INS $19,500
National Union Fire Insurance Company of Pittsburgh, PA American International Group insurance violation 2022 TX-INS $10,000
Arthur J. Gallagher Risk Management Services, Inc. Arthur J. Gallagher & Co. insurance violation 2022 TX-INS $10,950
American Zurich Insurance Company Zurich Insurance insurance violation 2022 TX-INS $6,000
Chubb Seguros Mexico, S.A. Chubb Limited insurance violation 2022 TX-INS $100,000
Philadelphia Indemnity Insurance Company Tokio Marine insurance violation 2022 TX-INS $40,000
Ameritas Life Insurance Corp. Ameritas Mutual Holding Company insurance violation 2022 WA-INS $40,000
Allstate Vehicle And Property Insurance Company Allstate insurance violation 2022 WA-INS $25,000
American Family Mutual Insurance Company S.I. American Family Insurance insurance violation 2022 WA-INS $25,000
American Family Insurance Company American Family Insurance insurance violation 2022 WA-INS $25,000
Homesite Insurance Company American Family Insurance insurance violation 2022 WA-INS $50,000
Solium Financial Services Morgan Stanley investor protection violation 2021 DC-DISB $9,879
JPMorgan Chase Bank JPMorgan Chase discriminatory practices (non-employment) 2021 HUD $50,000
New York Life Insurance & Annuity Corporation New York Life Insurance consumer protection violation 2021 NY-DFS $10,929,000
First American Title Co. First American Financial insurance violation 2021 CA-INS $50,000
California Physicians' Service dba. Blue Shield of California California Physicians' Service insurance violation 2021 CA-MHC $5,000
Oscar Health Plan of California Mulberry Health insurance violation 2021 CA-MHC $75,000
John Hancock Life Insurance Co. Manulife Financial insurance violation 2021 DE-INS $5,000
Deutsche Bank Deutsche Bank Foreign Corrupt Practices Act 2021 DOJ_CRIMINAL $87,091,424
Capital One, National Association Capital One Financial anti-money-laundering deficiencies 2021 FINCEN $290,000,000
Safeco Insurance Company of America Liberty Mutual Insurance insurance violation 2021 MN-FIN $10,000
Citibank Citigroup consumer protection violation 2021 MULTI-AG $4,200,000
E*Trade Securities LLC Morgan Stanley investor protection violation 2021 NH-BSR $5,000
American International Group American International Group insurance violation 2021 NY-DFS $12,000,000
Liberty Northwest Insurance Corp. Liberty Mutual Insurance insurance violation 2021 OR-FIN $5,000
Safeco Insurance Company of Oregon Liberty Mutual Insurance insurance violation 2021 OR-FIN $5,000
Deutsche Bank AG Deutsche Bank Foreign Corrupt Practices Act 2021 SEC $43,000,000
Nationwide Mutual Insurance Company et al. Nationwide insurance violation 2021 TX-INS $75,000
Farmers Insurance Exchange and Truck Insurance Exchange Farmers Insurance Exchange insurance violation 2021 VA-INS $15,950
CMFG Life Insurance Company CUNA Mutual insurance violation 2021 VA-INS $7,500
Northwestern Mutual Life Insurance Co. Northwestern Mutual insurance violation 2021 VT-FIN $287,000
Travelers Home and Marine Insurance Company Travelers insurance violation 2021 WA-INS $10,000
Wells Fargo & Co. Wells Fargo employment discrimination 2021 private lawsuit-federal $18,700,000
Aon Hewitt Health Market Insurance Solutions, Inc. Aon wage and hour violation 2021 private lawsuit-federal $1,250,000
BB&T Equipment Finance LLC Truist Financial consumer protection violation 2021 CA-DFPI $75,000
California Physicians' Service California Physicians' Service insurance violation 2021 CA-MHC $5,000
California Physicians' Service California Physicians' Service insurance violation 2021 CA-MHC $10,000
California Physicians' Service California Physicians' Service insurance violation 2021 CA-MHC $5,000
California Physicians' Service California Physicians' Service insurance violation 2021 CA-MHC $10,000
California Physicians' Service California Physicians' Service insurance violation 2021 CA-MHC $5,000
California Physicians' Service California Physicians' Service insurance violation 2021 CA-MHC $5,000
California Physicians' Service California Physicians' Service insurance violation 2021 CA-MHC $7,500
California Physicians' Service California Physicians' Service insurance violation 2021 CA-MHC $5,000
California Physicians' Service California Physicians' Service insurance violation 2021 CA-MHC $5,000
Oscar Health Plan of California Mulberry Health insurance violation 2021 CA-MHC $10,000
Oscar Health Plan of California Mulberry Health insurance violation 2021 CA-MHC $30,000
E-Trade Financial Corporate Services, Inc. Morgan Stanley consumer protection violation 2021 CT-BKG $10,000
Prudential Retirement Insurance and Annuity Company Prudential Financial insurance violation 2021 CT-INS $300,000
AMERICAN HEALTH AND LIFE INSURANCE COMPANY OneMain Holdings insurance violation 2021 MO-INS $7,500
TRANSAMERICA LIFE INSURANCE COMPANY Aegon insurance violation 2021 MO-INS $11,000
USAA Casualty Insurance Company et al. USAA insurance violation 2021 NH-INS $25,000
IMTT - BAYONNE Macquarie environmental violation 2021 NJ-ENV $10,000
First Unum Life Insurance Company of America and Paul Revere Life Insurance Company Unum privacy violation 2021 NY-DFS $1,800,000
American Family Connect Insurance Company American Family Insurance insurance violation 2021 NY-DFS $23,000
Erie Insurance Company of New York Erie Indemnity insurance violation 2021 NY-DFS $22,000
Farmers Insurance Zurich Insurance insurance violation 2021 OK-AG $25,000,000
Ameritas Investment Corp. Ameritas Mutual Holding Company investor protection violation 2021 SD-SEC $20,000
Ace American Insurance Company Chubb Limited insurance violation 2021 UT-INS $41,500
Transamerica Premier Life Insurance Company Aegon insurance violation 2021 VT-FIN $84,000
Metropolitan Property and Casualty Insurance Company Zurich Insurance insurance violation 2021 VT-FIN $13,000
United Services Automobile Association et al. USAA insurance violation 2021 VA-INS $10,000
LIFEWISE HEALTH PLAN OF WASHINGTON Premera Blue Cross insurance violation 2021 WA-INS $20,000
PREMERA BLUE CROSS Premera Blue Cross insurance violation 2021 WA-INS $10,000
AMERICAN FAMILY INSURANCE COMPANY American Family Insurance insurance violation 2021 WA-INS $50,000
HSBC SECURITIES USA INC HSBC insurance violation 2021 WA-INS $10,000
STANDARD FIRE INSURANCE COMPANY Travelers insurance violation 2021 WA-INS $5,000
AMERICAN NATIONAL PROPERTY AND CASUALTY COMPANY American National Insurance insurance violation 2021 WA-INS $5,000
ALLIED PROPERTY AND CASUALTY INSURANCE COMPANY ET AL. Nationwide insurance violation 2021 WA-INS $20,000
NATIONAL CASUALTY COMPANY Nationwide insurance violation 2021 WA-INS $50,000
State Farm Fire & Casualty Co State Farm Insurance insurance violation 2021 WI-INS $10,000
OCWEN FINANCIAL CORPORATION Ocwen Financial benefit plan administrator violation 2021 EBSA $50,000
Bank of the West BNP Paribas banking violation 2021 FDIC $281,000
Bryn Mawr Trust Company WSFS Financial Corp. banking violation 2021 FED $105,000
Wells Fargo Bank Wells Fargo discriminatory practices (non-employment) 2021 HUD $125,000
Bank Julius Baer & Co. Ltd. Julius Baer Group money laundering 2021 DOJ_CRIMINAL $79,000,000
Swiss Life Holding AG et al. Swiss Life Group tax violations 2021 DOJ_TAX $77,374,337
State Street Corporation State Street Corp. fraud 2021 USAO $115,000,000
American Express Travel Related Services Co. American Express wage and hour violation 2021 WHD $5,663
MoneyGram Payment Systems, Inc MoneyGram International economic sanction violation 2021 OFAC $34,328
First American Title Co. First American Financial insurance violation 2021 CA-INS $1,185,000
First American Title Co. First American Financial insurance violation 2021 CA-INS $55,000
Jefferson National Life Insurance Co. Nationwide insurance violation 2021 CA-INS $165,342
California Physicians' Service d.b.a. Blue Shield of California California Physicians' Service insurance violation 2021 CA-MHC $150,000
California Physicians' Service d.b.a. Blue Shield of California California Physicians' Service insurance violation 2021 CA-MHC $5,000
Oscar Health Plan of California Mulberry Health insurance violation 2021 CA-MHC $15,000
California Physicians' Service d.b.a. Blue Shield of California California Physicians' Service insurance violation 2021 CA-MHC $30,000
California Physicians' Service d.b.a. Blue Shield of California California Physicians' Service insurance violation 2021 CA-MHC $5,000
California Physicians' Service d.b.a. Blue Shield of California California Physicians' Service insurance violation 2021 CA-MHC $5,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)