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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 Parent sort iconPrimary Offense TypeYearAgencyPenalty Amount
National Union Fire Insurance Company Of Pittsburgh, PaAmerican International Groupinsurance violation2010WA-INS$100,000
National Union Fire Insurance Company Of Pittsburgh, PaAmerican International Groupinsurance violation2010WA-INS$40,000
National Union Fire Insurance Company Of Pittsburgh, PaAmerican International Groupinsurance violation2010WA-INS$55,000
National Union Fire Insurance Company Of Pittsburgh, PaAmerican International Groupinsurance violation2015WA-INS$300,000
National Union Fire Insurance Company Of Pittsburgh, PaAmerican International Groupinsurance violation2015WA-INS$110,000
National Union Fire Insurance Company Of Pittsburgh, PaAmerican International Groupinsurance violation2015WA-INS$200,000
AIG Assurance Company et al.American International Groupinsurance violation2017WA-INS$25,000
American General Life Insurance CompanyAmerican International Groupinsurance violation2020WA-INS$10,000
AIG Warranty Guard, Inc.American International Groupinsurance violation2000WI-INS$100,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2000WI-INS$15,000
AIG Warranty Guard, Inc.American International Groupinsurance violation2003WI-INS$50,000
National Union Fire Ins Co. of PittsburghAmerican International Groupinsurance violation2003WI-INS$10,000
National Union Fire Ins Co. of PittsburghAmerican International Groupinsurance violation2003WI-INS$5,000
National Union Fire Ins Co. of PittsburghAmerican International Groupinsurance violation2003WI-INS$10,000
American General Life Insurance Company of DelawareAmerican International Groupinsurance violation2012WI-INS$40,000
American GeneralAmerican International Groupinsurance violation2000MULTI-FIN$7,500,000
American International GroupAmerican International Groupinsurance violation2010MULTI-FIN$146,500,000
American International GroupAmerican International Groupinsurance violation2012MULTI-FIN$11,000,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2012MULTI-FIN$39,000,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2020CT-INS$106,000
VALIC Financial Advisors Inc.American International Groupinvestor protection violation2020SEC$39,900,000
New Hampshire Insurance Co.American International Groupinsurance violation2020TX-INS$7,000
New Hampshire Insurance Co.American International Groupinsurance violation2020TX-INS$16,500
New Hampshire Insurance Co.American International Groupinsurance violation2020TX-INS$9,500
New Hampshire Insurance Co.American International Groupinsurance violation2020TX-INS$5,500
National Union Fire Insurance Company of Pittsburgh, PA. et al.American International Groupinsurance violation2020WA-INS$20,000
American General Life InsuranceAmerican International Groupdiscriminatory practices (non-employment)2000private lawsuit-federal$214,000,000
AIG Property Casualty CompanyAmerican International Groupinsurance violation2020NY-DFS$583,900
NEW HAMPSHIRE INSURANCE COMPANYAmerican International Groupinsurance violation2020WA-INS$15,000
American International GroupAmerican International Groupinsurance violation2021NY-DFS$12,000,000
VALIC Financial Advisors, Inc.American International Groupinvestor protection violation2016FINRA$1,750,000
SunAmerica Securities, Inc.American International Groupinvestor protection violation2009FINRA$300,000
SunAmerica Securities, Inc.American International Groupinvestor protection violation2005FINRA$2,500,000
SunAmerica Securities, Inc.American International Groupinvestor protection violation2004FINRA$100,000
American General Life Insurance CompanyAmerican International Groupinsurance violation2020CT-INS$10,000
National Union Fire Insurance Company of Pittsburgh, PaAmerican International Groupinsurance violation2021KS-INS$5,000
New Hampshire Insurance Co.American International Groupinsurance violation2021TX-INS$6,200
New Hampshire Insurance Co.American International Groupinsurance violation2021TX-INS$7,500
Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2021TX-INS$9,000
New Hampshire Insurance Co.American International Groupinsurance violation2021TX-INS$15,000
New Hampshire Insurance Co.American International Groupinsurance violation2021TX-INS$6,000
American General Life Insurance CompanyAmerican International Groupinsurance violation2021DE-INS$106,000
National Union Fire Insurance Company of Pittsburgh, PaAmerican International Groupinsurance violation2021LA-INS$9,000
American General Life Insurance CompanyAmerican International Groupinsurance violation2021MD-INS$32,250
American General Life Insurance CompanyAmerican International Groupinsurance violation2021WA-INS$10,000
Variable Annuity Life Insurance CompanyAmerican International Groupinsurance violation2021NY-DFS$230,820
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2022TX-INS$10,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2021TX-INS$5,500
National Union Fire Insurance Company of Pittsburgh, PA. et al.American International Groupinsurance violation2021NY-DFS$50,000
New Hampshire Insurance Co.American International Groupinsurance violation2022AK-INS$7,500
American General Life Insurance Co.American International Groupinsurance violation2022MO-INS$117,300
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2022NY-DFS$477,600
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$6,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$30,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2022OR-FIN$20,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$16,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$8,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$17,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$12,000
Granite State Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$35,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$27,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2022TX-INS$15,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$40,000
American International Group Inc.American International Groupprice-fixing or anti-competitive practices2012private lawsuit-federal$3,727,272
AIU Insurance CompanyAmerican International Groupinsurance violation2023TX-INS$15,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2023TX-INS$5,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2023TX-INS$10,000
New Hampshire Insurance Co.American International Groupinsurance violation2023TX-INS$5,500
AIG Property Casualty CompanyAmerican International Groupinsurance violation2023TX-INS$75,000
American International GroupAmerican International Groupwage and hour violation2018MI-LEO$15,939
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2023TX-INS$5,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2023TX-INS$19,000
AIU Insurance CompanyAmerican International Groupinsurance violation2023TX-INS$14,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2023TX-INS$9,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2023TX-INS$17,000
AIU Insurance CompanyAmerican International Groupinsurance violation2023TX-INS$12,500
AIG Property Casualty CompanyAmerican International Groupinsurance violation2023TX-INS$9,000
AIU Insurance CompanyAmerican International Groupinsurance violation2024TX-INS$8,000
AMERICAN INTERNATIONAL GROUPAmerican International Groupworkplace safety or health violation2003OSHA$5,900
American-Amicable Life Insurance CompanyAmerican-Amicable Groupinsurance violation2006MULTI-FIN$60,000,000
Allied Home Mortgage Capital CorporationAmericus Mortgageconsumer protection violation2003HUD$370,000
Allied Home Mortgage Capital CorporationAmericus Mortgagewage and hour violation2006WHD$14,479
Allied Home Mortgage Capital CorporationAmericus Mortgagewage and hour violation2006WHD$1,800,282
Allied Home Mortgage Capital CorporationAmericus Mortgagewage and hour violation2006WHD$30,928
Allied Home Mortgage Capital CorporationAmericus Mortgagewage and hour violation2005WHD$9,830
Allied Home MortgageAmericus Mortgagewage and hour violation2004WHD$14,037
Allied Home MortgageAmericus Mortgagefraud2017USAO$296,298,325
Allied Home Mortgage Capital Corp.Americus Mortgageinvestor protection violation2009AR-SEC$10,000
Allied Home Mortgage Corp.Americus Mortgageconsumer protection violation2012IL-BKG$7,500
Allied Home Mortgage Capital Corp.Americus Mortgageconsumer protection violation2009KY-FIN$5,740
Allied Home Mortgage Capital CorporationAmericus Mortgageconsumer protection violation2009NY-DFS$10,000
Allied Home Mortgage Capital CorporationAmericus Mortgageconsumer protection violation2009PA-BKG$8,000
Allied Home Mortgage Corporation et al.Americus Mortgageconsumer protection violation2012PA-BKG$10,000
ALLIED HOME MORTGAGE CAPITALAmericus Mortgageconsumer protection violation2008VA-FIN$5,000
ALLIED HOME MORTGAGE CAPITALAmericus Mortgageconsumer protection violation2010VA-FIN$25,000
Investment Professionals Inc.Ameriprise Financialinvestor protection violation2014SEC$67,800
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2009SEC$17,300,000
Ameriprise Financial, Inc.Ameriprise Financialinvestor protection violation2005SEC$15,000,000
Ameriprise Financial, Inc.Ameriprise Financialinvestor protection violation2005SEC$30,000,000
Columbia Management Advisors Inc. and Columbia Funds Distributor Inc.Ameriprise Financialinvestor protection violation2005SEC$140,000,000
American Express Financial Advisors Inc.Ameriprise Financialinvestor protection violation2004SEC$3,706,693
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.