Basic Search  |  Summaries  |  Advanced Search

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent Parent sort iconPrimary Offense TypeYearAgencyPenalty Amount
Monumental Life Insurance CompanyAegoninsurance violation2008NJ-DBI$250,000
Transamerica Premier Life Insurance CompanyAegoninsurance violation2016NJ-DBI$75,000
Transamerica Life Insurance CompanyAegoninsurance violation2019NJ-DBI$5,942,519
Transamerica Financial Life Insurance CompanyAegoninsurance violation2013NY-DFS$852,418
Transamerica Financial Life Insurance CompanyAegoninsurance violation2018NY-DFS$1,345,136
Transamerica Life Insurance CompanyAegoninsurance violation2009OR-FIN$25,000
Transamerica Life Insurance CompanyAegoninsurance violation2016SD-INS$15,000
Transamerica Life Insurance CompanyAegoninsurance violation2018SD-INS$10,000
Transamerica Life Insurance CompanyAegoninsurance violation2019SD-INS$30,000
Transamerica Life Insurance CompanyAegoninsurance violation2014UT-INS$45,000
MONUMENTAL LIFE INSURANCE COAegoninsurance violation2001VA-INS$5,000
LIFE INVESTORS INSURANCE COMPANY OF AMERICAAegoninsurance violation2006VA-INS$29,000
Transamerica Premier Life Insurance CompanyAegoninsurance violation2013WA-INS$150,000
Transamerica Casualty Insurance CompanyAegoninsurance violation2014WA-INS$20,000
Transamerica Casualty Insurance CompanyAegoninsurance violation2015WA-INS$10,000
Transamerica Life Insurance CompanyAegoninsurance violation2016WA-INS$5,000
Transamerica Life Insurance CompanyAegoninsurance violation2019WA-INS$15,000
Monumental Life Insurance CompanyAegoninsurance violation2003MULTI-FIN$37,000,000
Transamerica Casualty Insurance CompanyAegoninsurance violation2017MULTI-FIN$3,000,000
Transamerica Asset Management, Inc.Aegoninvestor protection violation2020SEC$5,946,782
Transamerica Financial Advisors, Inc.Aegoninvestor protection violation2020FINRA$8,800,000
World Group Securities, Inc.Aegoninvestor protection violation2004FINRA$150,000
Transamerica Life Insurance CompanyAegoninsurance violation2020CT-INS$10,000
TRANSAMERICA LIFE INSURANCE COMPANYAegoninsurance violation2021MO-INS$11,000
Transamerica Financial Life Insurance CompanyAegoninsurance violation2020NY-DFS$750,000
Transamerica Premier Life Insurance CompanyAegoninsurance violation2021VT-FIN$84,000
Transamerica Life Insurance Co.Aegoninsurance violation2021WA-INS$30,000
Transamerica CorporationAegonbenefit plan administrator violation2021private lawsuit-federal$5,400,000
Transamerica OccidentalAegonenvironmental violation2003CA-SCAQMD$5,438
Transamerica Life Insurance CompanyAegoninsurance violation2022NE-DOI$25,000
Transamerica Life Insurance Co.Aegoninsurance violation2022MN-FIN$500,000
Transamerica Life Insurance CompanyAegonconsumer protection violation2019private lawsuit-federal$195,000,000
Transamerica Life Insurance CompanyAegoninsurance violation2023MD-INS$102,000
TRANSAMERICA LIFE INSURANCE COMPANYAegoninsurance violation2023WA-INS$40,000
Transamerica Life Insurance CompanyAegoninsurance violation2020NJ-DBI$137,000
Transamerica Financial Life Insurance CompanyAegoninsurance violation2023NY-DFS$120,000
Accident Fund Insurance Company of AmericaAF Groupinsurance violation2012AZ-DIFI$5,000
Accident Fund General Insurance Co.AF Groupinsurance violation2018MO-INS$5,000
Accident Fund National Insurance Co.AF Groupinsurance violation2018MO-INS$5,000
Accident Fund Insurance Company of AmericaAF Groupinsurance violation2018MO-INS$5,000
United Wisconsin Insurance Co.AF Groupinsurance violation2018MO-INS$5,000
Accident Fund Insurance Co. of AmericaAF Groupinsurance violation2011TX-INS$8,000
Accident Fund Insurance Company of AmericaAF Groupinsurance violation2014TX-INS$19,000
Accident Fund General Insurance CompanyAF Groupinsurance violation2014TX-INS$28,000
Accident Fund Insurance Company of AmericaAF Groupinsurance violation2017TX-INS$20,000
Accident Fund Insurance Company of AmericaAF Groupinsurance violation2018TX-INS$13,500
Accident Fund General Insurance CompanyAF Groupinsurance violation2018TX-INS$75,000
Accident Fund General Insurance CompanyAF Groupinsurance violation2018TX-INS$6,400
Accident Fund Insurance Company of AmericaAF Groupinsurance violation2018TX-INS$19,800
Accident Fund National Insurance CompanyAF Groupinsurance violation2018TX-INS$19,100
Accident Fund National Insurance CompanyAF Groupinsurance violation2019TX-INS$5,000
Accident Fund General Insurance Co.AF Groupinsurance violation2021TX-INS$6,500
Accident Fund General Insurance Co.AF Groupinsurance violation2021TX-INS$5,000
Accident Fund National Insurance Co.AF Groupinsurance violation2021TX-INS$7,500
Accident Fund General Insurance CompanyAF Groupinsurance violation2022TX-INS$12,000
Accident Fund General Insurance CompanyAF Groupinsurance violation2023TX-INS$12,000
Accident Fund General Insurance CompanyAF Groupinsurance violation2023TX-INS$8,000
Accident Fund Insurance Company of AmericaAF Groupinsurance violation2023TX-INS$11,000
United Wisconsin Insurance Co.AF Groupinsurance violation2023TX-INS$5,000
American Family Life Assurance Co., known as AflacAflacFamily and Medical Leave Act2012WHD$16,882
Aflac Inc.Aflacinsurance violation2017MULTI-AG$350,000
Continental American Insurance Co.Aflacconsumer protection violation2010MA-AG$25,000
Continental American Insurance Co.Aflacinsurance violation2019CT-INS$10,000
American Family Assurance Company of ColumbusAflacinsurance violation2014ID-INS$30,000
American Family Life Assurance Company of ColumbusAflacinsurance violation2012MD-INS$200,000
American Family Life Assurance Company of ColumbusAflacinsurance violation2011ME-INS$20,000
American Family Life Assurance Company of ColumbusAflacinsurance violation2006MN-FIN$15,000
American Family Life Assurance Company of New York (AFLAC)Aflacinsurance violation2018NY-DFS$1,138,368
American Family Life Assurance CompanyAflacinsurance violation2019SD-INS$100,000
AMERICAN FAMILY LIFE ASSURANCEAflacinsurance violation2003VA-INS$7,500
American Family Life Assurance Company of ColumbusAflacinsurance violation2013VA-INS$10,000
American Family Life Assurance Company of ColumbusAflacinsurance violation2012MULTI-FIN$1,600,000
American Family Life Insurance Company of ColumbusAflacinsurance violation2018MULTI-FIN$2,500,000
American Family Life Insurance Company of ColumbusAflacinsurance violation2017MULTI-FIN$350,000
American Family Life Assurance Company of ColumbusAflacinsurance violation2020CT-INS$8,500
American Family Life Assurance Company of ColumbusAflacinsurance violation2022MN-FIN$25,000
COMMUNICORP INC.Aflacworkplace safety or health violation2011OSHA$9,900
Agricultural Bank of ChinaAgricultural Bank of Chinaanti-money-laundering deficiencies2016NY-DFS$215,000,000
Fred Alger Management, Inc.Alger Associatesinvestor protection violation2007SEC$40,000,000
FRED ALGER & COMPANY, INCORPORATEDAlger Associatesbenefit plan administrator violation2007EBSA$50,001
FRED ALGER & COMPANY, INCORPORATEDAlger Associatesbenefit plan administrator violation2006EBSA$10,001
Fred Alger Management, Inc.Alger Associatesinvestor protection violation2007NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $45,000,000
Allianz SEAllianzForeign Corrupt Practices Act2012SEC$12,396,423
Fireman's Fund Insurance CompanyAllianzFalse Claims Act and related2015DOJ_CIVIL$44,000,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLCAllianzinvestor protection violation2004SEC$11,600,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLCAllianzinvestor protection violation2004SEC$50,000,000
Allianz Asset Management of America, L.P.Allianzbenefit plan administrator violation2018private lawsuit-federal$12,000,000
Allianz Dresdner Asset Management of America LPAllianzinvestor protection violation2004NJ-AG$18,000,000
Allianz Life Insurance Company of North AmericaAllianzinvestor protection violation2007MN-AG$500,000
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2015MULTI-AG$4,700,000
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2012MULTI-AG$10,000,000
American Automobile Insurance Co.Allianzconsumer protection violation2011MA-AG$571,394
Allianz Global Risks U.S. Insurance CompanAllianzeconomic sanction violation2019OFAC$170,535
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2005CA-INS$425,000
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2008CA-INS$10,050,000
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2006CO-INS$34,800
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2019DE-INS$13,500
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2000FL-OFR$14,000
Fireman' Fund Insurance Co.Allianzinsurance violation2002FL-OFR$13,850
Fireman's Fund Insurance Co.Allianzinsurance violation2007FL-OFR$5,500
Chicago Insurance Co.Allianzinsurance violation2008FL-OFR$130,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.