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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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Company sort iconCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount
Arch Insurance CompanyArch Capitalinsurance violation2019NY-DFS$5,000,000
Arch Insurance CompanyArch Capitalinsurance violation2010TX-INS$14,000
Arch Insurance CompanyArch Capitalinsurance violation2012TX-INS$26,500
Arch Insurance CompanyArch Capitalinsurance violation2014TX-INS$40,143
Arch Insurance CompanyArch Capitalinsurance violation2014TX-INS$10,000
Arch Insurance CompanyArch Capitalinsurance violation2015TX-INS$19,000
Arch Insurance CompanyArch Capitalinsurance violation2016TX-INS$32,500
Arch Insurance CompanyArch Capitalinsurance violation2017TX-INS$5,000
Arch Insurance CompanyArch Capitalinsurance violation2018TX-INS$7,000
Arch Insurance CompanyArch Capitalinsurance violation2019VA-INS$26,447
Arch Insurance CompanyArch Capitalinsurance violation2011WA-INS$20,000
Arch Insurance CompanyArch Capitalinsurance violation2017MULTI-FIN$1,017,000
Arch Insurance CompanyArch Capitalinsurance violation2022TX-INS$20,000
Arch Insurance CompanyArch Capitalinsurance violation2022TX-INS$11,000
Arch Insurance CompanyArch Capitalinsurance violation2022TX-INS$22,000
Arch Insurance CompanyArch Capitalinsurance violation2022CT-INS$6,500
Arch Insurance CompanyArch Capitalinsurance violation2023TX-INS$10,000
Arch Insurance CompanyArch Capitalinsurance violation2023TX-INS$25,000
Arthur J Gallagher & Co. Insurance Brokers of California Inc.Arthur J. Gallagher & Co.insurance violation2023NY-DFS$45,300
Arthur J. GallagherArthur J. Gallagher & Co.wage and hour violation2011private lawsuit-federal$3,900,000
Arthur J. Gallagher & Co.Arthur J. Gallagher & Co.consumer protection violation2005IL-AG$27,000,000
Arthur J. Gallagher & Co.Arthur J. Gallagher & Co.employment discrimination2021EEOC$40,000
Arthur J. Gallagher & Co.Arthur J. Gallagher & Co.price-fixing or anti-competitive practices2007private lawsuit-federal$28,000,000
Arthur J. Gallagher & Co. Insurance Brokers of California, Inc.Arthur J. Gallagher & Co.insurance violation2023NY-DFS$49,850
Arthur J. Gallagher Risk Management Services, Inc.Arthur J. Gallagher & Co.insurance violation2018TX-INS$6,300
Arthur J. Gallagher Risk Management Services, Inc.Arthur J. Gallagher & Co.insurance violation2020TX-INS$7,025
Arthur J. Gallagher Risk Management Services, Inc.Arthur J. Gallagher & Co.insurance violation2020TX-INS$9,675
Arthur J. Gallagher Risk Management Services, Inc.Arthur J. Gallagher & Co.insurance violation2020NY-DFS$300,800
Arthur J. Gallagher Risk Management Services, Inc.Arthur J. Gallagher & Co.insurance violation2020NY-DFS$39,750
Arthur J. Gallagher Risk Management Services, Inc.Arthur J. Gallagher & Co.insurance violation2022TX-INS$10,950
Arthur J. Gallagher Risk Management Services, LLCArthur J. Gallagher & Co.insurance violation2023TX-INS$11,875
ASI SERVICESProgressiveaviation safety violation2015FAA$17,000
ASI SERVICESProgressiveaviation safety violation2015FAA$27,000
Asset Acceptance LLCEncore Capital Groupconsumer protection violation2012FTC$2,500,000
Asset Acceptance, LLCEncore Capital GroupFamily and Medical Leave Act2014WHD$7,450
Asset Acceptance, LLCEncore Capital Groupconsumer protection violation2013NC-INS$8,000
Associated Banc-CorpAssociated Banc-Corpwage and hour violation2012private lawsuit-federal$1,275,000
Associated Bank N.A.Associated Banc-Corpconsumer protection violation2013private lawsuit-federal$13,000,000
Associated Bank, N.A.Associated Banc-Corpdiscriminatory practices (non-employment)2015HUD$200,000,000
Associated Bank, National AssociationAssociated Banc-Corpbanking violation2014OCC$500,000
Associated Bank, National AssociationAssociated Banc-Corpbanking violation2007OCC$125,000
Assurant HealthAssurantinsurance violation2008CT-INS$2,100,000
Assurant Inc.Assurantaccounting fraud or deficiencies2010SEC$3,500,000
Assurant Inc.Assurantinsurance violation2016MULTI-FIN$80,217,000
Assurant Inc.Assurantconsumer protection violation2017private lawsuit-federal$3,350,000
Assurant Inc.Assurantconsumer protection violation2016private lawsuit-federal$14,050,000
Assurant Inc.Assurantconsumer protection violation2015private lawsuit-federal$900,000
Assurant Inc.Assurantconsumer protection violation2015private lawsuit-federal$70,000,000
Assurant Inc.Assurantconsumer protection violation2014private lawsuit-federal$140,500,000
Assurant Inc.Assurantconsumer protection violation2014private lawsuit-federal$16,000,000
Assurant, Inc.Assurantinsurance violation2013NY-DFS$14,000,000
Asurion Insurance Services, Inc. and Asurion Protection Services LLCAsurioninsurance violation2020NY-DFS$4,000,000
Asurion LLCAsurionemployment discrimination2023DOJ_RIGHTS$13,395
Asurion Warranty Services, Inc.Asurioninsurance violation2007WI-INS$5,000
Asurion, LLCAsurionemployment discrimination2019EEOC$50,000
ASURION, LLC.Asurionworkplace safety or health violation2020OSHA$5,783
Atlantic Credit and Finance, Inc.Encore Capital Groupwage and hour violation2006WHD$9,422
Austin Mutual Insurance Co.American Family Insuranceinsurance violation2019MN-FIN$10,000
Austin Mutual Insurance Co.American Family Insuranceinsurance violation2007WI-INS$8,000
Austin Mutual Insurance Co. and Northern Mutual Insurance Co.American Family Insuranceinsurance violation2002MN-FIN$12,500
Austin Mutual Insurance CompanyAmerican Family Insurancewage and hour violation2006WHD$16,245
Austin Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2014ND-INS$10,000
Austin Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2010WA-INS$10,000
Austin Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2011WA-INS$10,000
Austin Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2022WI-INS$5,000
Austin Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2022KS-INS$7,000
Austin Mututal Insurance Co.American Family Insuranceinsurance violation2011AZ-DIFI$30,000
Australia and New Zealand Bank Group, Ltd.Australia and New Zealand Banking Groupeconomic sanction violation2009OFAC$5,750,000
Australia and New Zealand Banking Group Ltd.Australia and New Zealand Banking Groupinvestor protection violation2015CFTC$150,000
Australia and New Zealand Banking Group Ltd.Australia and New Zealand Banking Groupinvestor protection violation2012CFTC$350,000
Australia and New Zealand Banking Group Ltd.Australia and New Zealand Banking Groupprice-fixing or anti-competitive practices2022private lawsuit-federal$35,500,000
Australia and New Zealand Banking Group, Ltd.Australia and New Zealand Banking Groupprice-fixing or anti-competitive practices2022private lawsuit-federal$7,000,000
Auto Owners Insurance Co.Auto-Owners Insuranceinsurance violation2017CO-INS$25,875
AUTO OWNERS INSURANCE COMPANYAuto-Owners Insuranceinsurance violation2015VA-INS$114,217
Auto-Owners (Mutual) Insurance Co. and Owners Insurance Co.Auto-Owners Insuranceinsurance violation2019KS-INS$10,000
Auto-Owners (Mutual) Insurance CompanyAuto-Owners Insuranceconsumer protection violation2022private lawsuit-federal$8,880,000
Auto-Owners Insurance Co.Auto-Owners Insuranceinsurance violation2007CO-INS$5,000
Auto-Owners Insurance Co.Auto-Owners Insuranceinsurance violation2000MN-FIN$15,000
Auto-Owners Insurance Co.Auto-Owners Insuranceinsurance violation2003MN-FIN$5,000
Auto-Owners Insurance Co.Auto-Owners Insuranceinsurance violation2016MN-FIN$10,000
Auto-Owners Insurance Co.Auto-Owners Insuranceinsurance violation2015MO-INS$39,600
Auto-Owners Insurance Co.Auto-Owners Insuranceinsurance violation2004WI-INS$5,000
Auto-Owners Insurance Co. and Owners Insurance Co.Auto-Owners Insuranceinsurance violation2019MN-FIN$35,000
Auto-Owners Insurance Co. and Owners Insurance Co.Auto-Owners Insuranceinsurance violation2007MO-INS$28,704
Auto-Owners Insurance CompanyAuto-Owners Insuranceinsurance violation2016SC-INS$7,356
Auto-Owners Insurance Company and Owners Insurance CompanyAuto-Owners Insuranceinsurance violation2011VA-INS$10,000
AVEMCO INSURANCE COMPANYTokio Marineinsurance violation2002VA-INS$12,000
AXA AdvisorsEquitable Holdingswage and hour violation2016private lawsuit-federal$2,300,000
AXA Advisors LLCEquitable Holdingsinvestor protection violation2011OR-FIN$80,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2012SEC$100,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2009SEC$50,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2019SEC$1,134,152
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2010MO-SEC$92,015
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2019FINRA$772,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2015FINRA$600,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2007FINRA$2,600,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2005FINRA$900,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2004FINRA$250,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2004FINRA$250,000
AXA Art Insurance CorporationAXAinsurance violation2015NY-DFS$70,000
AXA Art Insurance CorporationAXAinsurance violation2012SC-INS$8,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.