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Violation Tracker Current Parent Headquarters Summary Page

HQ State/Territory: Minnesota
Current Parent Penalty Total since 2000: $25,790,302,028
Number of Records: 2,066
Note: The totals here are derived only from entries matched to parent companies. They 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
3M Company$19,694,417,115135
UnitedHealth Group$2,245,949,382388
U.S. Bancorp$1,681,335,61466
Mosaic Co.$898,981,519106
Ameriprise Financial$340,010,88558
Cargill$220,708,468219
Target$187,253,759158
Ecolab$122,430,09084
Patterson$81,538,4329
Piper Sandler$53,424,45426

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 ParentCurrent Parent Industry sort iconPrimary Offense TypeYearAgencyPenalty Amount
Ameriprise Financial, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2005SEC$30,000,000
Columbia Management Advisors Inc. and Columbia Funds Distributor Inc.Ameriprise Financialfinancial servicesinvestor protection violation2005SEC$140,000,000
American Express Financial Advisors Inc.Ameriprise Financialfinancial servicesinvestor protection violation2004SEC$3,706,693
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2003SEC$32,500,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerfinancial servicesdata submission deficiencies2002SEC$1,650,000
Union Bank of California, N.A.U.S. Bancorpfinancial servicesanti-money-laundering deficiencies2007FINCEN$10,000,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesdiscriminatory practices (non-employment)2014HUD$11,489
U.S. Bank National AssociationU.S. Bancorpfinancial servicesdiscriminatory practices (non-employment)2013HUD$12,000
U.S. Bank, National AssociationU.S. Bancorpfinancial servicesmortgage abuses2011HUD$1,200,000
Ameriprise Financial, Inc.Ameriprise Financialfinancial servicesemployment discrimination2016OFCCP$128,200
U.S. BankU.S. Bancorpfinancial serviceswage and hour violation2008WHD$140,787
U.S. BancorpU.S. Bancorpfinancial serviceswage and hour violation2006WHD$140,788
U.S. Bank National AssociationU.S. Bancorpfinancial servicesbanking violation2017OCC$15,000,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesbanking violation2017OCC$183,920
U.S. BancorpU.S. Bancorpfinancial servicesmortgage abuses2018FED$4,400,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2017SEC$8,750,000
Columbia Management Investment Services Corp.Ameriprise Financialfinancial servicesinvestor protection violation2017SEC$250,000
U.S. Bank Municipal Securities GroupU.S. Bancorpfinancial servicesinvestor protection violation2015SEC$60,000
US BancorpU.S. Bancorpfinancial servicesbanking violation2018FED$15,000,000
U.S. BancorpU.S. Bancorpfinancial servicesanti-money-laundering deficiencies2018USAO$453,000,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesanti-money-laundering deficiencies2018OCC$75,000,000
Ameriprise Financial ServicesAmeriprise Financialfinancial servicesinvestor protection violation2018SEC$230,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesanti-money-laundering deficiencies2018FINCEN$70,000,000
US BANKU.S. Bancorpfinancial serviceswage and hour violation2014IL-DOL$131,922
U.S. BancorpU.S. Bancorpfinancial serviceswage and hour violation2017private lawsuit-federal$7,000,000
U.S. BancorpU.S. Bancorpfinancial serviceswage and hour violation2017private lawsuit-federal$1,150,000
U.S. BankU.S. Bancorpfinancial serviceswage and hour violation2015private lawsuit-federal$3,031,075
U.S. BancorpU.S. Bancorpfinancial serviceswage and hour violation2014private lawsuit-federal$6,450,000
Union BankU.S. Bancorpfinancial serviceswage and hour violation2012private lawsuit-federal$3,500,000
Ameriprise FinancialAmeriprise Financialfinancial serviceswage and hour violation2011private lawsuit-federal$185,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2013SEC$300,000
Ameriprise Financial Services Inc.Ameriprise Financialfinancial servicesinvestor protection violation2018SEC$4,500,000
American Express Financial AdvisorsAmeriprise Financialfinancial servicesemployment discrimination2002private lawsuit-federal$31,000,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesinvestor protection violation2005SEC$500,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2002SEC$100,000
U.S. Bank Pension PlanU.S. Bancorpfinancial servicesbenefit plan administrator violation2012private lawsuit-federal$9,600,000
Ameriprise Financial, Inc.Ameriprise Financialfinancial servicesbenefit plan administrator violation2015private lawsuit-federal$27,500,000
MUFG Securities Americas Inc.U.S. Bancorpfinancial servicesinvestor protection violation2018SEC$1,400,000
American Express Financial Advisors Inc.Ameriprise Financialfinancial servicesinvestor protection violation2005NJ-AG$5,000,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesconsumer protection violation2009MA-AG$200,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2018NJ-AG$375,000
Ameriprise GroupAmeriprise Financialfinancial servicesinsurance violation2017MULTI-AG$1,500,000
MUFG Union Bank, National AssociationU.S. Bancorpfinancial servicesbanking violation2019OCC$109,667
U.S. BancorpU.S. Bancorpfinancial servicesconsumer protection violation2005CA-AG$2,600,000
US BankU.S. Bancorpfinancial servicesprivacy violation2000MULTI-AG$2,000,000
US Bank NAU.S. Bancorpfinancial servicesconsumer protection violation2003NY-AG$33,500
US BankU.S. Bancorpfinancial serviceshousing code violation2016CA-LACA$13,500,000
U.S. Bancorp Investments, Inc.U.S. Bancorpfinancial servicesinvestor protection violation2020SEC$15,992,441
Securian Financial Services, Inc.Securian Financialfinancial servicesinvestor protection violation2020AK-DBS$10,000
American Express Financial AdvisorsAmeriprise Financialfinancial servicesinvestor protection violation2000AZ-CC$125,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2005AZ-CC$1,000,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2006AZ-CC$1,250,000
RiverSource Life Insurance Co.Ameriprise Financialfinancial servicesinsurance violation2015CA-INS$800,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2018CA-DFPI$115,000
RiverSource Life Insurance Co.Ameriprise Financialfinancial servicesinsurance violation2018DE-INS$75,000
RiverSource Life Insurance Co.Ameriprise Financialfinancial servicesinsurance violation2011FL-OFR$10,500
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2008IL-SEC$1,449,384
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2009KY-FIN$983,984
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2013MA-SEC$400,000
Investment Professionals, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2017MA-SEC$100,000
Thrivent Financial For LutheransThrivent Financialfinancial servicesinsurance violation2012MD-INS$8,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2013MD-SEC$50,000
American Express Financial Advisors, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2002MN-FIN$5,000
American Express Financial Advisors, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2005MN-FIN$2,000,000
Riversource Life Insurance Co. and Riversource Life Insurance Co. of New YorkAmeriprise Financialfinancial servicesinsurance violation2017MN-FIN$1,500,000
Securian Financial Services, Inc.Securian Financialfinancial servicesinvestor protection violation2009MO-SEC$79,445
Investment Professionals, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2009MO-SEC$52,500
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2008MS-SEC$150,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2003MT-FIN$2,625,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2006MT-FIN$345,000
US Bancorp Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2001ND-SEC$23,250
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2004ND-SEC$20,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2004ND-SEC$17,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2005ND-SEC$30,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2006ND-SEC$17,204
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2006ND-SEC$229,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2002NE-DBF$5,000
Securian Financial Services, Inc.Securian Financialfinancial servicesconsumer protection violation2013NE-DBF$5,500
Ameriprise Financial Services Inc.Ameriprise Financialfinancial servicesconsumer protection violation2013NE-DBF$10,000
American Express Financial Advisors Inc.Ameriprise Financialfinancial servicesinvestor protection violation2005NH-BSR$7,375,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2008NH-BSR$3,400,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2014NH-BSR$90,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2016NH-BSR$30,800
Investment Professionals Inc.Ameriprise Financialfinancial servicesinsurance violation2014NY-DFS$10,000
MUFG Bank Ltd.U.S. Bancorpfinancial servicesbanking violation2019NY-DFS$33,000,000
Minnesota Life Insurance CompanySecurian Financialfinancial servicesinsurance violation2019OR-FIN$5,000
Ameriprise Advisor Services Inc.Ameriprise Financialfinancial servicesinvestor protection violation2009RI-FIN$48,411
Ameriprise Financial Services Inc.Ameriprise Financialfinancial servicesinvestor protection violation2018SC-SEC$650,000
American Express Financial Advisors Inc.Ameriprise Financialfinancial servicesinvestor protection violation2000TX-SEC$9,000
Securian Financial Services Inc.Securian Financialfinancial servicesinvestor protection violation2009TX-SEC$50,000
MINNESOTA LIFE INSURANCE CO.Securian Financialfinancial servicesinsurance violation2006VA-INS$18,000
AMERIPRISE FINANCIAL SERVICESAmeriprise Financialfinancial servicesinvestor protection violation2008VA-SEC$780,000
AMERIPRISE FINANCIAL SERVICES, INC.Ameriprise Financialfinancial servicesinvestor protection violation2016VA-SEC$14,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2016WA-FIN$55,000
Thrivent Financial for LutheransThrivent Financialfinancial servicesinsurance violation2013WI-INS$5,000
Ameriprise Financial Services Inc.Ameriprise Financialfinancial servicesinvestor protection violation2009MULTI-FIN$720,000
Minnesota Life Insurance Company et al.Securian Financialfinancial servicesinsurance violation2016MULTI-FIN$625,000
RiverSource Life Insurance CompanyAmeriprise Financialfinancial servicesinsurance violation2016MULTI-FIN$1,500,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $12,500,000
Minnesota Life Insurance Co.Securian Financialfinancial servicesinsurance violation2020CT-INS$9,000
U.S. Bank National AssociationU.S. Bancorpfinancial serviceswage and hour violation2020private lawsuit-federal$6,500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.