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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 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
U.S. BancorpU.S. Bancorpfinancial servicesdiscriminatory practices (non-employment)2005private lawsuit-federal$2,495,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesmortgage abuses2020DOJ_UTP$29,000,000
Thrivent Investment Management Inc.Thrivent Financialfinancial servicesinvestor protection violation2020IL-SEC$400,000
U.S. BankU.S. Bancorpfinancial servicesprivacy violation2019private lawsuit-federal$2,670,336
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2016FINRA$850,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2013FINRA$750,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2010FINRA$700,000
US Bancorp Investments, Inc.U.S. Bancorpfinancial servicesinvestor protection violation2010FINRA$275,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2008FINRA$100,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2005FINRA$12,300,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2005FINRA$1,250,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2005FINRA$280,000
American Express Financial AdvisorsAmeriprise Financialfinancial servicesinvestor protection violation2005FINRA$13,000,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2005FINRA$275,000
American Express Financial Advisors Inc.Ameriprise Financialfinancial servicesinvestor protection violation2004FINRA$700,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2004FINRA$2,400,000
American Express Financial Advisors, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2004FINRA$300,000
American Express Financial Advisors Inc.Ameriprise Financialfinancial servicesinvestor protection violation2002FINRA$350,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000
U.S. Bancorp Piper JaffrayPiper Sandlerfinancial servicesinvestor protection violation2002FINRA$250,000
Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2000FINRA$933,000
Minnesota Life Insurance CompanySecurian Financialfinancial servicesinsurance violation2020CT-INS$7,000
U.S. BankU.S. Bancorpfinancial servicesconsumer protection violation2021MA-AG$230,000
U.S. BankU.S. Bancorpfinancial servicesbanking violation2022CFPB$37,500,000
MUFG Bank Ltd.U.S. Bancorpfinancial servicesprice-fixing or anti-competitive practices2020private lawsuit-federal$985,000
MUFG Bank, Ltd.U.S. Bancorpfinancial servicesprice-fixing or anti-competitive practices2022private lawsuit-federal$7,000,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesprice-fixing or anti-competitive practices2016private lawsuit-federal$9,750,000
U.S. Bank NAU.S. Bancorpfinancial servicesconsumer protection violation2016private lawsuit-federal$14,050,000
U.S. Bank NAU.S. Bancorpfinancial servicesconsumer protection violation2015private lawsuit-federal$44,500,000
U.S. Bank NAU.S. Bancorpfinancial servicesconsumer protection violation2015private lawsuit-federal$34,500,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesconsumer protection violation2015private lawsuit-federal$6,000,000
Union Bank N.A.U.S. Bancorpfinancial servicesconsumer protection violation2012private lawsuit-federal$35,000,000
US Bank N.A.U.S. Bancorpfinancial servicesconsumer protection violation2014private lawsuit-federal$55,000,000
MUFG Union Bank, National AssociationU.S. Bancorpfinancial servicesbanking violation2023OCC$15,000,000
MUFG Bank, Ltd.U.S. Bancorpfinancial servicesprice-fixing or anti-competitive practices2023private lawsuit-federal$750,000
Securian FinancialSecurian Financialfinancial serviceswage and hour violation2022MI-LEO$12,530
Riversource Life Insurance CompanyAmeriprise Financialfinancial servicesinsurance violation2023WA-INS$59,613
MUFG Bank, Ltd.U.S. Bancorpfinancial servicesprice-fixing or anti-competitive practices2023private lawsuit-federal$30,000,000
U.S. BankU.S. Bancorpfinancial servicesconsumer protection violation2023CFPB$20,700,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesbanking violation2023OCC$15,000,000
U.S. Bancorp Investments Inc.U.S. Bancorpfinancial servicesinvestor protection violation2024SEC$8,000,000
MUFG BANK, LTD.U.S. Bancorpfinancial servicesbanking violation2024CT-BKG$10,000
U.S. BANCORP DBA US BANK MT. VERNON IL OFFICEU.S. Bancorpfinancial servicesworkplace safety or health violation2015OSHA$8,775
U.S. Bank, N.A.U.S. Bancorpfinancial servicesinvestor protection violation2024CFTC$6,000,000
Northwest Food Products Transportation LLCLand O'Lakesfood productsmotor vehicle safety violation2011FMCSA$16,040
Columbus Manufacturing Inc., a wholly owned subsidiary of Columbus Foods LLCHormel Foodsfood productsair pollution violation2012EPA$6,685,446
AGRILIANCE LLCAgriliancefood productsmotor vehicle safety violation2007FMCSA$6,060
NORTHWEST FOOD PRODUCTS TRANSPORTATION LLCLand O'Lakesfood productsmotor vehicle safety violation2006FMCSA$13,680
NORTHWEST FOOD PRODUCTS TRANSPORTATION LLCLand O'Lakesfood productsmotor vehicle safety violation2006FMCSA$25,490
UNITED SUPPLIERS, INC.Land O'Lakesfood productsrailroad safety violation2016FRA$6,500
Hormel Foods Corp.Hormel Foodsfood productsemployment discrimination2016OFCCP$550,000
Jennie-O Turkey Store Inc.Hormel Foodsfood productsemployment discrimination2016OFCCP$491,861
General Mills, IncGeneral Millsfood productsFamily and Medical Leave Act2007WHD$6,000
Hormel Foods CorporationHormel Foodsfood productswage and hour violation2004WHD$102,288
Land O' Lakes, Inc.Land O'Lakesfood productsemployment discrimination2017OFCCP$42,000
General Mills, Inc.General Millsfood productslabor relations violation2010NLRB$12,500
Jennie-O Turkey StoreHormel Foodsfood productslabor relations violation2009NLRB$9,880
General MillsGeneral Millsfood productslabor relations violation2009NLRB$60,000
Rochelle Foods, Inc.Hormel Foodsfood productslabor relations violation2007NLRB$12,000
Agriliance LLCAgriliancefood productsrailroad safety violation2003FRA$5,000
GENERAL MILLS INCGeneral Millsfood productsaviation safety violation2011FAA$40,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.