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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 IndustryPrimary Offense Type sort iconYearAgencyPenalty Amount
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
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
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
Ameriprise Financial Services Inc.Ameriprise Financialfinancial servicesinvestor protection violation2009MULTI-FIN$720,000
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
Thrivent Investment Management Inc.Thrivent Financialfinancial servicesinvestor protection violation2020IL-SEC$400,000
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
Cargill Inc.Cargillagribusinessinvestor protection violation2021CFTC$750,000
U.S. Bancorp Investments Inc.U.S. Bancorpfinancial servicesinvestor protection violation2024SEC$8,000,000
U.S. Bank, N.A.U.S. Bancorpfinancial servicesinvestor protection violation2024CFTC$6,000,000
Ameriprise GroupAmeriprise Financialfinancial servicesinsurance violation2017MULTI-AG$1,500,000
UnitedHealthCare of Arkansas, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2018AR-INS$85,000
PacifiCare of California, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2000CA-MHC$25,000
PacifiCare of California, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2001CA-MHC$250,000
PacifiCare of California, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2001CA-MHC$25,000
PacifiCare of California, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2002CA-MHC$5,000
PacifiCare of California, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2002CA-MHC$15,000
PacifiCare of California, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2002CA-MHC$10,000
PacifiCare of California, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2003CA-MHC$30,000
PacifiCare Behavioral Health of California, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2004CA-MHC$7,500
PacifiCare of California, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2004CA-MHC$5,000
PacifiCare Behavioral Health of California, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2004CA-MHC$7,500
PacifiCare of California, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2004CA-MHC$7,500
PacifiCare of California, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2004CA-MHC$7,500
PacifiCare Behavioral Health of California, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2005CA-MHC$9,500
PacifiCare of California, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2005CA-MHC$30,000
PacifiCare of California, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2005CA-MHC$5,000
PacifiCare of California, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2005CA-MHC$5,000
PacifiCare of California, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2005CA-MHC$5,000
PacifiCare of California, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2005CA-MHC$5,000
PacifiCare of California, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2005CA-MHC$7,500
PacifiCare of California, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2005CA-MHC$7,500
PacifiCare Behavioral Health of California, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2005CA-MHC$5,000
PacifiCare Behavioral Health of California, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2006CA-MHC$25,000
PacifiCare of California, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2007CA-MHC$30,000
PacifiCare of California, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2008CA-MHC$2,000,000
PacifiCare of California, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2008CA-MHC$50,000
PacifiCare of California, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2008CA-MHC$5,000
PacifiCare of California, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2008CA-MHC$5,000
PacifiCare of California, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2009CA-MHC$10,000
PacifiCare Behavioral Health of California, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2009CA-MHC$15,000
U.S. Behavioral Health Plan, California dba OptumHealth Behavioral Solutions of CAUnitedHealth Grouphealthcare servicesinsurance violation2009CA-MHC$50,000
PacifiCare of California, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2009CA-MHC$10,000
PacifiCare Behavioral Health of California, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2009CA-MHC$100,000
U.S. Behavioral Health Plan, California dba OptumHealth Behavioral Solutions of CAUnitedHealth Grouphealthcare servicesinsurance violation2009CA-MHC$100,000
PacifiCare Behavioral Health of California, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2010CA-MHC$75,000
U.S. Behavioral Health Plan, California dba OptumHealth Behavioral Solutions of CAUnitedHealth Grouphealthcare servicesinsurance violation2010CA-MHC$20,000
PacifiCare of California, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2010CA-MHC$5,000
PacifiCare of California, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2010CA-MHC$5,000
PacifiCare of California, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2010CA-MHC$500,000
U.S. Behavioral Health Plan, California dba OptumHealth Behavioral Solutions of CAUnitedHealth Grouphealthcare servicesinsurance violation2011CA-MHC$5,000
PacifiCare Behavioral Health of California, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2011CA-MHC$5,000
U.S. Behavioral Health Plan, California dba OptumHealth Behavioral Solutions of CAUnitedHealth Grouphealthcare servicesinsurance violation2011CA-MHC$7,500
UHC of California dba UnitedHealthcare of California, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2011CA-MHC$5,000
UHC of California dba UnitedHealthcare of California, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2011CA-MHC$5,000
PacifiCare Behavioral Health of California, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2011CA-MHC$7,500
UHC of California dba UnitedHealthcare of California, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2011CA-MHC$5,000
U.S. Behavioral Health Plan, California dba OptumHealth Behavioral Solutions of CAUnitedHealth Grouphealthcare servicesinsurance violation2011CA-MHC$5,000
U.S. Behavioral Health Plan, California dba OptumHealth Behavioral Solutions of CAUnitedHealth Grouphealthcare servicesinsurance violation2012CA-MHC$5,000
UHC of California dba UnitedHealthcare of California, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2012CA-MHC$5,000
PacifiCare Behavioral Health of California, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2012CA-MHC$5,000
UHC of California dba UnitedHealthcare of California, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2012CA-MHC$5,000
PacifiCare Behavioral Health of California, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2012CA-MHC$5,000
UHC of California dba UnitedHealthcare of California, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2012CA-MHC$15,000
PacifiCare Behavioral Health of California, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2012CA-MHC$6,000
UHC of California dba UnitedHealthcare of California, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2012CA-MHC$5,000
UHC of California dba UnitedHealthcare of California, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2013CA-MHC$12,500
U.S. Behavioral Health Plan, California dba OptumHealth Behavioral Solutions of CAUnitedHealth Grouphealthcare servicesinsurance violation2013CA-MHC$5,000
UHC of California dba UnitedHealthcare of California, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2013CA-MHC$12,500
PacifiCare Behavioral Health of California, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2014CA-MHC$5,000
U.S. Behavioral Health Plan, California dba OptumHealth Behavioral Solutions of CAUnitedHealth Grouphealthcare servicesinsurance violation2014CA-MHC$20,000
UHC of California dba UnitedHealthcare of California, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2014CA-MHC$7,500
U.S. Behavioral Health Plan, California dba OptumHealth Behavioral Solutions of CAUnitedHealth Grouphealthcare servicesinsurance violation2014CA-MHC$25,000
UHC of California dba UnitedHealthcare of California, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2014CA-MHC$5,000
UHC of California dba UnitedHealthcare of California, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2014CA-MHC$12,238
PacifiCare Behavioral Health of California, Inc.UnitedHealth Grouphealthcare servicesinsurance violation2014CA-MHC$13,155
Pacificare Life and Health Insurance Co.UnitedHealth Grouphealthcare servicesinsurance violation2014CA-INS$173,603,750
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.