Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $390,617,479,816
Number of Records: 7,879
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$87,294,669,499330
JPMorgan Chase$40,013,908,209280
UBS$31,275,299,125181
Wells Fargo$27,616,269,231266
Citigroup$27,081,211,792183
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,854,391,249113
NatWest Group PLC$14,264,317,61841
Morgan Stanley$10,907,502,443205
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)
Company sort iconCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount
TD BankToronto-Dominion Bankwage and hour violation2010private lawsuit-federal$375,000
TD BankToronto-Dominion Bankprivacy violation2014MA-AG$625,000
TD BankToronto-Dominion Bankconsumer protection violation2024CFPB$27,760,000
TD Bank N.A.Toronto-Dominion Bankconsumer protection violation2023private lawsuit-federal$2,250,000
TD Bank N.A.Toronto-Dominion Bankconsumer protection violation2022private lawsuit-federal$4,245,000
TD Bank N.A.Toronto-Dominion Bankconsumer protection violation2022private lawsuit-federal$41,500,000
TD Bank N.A.Toronto-Dominion Bankconsumer protection violation2020private lawsuit-federal$70,000,000
TD Bank N.A.Toronto-Dominion Bankconsumer protection violation2013private lawsuit-federal$62,000,000
TD Bank N.A.Toronto-Dominion Bankconsumer protection violation2023private lawsuit-federal$11,900,000
TD Bank N.A.Toronto-Dominion Bankconsumer protection violation2023private lawsuit-federal$4,900,000
TD Bank, N.A.Toronto-Dominion Bankprivacy violation2014MULTI-AG$850,000
TD Bank, N.A.Toronto-Dominion Bankconsumer protection violation2020CFPB$122,000,000
TD Bank, N.A.Toronto-Dominion Bankeconomic sanction violation2021OFAC$115,005
TD Bank, N.A.Toronto-Dominion Bankconsumer protection violation2017private lawsuit-federal$500,000
TD Bank, National AssociationToronto-Dominion Bankbanking violation2013OCC$37,500,000
TD BanknorthToronto-Dominion Banklabor relations violation2006NLRB$5,000
TD Options LLCToronto-Dominion Bankinvestor protection violation2009SEC$1,000,000
TD Securities (USA) LLCToronto-Dominion Bankinvestor protection violation2016SEC$500,000
TD Securities (USA) LLCToronto-Dominion Bankinvestor protection violation2022SEC$152,955
TD Securities (USA) LLCToronto-Dominion Bankprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
TD Securities (USA) LLCToronto-Dominion Bankinvestor protection violation2024SEC$30,000,000
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankinvestor protection violation2004SEC$2,000,000
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankwage and hour violation2005WHD$55,208
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankinvestor protection violation2004FINRA$150,000
Teachers Insurance & Annuity Assoc of AmericaTIAAwage and hour violation2017WHD$9,678
Teachers Insurance and Annuity AssociationTIAAemployment discrimination2020OFCCP$1,500,000
Teachers Insurance and Annuity Insurance Association of AmericaTIAAbenefit plan administrator violation2017private lawsuit-federal$5,000,000
Teachers Insurance Annuity AssociationTIAAwage and hour violation2007WHD$1,171,404
The Bank of New YorkBank of New York Melloneconomic sanction violation2005OFAC$5,844
The Bank of New YorkBank of New York Mellonanti-money-laundering deficiencies2005USAO$38,000,000
The Bank Of New YorkBank of New York Melloninvestor protection violation2007SEC$750,000
THE BANK OF NEW YORK MELLONBank of New York Mellonbanking violation2012FED$6,000,000
The Bank of New York Mellon CorporationBank of New York Mellonemployment discrimination2022OFCCP$1,925,000
The Bank of Nova ScotiaScotiabankinvestor protection violation2020CFTC$50,000,000
The Bank of Nova ScotiaScotiabankinvestor protection violation2020CFTC$77,400,000
The BISYS GroupCitigroupaccounting fraud or deficiencies2007SEC$25,000,000
The Chubb Corp.Chubb Limitedconsumer protection violation2009MA-AG$239,011
THE CINCINNATI INSURANCE CO. ET AL.Cincinnati Financialinsurance violation2003VA-INS$30,000
The Cincinnati Insurance CompaniesCincinnati FinancialFamily and Medical Leave Act2005WHD$15,000
The Cincinnati Insurance CompanyCincinnati Financialinsurance violation2021MD-INS$96,980
THE COLUMBIA BANKFulton Financialbanking violation2002FDIC$7,000
The Equitable Life Assurance Society of the United StatesEquitable Holdingsinsurance violation2003FL-OFR$1,600,000
The Federal Home Loan Mortgage CorporationFreddie Mac (Federal Home Loan Mortgage Corporation)wage and hour violation2011WHD$24,153
THE FIFTH THIRD BANKFifth Third Bancorpenvironmental violation2006FL-DEP$16,000
The First American Title CompanyFirst American Financialwage and hour violation2006WHD$72,363
The First American Title Insurance, Co.First American Financialwage and hour violation2005WHD$24,067
THE GAS COMPANY LLCMacquariemotor vehicle safety violation2009FMCSA$28,440
THE GAS COMPANY LLCMacquariemotor vehicle safety violation2009FMCSA$28,440
The Gas Company LlcMacquariemotor vehicle safety violation2017FMCSA$12,650
The Gas Company LLC (dba Hawaii Gas)Macquarieenvironmental violation2014EPA$155,000
The Gas Company, LLCMacquarieair pollution violation2021EPA$230,000
THE GAS COMPANY, LLCMacquarieworkplace safety or health violation2013OSHA$7,000
THE GAS COMPANY, LLCMacquarieworkplace safety or health violation2013OSHA$10,500
THE GENERAL AUTOMOBILE INSURANCE CO.American Family Insuranceinsurance violation2018VA-INS$66,996
The General Automobile Insurance Company Inc.American Family Insuranceinsurance violation2018TX-INS$100,000
The Guardian Insurance & Annuity Company, Inc.Guardian Life Insuranceinsurance violation2019NY-DFS$442,589
THE GUARDIAN LIFE INSURANCE COGuardian Life Insuranceinsurance violation2004VA-INS$27,000
THE GUARDIAN LIFE INSURANCE COGuardian Life Insuranceinsurance violation2010VA-INS$62,000
The Guardian Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2007MA-AG$20,000
The Guardian Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2008FL-OFR$10,500
The Hanover Insurance Co.Hanover Insuranceinsurance violation2015MN-FIN$7,500
The Hanover Insurance Co.Hanover Insuranceinsurance violation2014WI-INS$5,000
The Hanover Insurance CompanyHanover Insuranceinsurance violation2019TX-INS$20,000
The Hartford Casualty Insurance Co. and Trumbull Insurance Co.Hartford Financial Servicesinsurance violation2022MN-FIN$11,000
The Hartford et al.Hartford Financial Servicesinsurance violation2022ID-INS$360,000
The Hartford Financial Services GroupHartford Financial Servicesinvestor protection violation2006MULTI-AG$20,000,000
THE HARTFORD FINANCIAL SERVICES GROUP, INC.Hartford Financial Servicesworkplace safety or health violation2011OSHA$5,600
THE HENNEGAN COChatham Asset Managementsolid waste violation2016KY-ENV$5,000
THE HENNEGAN COMPANYChatham Asset Managementair pollution violation2004KY-ENV$70,000
The Huntington National BankHuntington Bancshareswage and hour violation2013WHD$32,553
The Insurance Company of the State of PennsylvaniaAmerican International Groupconsumer protection violation2015MA-AG$430,000
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2010ME-INS$11,111
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2007OR-FIN$10,000
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2009TX-INS$7,500
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2014TX-INS$8,397
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2014TX-INS$6,500
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2016TX-INS$18,000
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2017TX-INS$44,000
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2017TX-INS$5,300
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2018TX-INS$8,400
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2019TX-INS$9,000
THE KANSAS CITY STARChatham Asset Managementworkplace safety or health violation2016OSHA$23,696
THE KEMPER COMPANYKemperworkplace safety or health violation2012OSHA$9,800
The Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2019CT-INS$65,000
The Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2019LA-INS$10,000
The Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2016MN-FIN$10,000
The Lincoln National Life Insurance Co. et al.Lincoln Nationalinsurance violation2014MN-FIN$2,500,000
The McClatchy CompanyChatham Asset Managementlabor relations violation2022NLRB$15,482
THE MCCLATCHY COMPANYChatham Asset Managementworkplace safety or health violation2015OSHA$13,500
The Netherlands Insurance CompanyLiberty Mutual Insuranceinsurance violation2012TX-INS$8,000
The Netherlands Insurance CompanyLiberty Mutual Insuranceinsurance violation2014TX-INS$24,000
The Netherlands Insurance CompanyLiberty Mutual Insuranceinsurance violation2014TX-INS$6,000
THE NORTH RIVER INSURANCE CO.Fairfax Financial Holdingsinsurance violation2009VA-INS$28,916
The Northern Trust CompanyNorthern Trustinvestor protection violation2015SEC$60,000
The Northwestern Mutual Life Insurance Co.Northwestern Mutualinsurance violation2013MN-FIN$150,000
The Park National BankPark National Corp.banking violation2011OCC$30,415
The Penn Mutual Life Insurance Co.Penn Mutualinsurance violation2019NY-DFS$455,584
The Phoenix Insurance CompanyTravelersinsurance violation2014TX-INS$10,628
The Phoenix Insurance CompanyTravelersinsurance violation2019TX-INS$6,000
The Prudential Insurance Company of AmericaPrudential Financiallabor relations violation2018NLRB$17,842
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2006CA-INS$700,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.