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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $385,467,775,190
Number of Records: 7,525
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$87,248,751,230324
JPMorgan Chase$39,322,669,157272
UBS$31,059,299,125178
Wells Fargo$27,517,928,133261
Citigroup$26,945,611,792181
Deutsche Bank$20,006,467,56398
Goldman Sachs$17,729,327,552109
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,542,431,900198
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 icon . Current ParentPrimary Offense TypeYearAgencyPenalty Amount
SunTrust BankTruist Financialeconomic sanction violation2005OFAC$30,800
SunTrust BankTruist Financialemployment discrimination2014EEOC$300,000
SunTrust BankTruist Financialbanking violation2017FED$1,501,000
SunTrust BankTruist Financialbanking violation2005WI-AG$10,107
SUNAMERICA SECURITIES, INC.American International Groupinvestor protection violation2006VA-SEC$10,000
SunAmerica Securities, Inc.American International Groupinvestor protection violation2009FINRA$300,000
SunAmerica Securities, Inc.American International Groupinvestor protection violation2005FINRA$2,500,000
SunAmerica Securities, Inc.American International Groupinvestor protection violation2004FINRA$100,000
Sun National BankOceanFirst Financialbanking violation2016OCC$25,000
Sun Life Insurance Company of CanadaSun Life Financialinsurance violation2009MN-FIN$7,500
Sun Life Insurance CompanySun Life Financialinsurance violation2014MULTI-AG$3,200,000
Sun LIfe Assurance Company of Canada et al.Sun Life Financialinsurance violation2004IN-INS$125,000
Sun Life Assurance Company of Canada (U.S.)Sun Life Financialwage and hour violation2009WHD$6,366
Sun Life Assurance Company of Canada (U.S.)Sun Life Financialwage and hour violation2009WHD$25,744
SUN LIFE ASSURANCE CO OF CANADASun Life Financialenvironmental violation2005MA-ENV$31,635
Student Loan Xpress, Inc.First Citizens BancSharesconsumer protection violation2009MULTI-AG$112,825,000
Student Loan Xpress, Inc.First Citizens BancSharesconsumer protection violation2010KY-AG$3,600,000
Student Loan Xpress, Inc.First Citizens BancSharesconsumer protection violation2007NY-AG$3,000,000
Strong Capital Management, Inc.Wells Fargoinvestor protection violation2004SEC$80,000,000
Strong Capital Management, Inc.Wells Fargoinvestor protection violation2006SEC$2,185,927
Strong Capital Management Co.Wells Fargoinvestor protection violation2004MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $115,000,000
StoneX Markets LLCStoneX Groupinvestor protection violation2023CFTC$650,000
Stonex Group Inc.StoneX Groupbenefit plan administrator violation2023EBSA$10,001
Stonegate Mortgage Corp.Home Point Capitalconsumer protection violation2013KY-FIN$5,000
Stifel, Nicolaus & Company, IncorporatedStifel Financialinvestor protection violation2017SEC$300,000
Stifel, Nicolaus & Company, IncorporatedStifel Financialinvestor protection violation2009MULTI-FIN$525,000
Stifel, Nicolaus & Company, IncorporatedStifel Financialinvestor protection violation2020FINRA$3,650,000
Stifel, Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2015SEC$500,000
Stifel, Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2011IL-SEC$80,224
Stifel, Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2010MO-SEC$211,617
Stifel, Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2012MO-SEC$1,101,385
Stifel, Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2017MS-SEC$50,000
Stifel, Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2001FINRA$225,000
STIFEL, NICOLAUS & COMPANY, INC.Stifel Financialinvestor protection violation2023MA-SEC$2,500,000
Stifel, Nicolaus & Company Inc.Stifel Financialinvestor protection violation2014NE-DBF$61,000
Stifel, Nicolaus & Co., Inc.Stifel Financialinvestor protection violation2016SEC$24,500,000
Stifel, Nicolaus & Co., Inc.Stifel Financialinvestor protection violation2019SEC$2,700,000
Stifel Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2010NJ-BOS$5,415,381
Stifel Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2015FINRA$2,900,000
Stifel Nicolaus & CompanyStifel Financialinvestor protection violation2004FINRA$125,000
Stifel Nicolaus & Co.Stifel Financialinvestor protection violation2014SEC$60,000
Stifel Financial CorporationStifel Financialinvestor protection violation2014FINRA$1,025,000
Stifel and Nicolaus & Company, IncorporatedStifel Financialinvestor protection violation2019SEC$6,037,175
Stewart Title of California, Inc.Stewart Information Servicesinsurance violation2005CA-INS$750,000
Stewart Title Guaranty CorporationStewart Information Servicesprice-fixing or anti-competitive practices2022NY-AG$2,500,000
Stewart Title Guaranty CompanyStewart Information Servicesinsurance violation2009OR-FIN$30,000
Stewart Title Guaranty CompanyStewart Information Servicesinsurance violation2009TX-INS$55,000
Stewart Title Guaranty CompanyStewart Information Servicesinsurance violation2010TX-INS$525,418
Stewart Title Guaranty CompanyStewart Information Servicesinsurance violation2019WA-INS$10,050
Stewart Title Guaranty CompanyStewart Information Servicesinsurance violation2022MD-INS$123,105
Stewart Title Guaranty Co. and Electronic Closing Services, Inc. dba E-TitleStewart Information Servicesinsurance violation2007CA-INS$1,500,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2013AR-INS$10,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2007CA-INS$1,000,400
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2000CO-INS$25,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2007CO-INS$50,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2012CO-INS$70,400
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2010FL-OFR$165,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2014MD-INS$18,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2006MN-FIN$5,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2015MN-FIN$17,500
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2010WI-INS$7,500
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2020CT-INS$47,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2020MO-INS$100,000
Stewart Title Guarantee Co.Stewart Information Servicesinsurance violation2006MO-INS$75,087
Stewart Title Guarantee Co.Stewart Information Servicesinsurance violation2012MO-INS$128,000
Stewart Title Company of CaliforniaStewart Information Servicesconsumer protection violation2002CA-AG$2,500,000
Stewart Title CompanyStewart Information Servicesinsurance violation2015TX-INS$50,000
Stewart Title CompanyStewart Information Servicesinsurance violation2023IN-INS$6,570
Stewart Title Co.Stewart Information Servicesinsurance violation2015IN-INS$59,400
Sterling Financial CorporationUmpqua Holdingsbenefit plan administrator violation2013private lawsuit-federal$3,025,000
State Street Research Investment Services, Inc.BlackRockinvestor protection violation2004FINRA$1,500,000
State Street Research & Management CompanyBlackRockinvestor protection violation2005SEC$585,743
State Street Global Markets LLCState Street Corp.investor protection violation2005FINRA$1,400,000
State Street Global AdvisorsState Street Corp.investor protection violation2012MA-SEC$5,000,000
State Street CorporationState Street Corp.fraud2017DOJ_CRIMINAL$32,300,000
State Street CorporationState Street Corp.employment discrimination2017OFCCP$4,492,174
State Street CorporationState Street Corp.benefit plan administrator violation2014private lawsuit-federal$10,000,000
State Street CorporationState Street Corp.benefit plan administrator violation2016private lawsuit-federal$60,000,000
State Street CorporationState Street Corp.fraud2021USAO$115,000,000
State Street Corp.State Street Corp.consumer protection violation2019MA-AG$53,500,000
State Street Bank and Trust CompanyState Street Corp.investor protection violation2016SEC$382,400,000
State Street Bank and Trust CompanyState Street Corp.illicit political contributions2016SEC$12,000,000
State Street Bank and Trust CompanyState Street Corp.investor protection violation2010SEC$313,300,000
State Street Bank and Trust CompanyState Street Corp.investor protection violation2017SEC$35,300,000
State Street Bank and Trust CompanyState Street Corp.investor protection violation2019SEC$88,780,000
State Street Bank and Trust CompanyState Street Corp.investor protection violation2018NH-BSR$325,000
State Street Bank And Trust Co.State Street Corp.benefit plan administrator violation2010private lawsuit-federal$89,750,000
State Street Bank and Trust Co.State Street Corp.investor protection violation2016MA-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $75,500,000
State Street Bank and Trust Co.State Street Corp.consumer protection violation2012private lawsuit-federal$6,250,000
State Street Bank & Trust Co.State Street Corp.investor protection violation2010MA-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $300,000,000
State Street Bank & Trust CoState Street Corp.economic sanction violation2003OFAC$22,000
State Street BankState Street Corp.investor protection violation2010WA-AG$11,700,000
State Farm VP Management Corp.State Farm Insuranceinvestor protection violation2013PA-BKG$75,000
STATE FARM MUTUAL, ET AL.State Farm Insuranceinsurance violation2011VA-INS$60,000
State Farm Mutual Insurance CompanyState Farm Insuranceconsumer protection violation2005MULTI-AG$41,000,000
STATE FARM MUTUAL INSURANCE COState Farm Insuranceinsurance violation2017VA-INS$50,600
State Farm Mutual Automobile Insurance Company et al.State Farm Insuranceinsurance violation2022AZ-DIFI$100,000
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceinsurance violation2019MD-INS$23,863
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceinsurance violation2007VA-INS$6,000
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceinsurance violation2010WA-INS$6,500
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceinsurance violation2010WA-INS$12,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.