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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$388,802,802,308
Number of Records: 7,734
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$87,294,650,890329
JPMorgan Chase$39,688,888,209277
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,264,317,61841
Morgan Stanley$10,780,502,443203
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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CompanyCurrent Parent sort iconPrimary Offense TypeYearAgencyPenalty Amount
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2012MSHA$7,115
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$8,209
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$8,209
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$8,209
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2020MSHA$5,332
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2015MSHA$5,080
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2011MSHA$13,268
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2023MSHA$9,979
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2013MSHA$6,351
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2012MSHA$6,996
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2019MSHA$36,151
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$6,200
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$6,062
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2011MSHA$12,248
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2011MSHA$13,510
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2018MSHA$5,997
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$10,200
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2012MSHA$31,100
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$5,080
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$9,000
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$11,000
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2012MSHA$7,000
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$7,578
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$5,503
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2018MSHA$8,947
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2018MSHA$9,942
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2011MSHA$5,080
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2015MSHA$5,645
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2015MSHA$5,961
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2018MSHA$10,473
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$6,800
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$7,176
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$5,961
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2009MSHA$6,600
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2011MSHA$5,016
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2019MSHA$72,600
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2019MSHA$11,041
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2019MSHA$7,401
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2019MSHA$8,016
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$10,437
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$5,080
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$13,268
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$6,500
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$8,209
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$8,209
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$33,400
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$14,743
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$8,893
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$8,000
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$8,600
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$8,000
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$11,500
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$38,925
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$38,925
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$5,000
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$5,000
Trafigura Beheer B.V. TrafiguraForeign Corrupt Practices Act2024DOJ_CRIMINAL$126,998,297
TP ICAP PLCTP ICAP PLCprice-fixing or anti-competitive practices2023private lawsuit-federal$2,375,000
TP ICAP plcTP ICAP PLCprice-fixing or anti-competitive practices2023private lawsuit-federal$2,100,000
TD Bank, National AssociationToronto-Dominion Bankbanking violation2013OCC$37,500,000
ConvergEx Group LLCToronto-Dominion Bankfraud2014DOJ_CRIMINAL$43,800,000
ConvergEx GroupToronto-Dominion Bankinvestor protection violation2013SEC$107,424,429
TD BankToronto-Dominion Bankinvestor protection violation2013SEC$15,000,000
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankinvestor protection violation2004SEC$2,000,000
SG Cowen & Co., LLC f/k/a SG Cowen Securities CorporationToronto-Dominion Bankinvestor protection violation2004SEC$125,000
SG Cowen Securities CorporationToronto-Dominion Bankinvestor protection violation2003SEC$5,000,000
Toronto-Dominion BankToronto-Dominion Bankeconomic sanction violation2017OFAC$516,105
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankwage and hour violation2005WHD$55,208
TD BanknorthToronto-Dominion Banklabor relations violation2006NLRB$5,000
TD Securities (USA) LLCToronto-Dominion Bankinvestor protection violation2016SEC$500,000
TD BankToronto-Dominion Bankwage and hour violation2015private lawsuit-federal$9,900,000
TD BankToronto-Dominion Bankwage and hour violation2014private lawsuit-federal$6,000,000
TD BankToronto-Dominion Bankwage and hour violation2013private lawsuit-federal$975,000
TD BankToronto-Dominion Bankwage and hour violation2010private lawsuit-federal$375,000
TD Options LLCToronto-Dominion Bankinvestor protection violation2009SEC$1,000,000
Convergex Execution Solutions LLCToronto-Dominion Bankinvestor protection violation2018SEC$2,750,000
TD BankToronto-Dominion Bankprivacy violation2014MA-AG$625,000
TD Bank, N.A.Toronto-Dominion Bankprivacy violation2014MULTI-AG$850,000
TD Bank, N.A.Toronto-Dominion Bankconsumer protection violation2020CFPB$122,000,000
Cowen and Company, LLCToronto-Dominion Bankinvestor protection violation2008FINRA$150,000
SG Cowen, LLCToronto-Dominion Bankinvestor protection violation2004FINRA$800,000
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankinvestor protection violation2004FINRA$150,000
TD Bank, N.A.Toronto-Dominion Bankeconomic sanction violation2021OFAC$115,005
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 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 violation2017private lawsuit-federal$500,000
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
Philadelphia Indemnity Insurance CompanyTokio MarineFalse Claims Act and related2018USAO$30,508
The Tokio Marine and Fire Insurance Company, Ltd. and Trans Pacific Insurance Co.Tokio Marineinsurance violation2003CA-INS$42,500
Philadelphia Indemnity Insurance Co.Tokio Marineinsurance violation2005CA-INS$175,000
American Contractors Indemnity Co.Tokio Marineinsurance violation2007CA-INS$170,000
Philadelphia Indemnity Insurance Co.Tokio Marineinsurance violation2008CA-INS$60,000
Reliance Standard Life Insurance Co.Tokio Marineinsurance violation2009KS-INS$6,300
Philadelphia Indemnity Insurance CompanyTokio Marineinsurance violation2000MA-INS$7,040
Philadelphia Indemnity Insurance Co.Tokio Marineinsurance violation2014MD-INS$7,500
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.