Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$386,323,382,715
Number of Records: 7,643
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$87,286,650,890328
JPMorgan Chase$39,340,688,209275
UBS$31,069,299,125179
Wells Fargo$27,517,969,231264
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,327,552109
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,778,902,443202
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)
CompanyCurrent Parent sort icon . Primary Offense TypeYearAgencyPenalty Amount
TIAA-CREF Life Insurance CompanyTIAAinsurance violation2016NY-DFS$29,325
TIAA-CREF Life Insurance CompanyTIAAinsurance violation2016NY-DFS$139,940
TIAA-CREF Life Insurance CompanyTIAAinsurance violation2013MULTI-FIN$6,200,000
Teachers Insurance and Annuity AssociationTIAAemployment discrimination2020OFCCP$1,500,000
Nuveen Services LLCTIAAwage and hour violation2018IL-DOL$27,983
TIAA Bank, FSBTIAAwage and hour violation2020private lawsuit-federal$3,500,000
Nuveen Investments, LLCTIAAinvestor protection violation2011FINRA$3,000,000
John Nuveen & Co., Inc.TIAAinvestor protection violation2000FINRA$6,630,000
TIAA-CREF Individual & Institutional Services, LLCTIAAbenefit plan administrator violation2021NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $97,000,000
TIAA-CREF Individual & Institutional Services LLCTIAAaccounting fraud or deficiencies2021SEC$97,000,000
Nuveen Securities LLCTIAAinvestor protection violation2023SEC$8,500,000
TMX Finance LLCTMX Financeconsumer protection violation2016CFPB$9,000,000
TitleMax of Missouri, Inc.TMX FinanceFamily and Medical Leave Act2015WHD$11,648
TMX Finance, LLCTMX Financewage and hour violation2014WHD$10,057
TMX Finance LLCTMX FinanceFamily and Medical Leave Act2012WHD$36,596
TitleMax of Virginia Inc.TMX Financeconsumer protection violation2014DC-AG$167,257
TMX Finance, LLCTMX Financewage and hour violation2016WHD$6,353
TitleMax of California, Inc.TMX Financeconsumer protection violation2019CA-DFPI$720,140
TitleMax and TMX FinanceTMX Financeconsumer protection violation2023CFPB$15,000,000
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
Safety National Casualty Corp.Tokio Marineinsurance violation2017MD-INS$5,000
Privilege Underwriters Reciprocal ExchangeTokio Marineinsurance violation2019MD-INS$15,300
Philadelphia Indemnity Insurance Co.Tokio Marineinsurance violation2015MN-FIN$5,000
Philadelphia Indemnity Insurance Co.Tokio Marineinsurance violation2015MN-FIN$5,000
HCC Life Insurance Co.Tokio Marineinsurance violation2016MN-FIN$5,000
Safety National Casualty Co.Tokio Marineinsurance violation2013MO-INS$61,250
Safety First Insurance Co.Tokio Marineinsurance violation2013MO-INS$12,250
Tokio Marine & Nichido Fire Insurance Co.Tokio Marineinsurance violation2013MO-INS$29,750
Safety National Casualty Corp.Tokio Marineinsurance violation2004MS-INS$5,000
Safety National Casualty Corp.Tokio Marineinsurance violation2008MS-INS$10,000
HCC Life Insurance Co. and HCC Medical Insurance Services, LLCTokio Marineinsurance violation2017MT-FIN$130,000
Tokio Marine Kiln Syndicates Limited et al.Tokio Marineinsurance violation2018NJ-DBI$60,000
Tokio Marine Kiln Syndicates Limited and Beazley Furlonge LimitedTokio Marineinsurance violation2017NY-DFS$920,000
Reliance Standard Life Insurance CompanyTokio Marineinsurance violation2007OR-FIN$10,000
Reliance Standard Life Insurance CompanyTokio Marineinsurance violation2007OR-FIN$5,000
Safety National Casualty CorporationTokio Marineinsurance violation2014TX-INS$32,109
Safety National Casualty CorporationTokio Marineinsurance violation2015TX-INS$5,000
Safety National Casualty CorporationTokio Marineinsurance violation2018TX-INS$23,500
Safety National Casualty CorporationTokio Marineinsurance violation2019TX-INS$5,000
AVEMCO INSURANCE COMPANYTokio Marineinsurance violation2002VA-INS$12,000
TNUS INSURANCE COMPANY ET AL.Tokio Marineinsurance violation2015VA-INS$120,233
HCC LIFE INSURANCE COMPANYTokio Marineinsurance violation2015VA-INS$9,000
TOKIO MARINE KILN SYNDICATES, LTD.Tokio Marineinsurance violation2018VA-INS$7,500
Producers Agriculture Insurance CompanyTokio Marineinsurance violation2019WA-INS$50,000
Privilege Underwriters Reciprocal ExchangeTokio Marineinsurance violation2020WA-INS$20,000
HCC Life Insurance Company et al.Tokio Marineinsurance violation2018MULTI-FIN$5,000,000
Privilege Underwriters Reciprocal ExchangeTokio Marineinsurance violation2020WA-INS$5,000
Safety National Casualty Corp.Tokio Marineinsurance violation2021TX-INS$9,500
Safety National Casualty Corp.Tokio Marineinsurance violation2021TX-INS$15,500
Safety National Casualty Corp.Tokio Marineinsurance violation2021TX-INS$39,000
Privilege Underwriters Reciprocal ExchangeTokio Marineinsurance violation2021VA-INS$19,295
Philadelphia Indemnity Insurance CompanyTokio Marineinsurance violation2022TX-INS$40,000
Producers Agriculture Insurance CompanyTokio Marineinsurance violation2022ND-INS$5,000
Producers Agriculture Insurance CompanyTokio Marineinsurance violation2022SD-INS$45,000
Safety National Casualty CorporationTokio Marineinsurance violation2022TX-INS$12,500
Safety National Casualty CorporationTokio Marineinsurance violation2022TX-INS$9,000
Safety National Casualty CorporationTokio Marineinsurance violation2022TX-INS$34,500
Safety National Casualty CorporationTokio Marineinsurance violation2022TX-INS$22,000
Reliance Standard Life Insurance CompanyTokio Marineinsurance violation2022CT-INS$9,000
Safety National Casualty CorporationTokio Marineinsurance violation2023TX-INS$10,000
Tokio Marine America Insurance CompanyTokio Marineinsurance violation2023NY-DFS$360,000
Safety National Casualty Corp.Tokio Marineinsurance violation2023TX-INS$19,000
Privilege Underwriters Reciprocal ExchangeTokio Marineeconomic sanction violation2023OFAC$466,200
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 Bankdata submission deficiencies2018SEC$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
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.