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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,370,701,61843
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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Company sort iconCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount
Transamerica Life Insurance Co. et al.Aegoninsurance violation2012MN-FIN$50,000
Transamerica Life Insurance Co. et al.Aegoninsurance violation2014MN-FIN$2,500,000
Transamerica Life Insurance Co. and Transamerica Premier Life Insurance Co.Aegoninsurance violation2019MN-FIN$100,000
Transamerica Life Insurance Co.Aegoninsurance violation2013MA-AG$1,330,000
Transamerica Life Insurance Co.Aegoninsurance violation2012CO-INS$6,270
Transamerica Life Insurance Co.Aegoninsurance violation2017ID-INS$5,000
Transamerica Life Insurance Co.Aegoninsurance violation2011MD-INS$5,000
Transamerica Life Insurance Co.Aegoninsurance violation2015MD-INS$16,300
Transamerica Life Insurance Co.Aegoninsurance violation2017MD-INS$8,300
Transamerica Life Insurance Co.Aegoninsurance violation2019MO-INS$6,000
Transamerica Life Insurance Co.Aegoninsurance violation2019MO-INS$5,000
Transamerica Life Insurance Co.Aegoninsurance violation2019MO-INS$26,000
Transamerica Life Insurance Co.Aegoninsurance violation2021WA-INS$30,000
Transamerica Life Insurance Co.Aegoninsurance violation2022MN-FIN$500,000
Transamerica Insurance Co.Aegoninsurance violation2013MULTI-AG$11,200,000
Transamerica Financial Life Insurance CompanyAegoninsurance violation2013NY-DFS$852,418
Transamerica Financial Life Insurance CompanyAegoninsurance violation2018NY-DFS$1,345,136
Transamerica Financial Life Insurance CompanyAegoninsurance violation2020NY-DFS$750,000
Transamerica Financial Life Insurance CompanyAegoninsurance violation2023NY-DFS$120,000
Transamerica Financial Advisors, Inc.Aegoninvestor protection violation2019SEC$6,023,072
Transamerica Financial Advisors, Inc.Aegoninvestor protection violation2020FINRA$8,800,000
Transamerica Financial AdvisorsAegoninvestor protection violation2014SEC$1,107,248
Transamerica CorporationAegonbenefit plan administrator violation2016private lawsuit-federal$3,800,000
Transamerica CorporationAegonbenefit plan administrator violation2021private lawsuit-federal$5,400,000
Transamerica Casualty Insurance CompanyAegoninsurance violation2014WA-INS$20,000
Transamerica Casualty Insurance CompanyAegoninsurance violation2015WA-INS$10,000
Transamerica Casualty Insurance CompanyAegoninsurance violation2017MULTI-FIN$3,000,000
Transamerica Asset Management, Inc.Aegoninvestor protection violation2020SEC$5,946,782
Trafigura Beheer B.V. AmsterdamTrafiguraenvironmental violation2012CA-ARB$10,000
Trafigura AGTrafigurawage and hour violation2007WHD$11,839
Trafigura AGTrafiguraenvironmental violation2012EPA$73,465
Trafigura AGTrafiguraenvironmental violation2015EPA$21,450
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
Towers, Perrin, Forrester & CrosbyWillis Towers Watsonwage and hour violation2005WHD$294,279
Towers PerrinWillis Towers Watsonwage and hour violation2005WHD$105,865
Towers PerrinWillis Towers Watsonwage and hour violation2004WHD$376,093
Towers PerrinWillis Towers Watsonbenefit plan administrator violation2011private lawsuit-federal$9,200,000
Total System Services IncGlobal Payments Inc.wage and hour violation2014WHD$32,095
Toronto-Dominion BankToronto-Dominion Bankeconomic sanction violation2017OFAC$516,105
Torchmark CorporationGlobe Life Inc.Medicare Parts C and D Enforcement Action2014CMS$40,000
Torchmark CorporationGlobe Life Inc.Medicare Parts C and D Enforcement Action2013CMS$150,000
TOPS PRODUCTS, A DIVISION OF R.R. DONNELLEY & SONSChatham Asset Managementenvironmental violation2015EPA$318,000
TOKIO MARINE KILN SYNDICATES, LTD.Tokio Marineinsurance violation2018VA-INS$7,500
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
Tokio Marine America Insurance CompanyTokio Marineinsurance violation2023NY-DFS$360,000
Tokio Marine & Nichido Fire Insurance Co.Tokio Marineinsurance violation2013MO-INS$29,750
TNUS INSURANCE COMPANY ET AL.Tokio Marineinsurance violation2015VA-INS$120,233
TMX Finance, LLCTMX Financewage and hour violation2014WHD$10,057
TMX Finance, LLCTMX Financewage and hour violation2016WHD$6,353
TMX Finance LLCTMX Financeconsumer protection violation2016CFPB$9,000,000
TMX Finance LLCTMX FinanceFamily and Medical Leave Act2012WHD$36,596
TitleMax of Virginia Inc.TMX Financeconsumer protection violation2014DC-AG$167,257
TitleMax of Missouri, Inc.TMX FinanceFamily and Medical Leave Act2015WHD$11,648
TitleMax of California, Inc.TMX Financeconsumer protection violation2019CA-DFPI$720,140
TitleMax and TMX FinanceTMX Financeconsumer protection violation2023CFPB$15,000,000
Titan Insurance CompanyNationwideinsurance violation2019NY-DFS$149,300
Titan Insurance Co.Nationwideinsurance violation2006AZ-DIFI$40,000
Titan Indemnity Company; Victoria Fire & Casualty CompanyNationwideinsurance violation2017WA-INS$60,000
Titan Indemnity Co. and Victoria Fire and Casualty Co.Nationwideinsurance violation2011MD-INS$20,000
Titan Indemnity Co.Nationwideinsurance violation2010AZ-DIFI$20,000
Titan Indemnity Co.Nationwideinsurance violation2014DE-INS$25,000
Time Insurance Company IiHaven Holdingsinsurance violation2015WA-INS$10,000
Time Insurance CompanyHaven Holdingsconsumer protection violation2007MA-AG$16,000
Time Insurance CompanyHaven Holdingsinsurance violation2013NC-INS$524,000
Time Insurance CompanyHaven Holdingsinsurance violation2008NH-INS$450,000
Time Insurance CompanyHaven Holdingsinsurance violation2007OR-FIN$60,000
Time Insurance CompanyHaven Holdingsinsurance violation2014OR-FIN$40,000
Time Insurance CompanyHaven Holdingsinsurance violation2016OR-FIN$178,948
Time Insurance CompanyHaven Holdingsinsurance violation2016SD-INS$300,000
Time Insurance CompanyHaven Holdingsinsurance violation2018TX-INS$125,000
Time Insurance CompanyHaven Holdingsinsurance violation2018TX-INS$15,000
TIME INSURANCE COMPANYHaven Holdingsinsurance violation2014VA-INS$19,000
Time Insurance Co. et al.Haven Holdingsinsurance violation2013MO-INS$1,000,000
Time Insurance Co. and John Alden Life Insurance Co. and Union Securitiy Insurance Co.Haven Holdingsinsurance violation2012IN-INS$2,950,000
Time Insurance Co.Haven Holdingsinsurance violation2013AZ-DIFI$60,000
Time Insurance Co.Haven Holdingsinsurance violation2009CO-INS$103,500
Time Insurance Co.Haven Holdingsinsurance violation2010FL-OFR$23,000
Time Insurance Co.Haven Holdingsinsurance violation2014ID-INS$5,000
Time Insurance Co.Haven Holdingsinsurance violation2014MD-INS$25,000
Time Insurance Co.Haven Holdingsinsurance violation2008MN-FIN$7,500
Time Insurance Co.Haven Holdingsinsurance violation2019MN-FIN$5,000
Time Insurance Co.Haven Holdingsinsurance violation2010MT-FIN$50,000
Time Insurance Co.Haven Holdingsinsurance violation2010WI-INS$280,000
Ticor Title Insurance CompanyFidelity National Financialinsurance violation2007OR-FIN$6,000
Ticor Title Insurance Co.Fidelity National Financialinsurance violation2005FL-OFR$50,000
Ticor Title Insurance Co.Fidelity National Financialinsurance violation2009IN-INS$10,850
Ticor Title Insurance Co.Fidelity National Financialinsurance violation2009MO-INS$20,725
Ticor Title Company of CaliforniaFidelity National Financialinsurance violation2018CA-INS$6,000
Ticor Title Company of CaliforniaFidelity National Financialwage and hour violation2022CA-LCO$32,017
Ticor Title CompanyFidelity National Financialinsurance violation2015WA-INS$5,000
Ticor Title CompanyFidelity National Financialinsurance violation2017WA-INS$6,000
Ticor Title CompanyFidelity National Financialinsurance violation2018WA-INS$10,000
Ticor Title CompanyFidelity National Financialinsurance violation2019WA-INS$5,000
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
TIAA-CREF Individual & Institutional Services, LLCTIAAinvestor protection violation2019SEC$2,395,722
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
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.