Violation Tracker

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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $347,416,567,662
Number of Records: 7,172
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 Companies	Total Penalty $	Number of Records
Bank of America	$83,354,221,356	271
JPMorgan Chase	$36,129,286,132	223
Wells Fargo	$25,781,458,643	230
Citigroup	$25,740,655,365	159
Deutsche Bank	$18,541,562,802	79
UBS	$17,082,743,334	106
Goldman Sachs	$16,603,475,848	90
NatWest Group PLC	$13,515,546,857	31
Credit Suisse	$11,427,400,126	52
Morgan Stanley	$10,167,765,234	190

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	Current Parent .	Primary Offense Type	Year	Agency	Penalty Amount
Trafigura AG	Trafigura	environmental violation	2015	EPA	$21,450
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2010	MSHA	$6,062
Nyrstar Tennessee Mines, Strawberry Plains LLC	Trafigura	workplace safety or health violation	2010	MSHA	$18,271
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2010	MSHA	$6,800
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2010	MSHA	$5,000
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2010	MSHA	$7,176
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2010	MSHA	$5,961
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2010	MSHA	$38,925
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2010	MSHA	$10,200
Nyrstar Tennessee Mines, Strawberry Plains LLC	Trafigura	workplace safety or health violation	2010	MSHA	$5,080
Nyrstar Tennessee Mines, Strawberry Plains LLC	Trafigura	workplace safety or health violation	2009	MSHA	$16,830
Nyrstar Tennessee Mines, Strawberry Plains LLC	Trafigura	workplace safety or health violation	2010	MSHA	$5,080
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2009	MSHA	$6,600
Nyrstar Tennessee Mines, Strawberry Plains LLC	Trafigura	workplace safety or health violation	2009	MSHA	$9,951
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2010	MSHA	$38,925
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2010	MSHA	$6,200
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2010	MSHA	$7,578
Nyrstar Tennessee Mines, Strawberry Plains LLC	Trafigura	workplace safety or health violation	2009	MSHA	$25,000
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2010	MSHA	$5,503
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2014	MSHA	$9,000
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2012	MSHA	$7,000
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2014	MSHA	$8,209
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2014	MSHA	$33,400
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2014	MSHA	$8,000
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2014	MSHA	$8,209
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2013	MSHA	$6,351
Nyrstar Tennessee Mines, Strawberry Plains LLC	Trafigura	workplace safety or health violation	2014	MSHA	$8,600
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2014	MSHA	$11,000
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2014	MSHA	$8,209
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2014	MSHA	$8,209
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2014	MSHA	$8,893
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2014	MSHA	$14,743
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2011	MSHA	$13,510
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2014	MSHA	$8,209
Nyrstar Tennessee Mines, Strawberry Plains LLC	Trafigura	workplace safety or health violation	2011	MSHA	$12,790
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2014	MSHA	$10,437
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2014	MSHA	$5,080
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2014	MSHA	$8,600
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2014	MSHA	$11,500
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2012	MSHA	$31,100
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2011	MSHA	$13,268
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2014	MSHA	$5,000
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2011	MSHA	$5,080
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2012	MSHA	$7,115
Nyrstar Tennessee Mines, Strawberry Plains LLC	Trafigura	workplace safety or health violation	2014	MSHA	$5,000
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2011	MSHA	$5,016
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2014	MSHA	$5,080
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2011	MSHA	$12,248
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2014	MSHA	$13,268
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2014	MSHA	$6,500
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2014	MSHA	$8,000
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2012	MSHA	$6,996
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2019	MSHA	$8,016
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2015	MSHA	$5,645
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2015	MSHA	$5,961
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2015	MSHA	$5,080
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2019	MSHA	$36,151
Nyrstar Tennessee Mines, Strawberry Plains LLC	Trafigura	workplace safety or health violation	2020	MSHA	$6,159
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2018	MSHA	$8,947
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2018	MSHA	$5,997
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2018	MSHA	$10,473
Nyrstar Tennessee Mines, Strawberry Plains LLC	Trafigura	workplace safety or health violation	2018	MSHA	$5,903
Nyrstar Tennessee Mines, Strawberry Plains LLC	Trafigura	workplace safety or health violation	2019	MSHA	$5,776
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2020	MSHA	$5,332
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2019	MSHA	$7,401
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2019	MSHA	$11,041
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2018	MSHA	$9,942
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2019	MSHA	$72,600
Nyrstar Tennessee Mines, Strawberry Plains LLC	Trafigura	workplace safety or health violation	2022	MSHA	$59,500
Nyrstar Tennessee Mines, Strawberry Plains LLC	Trafigura	workplace safety or health violation	2022	MSHA	$22,329
Nyrstar Tennessee Mines, Strawberry Plains LLC	Trafigura	workplace safety or health violation	2022	MSHA	$6,725
Nyrstar Tennessee Mines, Strawberry Plains LLC	Trafigura	workplace safety or health violation	2021	MSHA	$6,232
Nyrstar Tennessee Mines, Strawberry Plains LLC	Trafigura	workplace safety or health violation	2022	MSHA	$6,725
TD Bank, National Association	Toronto-Dominion Bank	banking violation	2013	OCC	$37,500,000
TD Bank	Toronto-Dominion Bank	investor protection violation	2013	SEC	$15,000,000
TD Waterhouse Investor Services, Inc.	Toronto-Dominion Bank	investor protection violation	2004	SEC	$2,000,000
Toronto-Dominion Bank	Toronto-Dominion Bank	economic sanction violation	2017	OFAC	$516,105
TD Waterhouse Investor Services, Inc.	Toronto-Dominion Bank	wage and hour violation	2005	WHD	$55,208
TD Banknorth	Toronto-Dominion Bank	labor relations violation	2006	NLRB	$5,000
TD Securities (USA) LLC	Toronto-Dominion Bank	investor protection violation	2016	SEC	$500,000
TD Bank	Toronto-Dominion Bank	wage and hour violation	2015	private lawsuit-federal	$9,900,000
TD Bank	Toronto-Dominion Bank	wage and hour violation	2014	private lawsuit-federal	$6,000,000
TD Bank	Toronto-Dominion Bank	wage and hour violation	2013	private lawsuit-federal	$975,000
TD Bank	Toronto-Dominion Bank	wage and hour violation	2010	private lawsuit-federal	$375,000
TD Options LLC	Toronto-Dominion Bank	investor protection violation	2009	SEC	$1,000,000
TD Bank	Toronto-Dominion Bank	privacy violation	2014	MA-AG	$625,000
TD Bank, N.A.	Toronto-Dominion Bank	privacy violation	2014	MULTI-AG	$850,000
TD Bank, N.A.	Toronto-Dominion Bank	consumer protection violation	2020	CFPB	$122,000,000
TD Waterhouse Investor Services, Inc.	Toronto-Dominion Bank	investor protection violation	2004	FINRA	$150,000
TD Bank, N.A.	Toronto-Dominion Bank	economic sanction violation	2021	OFAC	$115,005
TD Securities (USA) LLC	Toronto-Dominion Bank	investor protection violation	2022	SEC	$152,955
Philadelphia Indemnity Insurance Company	Tokio Marine	False Claims Act and related	2018	USAO	$30,508
The Tokio Marine and Fire Insurance Company, Ltd. and Trans Pacific Insurance Co.	Tokio Marine	insurance violation	2003	CA-INS	$42,500
Philadelphia Indemnity Insurance Co.	Tokio Marine	insurance violation	2005	CA-INS	$175,000
American Contractors Indemnity Co.	Tokio Marine	insurance violation	2007	CA-INS	$170,000
Philadelphia Indemnity Insurance Co.	Tokio Marine	insurance violation	2008	CA-INS	$60,000
Reliance Standard Life Insurance Co.	Tokio Marine	insurance violation	2009	KS-INS	$6,300
Philadelphia Indemnity Insurance Company	Tokio Marine	insurance violation	2000	MA-INS	$7,040
Philadelphia Indemnity Insurance Co.	Tokio Marine	insurance violation	2014	MD-INS	$7,500
Safety National Casualty Corp.	Tokio Marine	insurance violation	2017	MD-INS	$5,000
Privilege Underwriters Reciprocal Exchange	Tokio Marine	insurance violation	2019	MD-INS	$15,300