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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 CompaniesTotal Penalty $Number of Records
Bank of America$83,354,221,356271
JPMorgan Chase$36,129,286,132223
Wells Fargo$25,781,458,643230
Citigroup$25,740,655,365159
Deutsche Bank$18,541,562,80279
UBS$17,082,743,334106
Goldman Sachs$16,603,475,84890
NatWest Group PLC$13,515,546,85731
Credit Suisse$11,427,400,12652
Morgan Stanley$10,167,765,234190

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
The First American Title CompanyFirst American Financialwage and hour violation2006WHD$72,363
THE FIFTH THIRD BANKFifth Third Bancorpenvironmental violation2006FL-DEP$16,000
The Federal Home Loan Mortgage CorporationFreddie Mac (Federal Home Loan Mortgage Corporation)wage and hour violation2011WHD$24,153
The Equitable Life Assurance Society of the United StatesEquitable Holdingsinsurance violation2003FL-OFR$1,600,000
THE COLUMBIA BANKFulton Financialbanking violation2002FDIC$7,000
The Cincinnati Insurance CompanyCincinnati Financialinsurance violation2021MD-INS$96,980
The Cincinnati Insurance CompaniesCincinnati FinancialFamily and Medical Leave Act2005WHD$15,000
THE CINCINNATI INSURANCE CO. ET AL.Cincinnati Financialinsurance violation2003VA-INS$30,000
The Chubb Corp.Chubb Limitedconsumer protection violation2009MA-AG$239,011
The BISYS GroupCitigroupaccounting fraud or deficiencies2007SEC$25,000,000
The Bank of Nova ScotiaScotiabankinvestor protection violation2020CFTC$50,000,000
The Bank of Nova ScotiaScotiabankinvestor protection violation2020CFTC$77,400,000
The Bank of New York Mellon CorporationBank of New York Mellonemployment discrimination2022OFCCP$1,925,000
THE BANK OF NEW YORK MELLONBank of New York Mellonbanking violation2012FED$6,000,000
The Bank of New YorkBank of New York Melloneconomic sanction violation2005OFAC$5,844
The Bank of New YorkBank of New York Mellonanti-money-laundering deficiencies2005USAO$38,000,000
The Bank Of New YorkBank of New York Melloninvestor protection violation2007SEC$750,000
Teachers Insurance Annuity AssociationTIAAwage and hour violation2007WHD$1,171,404
Teachers Insurance and Annuity Insurance Association of AmericaTIAAbenefit plan administrator violation2017private lawsuit-federal$5,000,000
Teachers Insurance and Annuity AssociationTIAAemployment discrimination2020OFCCP$1,500,000
Teachers Insurance & Annuity Assoc of AmericaTIAAwage and hour violation2017WHD$9,678
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankinvestor protection violation2004SEC$2,000,000
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankwage and hour violation2005WHD$55,208
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankinvestor protection violation2004FINRA$150,000
TD Securities (USA) LLCToronto-Dominion Bankinvestor protection violation2016SEC$500,000
TD Securities (USA) LLCToronto-Dominion Bankinvestor protection violation2022SEC$152,955
TD Options LLCToronto-Dominion Bankinvestor protection violation2009SEC$1,000,000
TD BanknorthToronto-Dominion Banklabor relations violation2006NLRB$5,000
TD Bank, National AssociationToronto-Dominion Bankbanking violation2013OCC$37,500,000
TD Bank, N.A.Toronto-Dominion Bankprivacy violation2014MULTI-AG$850,000
TD Bank, N.A.Toronto-Dominion Bankconsumer protection violation2020CFPB$122,000,000
TD Bank, N.A.Toronto-Dominion Bankeconomic sanction violation2021OFAC$115,005
TD BankToronto-Dominion Bankinvestor protection violation2013SEC$15,000,000
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 BankToronto-Dominion Bankprivacy violation2014MA-AG$625,000
TD Ameritrade, Inc.Charles Schwab Corp.investor protection violation2018SEC$500,000
TD Ameritrade, Inc.Charles Schwab Corp.investor protection violation2009MULTI-AG$456,000,000
TD Ameritrade, Inc.Charles Schwab Corp.investor protection violation2015MA-AG$160,000
TD Ameritrade, Inc.Charles Schwab Corp.consumer protection violation2022TX-FIN$81,750
TD Ameritrade Inc.Charles Schwab Corp.investor protection violation2011SEC$10,000,000
TD Ameritrade Inc.Charles Schwab Corp.investor protection violation2015TX-SEC$400,000
TD Ameritrade Clearing, Inc.Charles Schwab Corp.investor protection violation2013FINRA$1,150,000
TD AmeritradeCharles Schwab Corp.investor protection violation2014SEC$100,800
TD AmeritradeCharles Schwab Corp.wage and hour violation2009private lawsuit-federal$2,500,000
TCF National BankHuntington Bancsharesbanking violation2016OCC$56,500
TCF National BankHuntington Bancsharesbanking violation2013OCC$10,000,000
TCF National BankHuntington Bancsharesconsumer protection violation2018CFPB$28,000,000
TCF National BankHuntington Bancsharesbanking violation2018OCC$3,000,000
T.H.E. INSURANCE COMPANYAXAinsurance violation2001FL-OFR$15,000
T.H.E. Insurance CompanyAXAinsurance violation2009PA-INS$5,000
T.H.E. Insurance CompanyAXAinsurance violation2015TX-INS$11,500
T. Rowe Price Group, Inc.T. Rowe Pricebenefit plan administrator violation2022private lawsuit-federal$7,000,000
Synovus BankSynovus Financialbanking violation2013FDIC$135,050
Synchrony BankSynchrony Financialconsumer protection violation2021CA-MULTI$3,500,000
SYNAGRO-WWT, INC.Goldman Sachsworkplace safety or health violation2019OSHA$8,525
SYNAGRO-PATAPSCO PELLETIZERGoldman Sachsenvironmental violation2008MD-ENV$27,000
SYNAGRO WWT INCGoldman Sachsworkplace safety or health violation2022OSHA$11,095
Synagro Woonsocket, LLCGoldman Sachsenvironmental violation2018RI-ENV$175,000
SYNAGRO WOONSOCKET, LLCGoldman Sachsenvironmental violation2022RI-ENV$120,000
Synagro West, LLCGoldman Sachswage and hour violation2005WHD$97,862
SYNAGRO TECHNOLOGIES, INC.Goldman Sachsworkplace safety or health violation2004OSHA$5,725
Synagro Technologies, IncGoldman Sachswage and hour violation2005WHD$149,141
SYNAGRO TECHNOLOGIES INC.Goldman Sachsworkplace safety or health violation2008OSHA$10,000
Synagro of Texas-CDR, Inc.Goldman Sachsenvironmental violation2015TX-ENV$7,927
Synagro Northeast, LLCGoldman Sachsenvironmental violation2021EPA$373,660
Synagro NortheastGoldman Sachsenvironmental violation2017EPA$104,000
SYNAGRO CTL LLCGoldman Sachsenvironmental violation2004PA-ENV$20,000
SYNAGRO CTL LLCGoldman Sachsenvironmental violation2003PA-ENV$15,000
Synagro Central, LLCGoldman Sachsenvironmental violation2012VA-ENV$65,000
SYNAGRO A RESIDUALS MANAGEMENT COMPANYGoldman Sachsworkplace safety or health violation2008OSHA$13,000
Synagro - WWT, Inc.Goldman Sachsenvironmental violation2005OH-ENV$10,000
SYNAGROGoldman Sachsworkplace safety or health violation2012OSHA$7,000
Swiss Re Financial Products CorporationSwiss Reinvestor protection violation2007SEC$95,000
Swiss Life Holding AG et al.Swiss Life Grouptax violations2021DOJ_TAX$77,374,337
Swineford National BankFulton Financialbanking violation2013OCC$33,880
SunTrust Robinson Humphrey, Inc.Truist Financialinvestor protection violation2016FINRA$1,500,000
SunTrust Robinson Humphrey, Inc.Truist Financialinvestor protection violation2011FINRA$5,000,000
SunTrust Robinson Humphrey, Inc.Truist Financialinvestor protection violation2008FINRA$1,650,000
SunTrust Mortgage, Inc.Truist Financialconsumer protection violation2014CFPB$550,000,000
SunTrust Mortgage, Inc.Truist Financialtoxic securities abuses2013FHFA$65,000,000
SunTrust Mortgage, Inc.Truist Financialdiscriminatory practices (non-employment)2013HUD$36,000
SunTrust Mortgage, Inc.Truist Financialconsumer protection violation2017AR-SEC$13,000
SunTrust Mortgage, Inc.Truist Financialmortgage abuses2016CA-DFPI$50,000
SunTrust Mortgage, Inc.Truist Financialconsumer protection violation2019CA-DFPI$349,015
SunTrust Mortgage Inc.Truist Financialbanking violation2012DOJ_RIGHTS$21,000,000
SunTrust Mortgage Inc.Truist Financialmortgage abuses2014DOJ_CIVIL$320,000,000
SunTrust Mortgage Inc.Truist FinancialFalse Claims Act and related2014DOJ_CIVIL$418,000,000
SunTrust Mortgage Inc.Truist Financialwage and hour violation2012WHD$51,518
SunTrust Mortgage Inc.Truist Financialmortgage abuses2014MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $40,000,000
SunTrust MortgageTruist Financialwage and hour violation2012private lawsuit-federal$2,400,000
SunTrust Investment Services, Inc.Truist Financialinvestor protection violation2010FINRA$1,440,000
SunTrust Investment Services, Inc.Truist Financialinvestor protection violation2008FINRA$700,000
SunTrust Investment Services, Inc.Truist Financialinvestor protection violation2008FINRA$300,000
SunTrust Capital Markets, Inc.Truist Financialinvestor protection violation2005FINRA$100,000
SunTrust Capital Markets Inc.Truist Financialinvestor protection violation2006SEC$125,000
SunTrust Banks, Inc.Truist Financialbanking violation2014FED$160,000,000
SunTrust Banks, Inc.Truist Financialbenefit plan administrator violation2018private lawsuit-federal$4,750,000
SunTrust BanksTruist Financialinvestor protection violation2017SEC$1,100,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.