Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $364,987,502,767
Number of Records: 7,424
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$83,860,718,022283
JPMorgan Chase$36,735,865,891239
Citigroup$26,665,437,031170
Wells Fargo$25,943,801,143236
Deutsche Bank$19,684,396,13592
UBS$17,479,735,000115
Goldman Sachs$17,054,777,59197
NatWest Group PLC$14,007,380,19038
Credit Suisse$11,673,430,79257
Morgan Stanley$10,440,931,900196

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
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
Thrivent Financial For LutheransThrivent Financialinsurance violation2012MD-INS$8,000
Thrivent Financial for LutheransThrivent Financialinsurance violation2013WI-INS$5,000
Thrivent Investment Management Inc.Thrivent Financialinvestor protection violation2020IL-SEC$400,000
T. Rowe Price Group, Inc.T. Rowe Pricebenefit plan administrator violation2022private lawsuit-federal$7,000,000
Synovus BankSynovus Financialbanking violation2013FDIC$135,050
AFB&TSynovus Financialbanking violation2009FDIC$7,040
Bank of North GeorgiaSynovus Financialenvironmental violation2011GA-ENV$14,000
GE Capital Retail Bank, now known as Synchrony BankSynchrony Financialconsumer protection violation2014CFPB$225,000,000
GE Capital Retail Bank and CareCreditSynchrony Financialconsumer protection violation2013CFPB$34,100,000
GE Capital Corp.Synchrony Financialconsumer protection violation2006CT-AG$336,000
Synchrony BankSynchrony Financialconsumer protection violation2021CA-MULTI$3,500,000
GE ENERGY MANAGEMENT GRID SOLUTIONS, LLCSynchrony Financialworkplace safety or health violation2015OSHA$22,300
Swiss Re Financial Products CorporationSwiss Reinvestor protection violation2007SEC$95,000
Swiss Life Holding AG et al.Swiss Life Grouptax violations2021DOJ_TAX$77,374,337
Massachusetts Financial Services CompanySun Life Financialinvestor protection violation2004SEC$50,000,000
Massachusetts Financial Services Co.Sun Life Financialinvestor protection violation2004SEC$225,000,000
Massachusetts Financial Services CompanySun Life Financialinvestor protection violation2003SEC$917,858
Sun Life Assurance Company of Canada (U.S.)Sun Life Financialwage and hour violation2009WHD$6,366
Sun Life Assurance Company of Canada (U.S.)Sun Life Financialwage and hour violation2009WHD$25,744
Massachusetts Financial Services CompanySun Life Financialinvestor protection violation2018SEC$1,900,000
Massachusetts Financial Services Co.Sun Life Financialinvestor protection violation2004NY-AG$350,000,000
Sun Life Insurance CompanySun Life Financialinsurance violation2014MULTI-AG$3,200,000
Sun LIfe Assurance Company of Canada et al.Sun Life Financialinsurance violation2004IN-INS$125,000
Sun Life Insurance Company of CanadaSun Life Financialinsurance violation2009MN-FIN$7,500
SUN LIFE ASSURANCE CO OF CANADASun Life Financialenvironmental violation2005MA-ENV$31,635
INTL FCStoneStoneX Groupaccounting fraud or deficiencies2016SEC$150,000
INTL FCStone Markets, LLCStoneX Groupinvestor protection violation2015CFTC$200,000
FCStone, LLCStoneX Groupinvestor protection violation2015CFTC$140,000
Global Futures & Forex, Ltd.StoneX Groupinvestor protection violation2014CFTC$200,000
FCStone LLCStoneX Groupinvestor protection violation2013CFTC$1,500,000
FCStone, LLC and Commodity Operations Inc.StoneX Groupinvestor protection violation2012CFTC$260,000
INTL FCStone Financial Inc.StoneX Groupinvestor protection violation2017CFTC$280,000
Gain Capital Group, LLCStoneX Groupinvestor protection violation2020CFTC$300,000
Stifel, Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2015SEC$500,000
Stifel Nicolaus & Co.Stifel Financialinvestor protection violation2014SEC$60,000
Thomas Weisel Partners LLCStifel Financialinvestor protection violation2004SEC$12,500,000
Stifel, Nicolaus & Co., Inc.Stifel Financialinvestor protection violation2016SEC$24,500,000
Stifel, Nicolaus & Company, IncorporatedStifel Financialinvestor protection violation2017SEC$300,000
Stifel and Nicolaus & Company, IncorporatedStifel Financialinvestor protection violation2019SEC$6,037,175
Stifel, Nicolaus & Co., Inc.Stifel Financialinvestor protection violation2019SEC$2,700,000
Thomas Weisel Partners LLCStifel Financialinvestor protection violation2006CT-SEC$52,480
Stifel, Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2011IL-SEC$80,224
Stifel, Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2010MO-SEC$211,617
Stifel, Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2012MO-SEC$1,101,385
Stifel, Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2017MS-SEC$50,000
Stifel, Nicolaus & Company Inc.Stifel Financialinvestor protection violation2014NE-DBF$61,000
Stifel Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2010NJ-BOS$5,415,381
Stifel, Nicolaus & Company, IncorporatedStifel Financialinvestor protection violation2009MULTI-FIN$525,000
Thomas Weisel Partners LLCStifel Financialinvestor protection violation2005MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $5,000,000
Stifel, Nicolaus & Company, IncorporatedStifel Financialinvestor protection violation2020FINRA$3,650,000
Stifel Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2015FINRA$2,900,000
Stifel Financial CorporationStifel Financialinvestor protection violation2014FINRA$1,025,000
Thomas Weisel Partners, LLCStifel Financialinvestor protection violation2008FINRA$200,000
Thomas Weisel PartnersStifel Financialinvestor protection violation2005FINRA$1,750,000
Stifel Nicolaus & CompanyStifel Financialinvestor protection violation2004FINRA$125,000
Stifel, Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2001FINRA$225,000
Stewart Title Company of CaliforniaStewart Information Servicesconsumer protection violation2002CA-AG$2,500,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2013AR-INS$10,000
Stewart Title of California, Inc.Stewart Information Servicesinsurance violation2005CA-INS$750,000
Stewart Title Guaranty Co. and Electronic Closing Services, Inc. dba E-TitleStewart Information Servicesinsurance violation2007CA-INS$1,500,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2007CA-INS$1,000,400
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2000CO-INS$25,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2007CO-INS$50,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2012CO-INS$70,400
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2010FL-OFR$165,000
Stewart Title Co.Stewart Information Servicesinsurance violation2015IN-INS$59,400
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2014MD-INS$18,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2006MN-FIN$5,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2015MN-FIN$17,500
Stewart Title Guarantee Co.Stewart Information Servicesinsurance violation2006MO-INS$75,087
Stewart Title Guarantee Co.Stewart Information Servicesinsurance violation2012MO-INS$128,000
Stewart Title Guaranty CompanyStewart Information Servicesinsurance violation2009OR-FIN$30,000
Stewart Title Guaranty CompanyStewart Information Servicesinsurance violation2009TX-INS$55,000
Stewart Title Guaranty CompanyStewart Information Servicesinsurance violation2010TX-INS$525,418
Stewart Title CompanyStewart Information Servicesinsurance violation2015TX-INS$50,000
Stewart Title Guaranty CompanyStewart Information Servicesinsurance violation2019WA-INS$10,050
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2010WI-INS$7,500
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2020CT-INS$47,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2020MO-INS$100,000
Stewart Title Guaranty CompanyStewart Information Servicesinsurance violation2022MD-INS$123,105
Stewart Title Guaranty CorporationStewart Information Servicesprice-fixing or anti-competitive practices2022NY-AG$2,500,000
State Street Bank and Trust CompanyState Street Corp.investor protection violation2016SEC$382,400,000
State Street Bank and Trust CompanyState Street Corp.illicit political contributions2016SEC$12,000,000
State Street Bank and Trust CompanyState Street Corp.investor protection violation2010SEC$313,300,000
State Street Bank & Trust CoState Street Corp.economic sanction violation2003OFAC$22,000
State Street CorporationState Street Corp.fraud2017DOJ_CRIMINAL$32,300,000
State Street Bank and Trust CompanyState Street Corp.investor protection violation2017SEC$35,300,000
State Street CorporationState Street Corp.employment discrimination2017OFCCP$4,492,174
State Street CorporationState Street Corp.benefit plan administrator violation2014private lawsuit-federal$10,000,000
State Street Bank And Trust Co.State Street Corp.benefit plan administrator violation2010private lawsuit-federal$89,750,000
State Street CorporationState Street Corp.benefit plan administrator violation2016private lawsuit-federal$60,000,000
State Street BankState Street Corp.investor protection violation2010WA-AG$11,700,000
State Street Bank & Trust Co.State Street Corp.investor protection violation2010MA-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $300,000,000
State Street Bank and Trust Co.State Street Corp.investor protection violation2016MA-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $75,500,000
State Street Bank and Trust CompanyState Street Corp.investor protection violation2019SEC$88,780,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.