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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
Swiss Life Holding AG et al.Swiss Life Grouptax violations2021DOJ_TAX$77,374,337
Swineford National BankFulton Financialbanking violation2013OCC$33,880
Susquehanna BankTruist Financialconsumer protection violation2014private lawsuit-federal$3,680,000
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
SunTrust Bank, Inc.Truist Financialwage and hour violation2006WHD$350,875
SunTrust BankTruist Financialeconomic sanction violation2005OFAC$40,423
SunTrust BankTruist Financialeconomic sanction violation2005OFAC$30,800
SunTrust BankTruist Financialemployment discrimination2014EEOC$300,000
SunTrust BankTruist Financialbanking violation2017FED$1,501,000
SunTrust BankTruist Financialbanking violation2005WI-AG$10,107
SUNAMERICA SECURITIES, INC.American International Groupinvestor protection violation2006VA-SEC$10,000
SunAmerica Securities, Inc.American International Groupinvestor protection violation2009FINRA$300,000
SunAmerica Securities, Inc.American International Groupinvestor protection violation2005FINRA$2,500,000
SunAmerica Securities, Inc.American International Groupinvestor protection violation2004FINRA$100,000
Sun National BankOceanFirst Financialbanking violation2016OCC$25,000
Sun Life Insurance Company of CanadaSun Life Financialinsurance violation2009MN-FIN$7,500
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 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
SUN LIFE ASSURANCE COMPANY OF CANADASun Life Financialinsurance violation2024WA-INS$5,000
SUN LIFE ASSURANCE CO OF CANADASun Life Financialenvironmental violation2005MA-ENV$31,635
Student Loan Xpress, Inc.First Citizens BancSharesconsumer protection violation2009MULTI-AG$112,825,000
Student Loan Xpress, Inc.First Citizens BancSharesconsumer protection violation2010KY-AG$3,600,000
Student Loan Xpress, Inc.First Citizens BancSharesconsumer protection violation2007NY-AG$3,000,000
Strong Capital Management, Inc.Wells Fargoinvestor protection violation2004SEC$80,000,000
Strong Capital Management, Inc.Wells Fargoinvestor protection violation2006SEC$2,185,927
Strong Capital Management Co.Wells Fargoinvestor protection violation2004MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $115,000,000
StoneX Markets LLCStoneX Groupinvestor protection violation2023CFTC$650,000
Stonex Group Inc.StoneX Groupbenefit plan administrator violation2023EBSA$10,001
Stonegate Mortgage Corp.Home Point Capitalconsumer protection violation2013KY-FIN$5,000
Stifel, Nicolaus & Company, IncorporatedStifel Financialinvestor protection violation2017SEC$300,000
Stifel, Nicolaus & Company, IncorporatedStifel Financialinvestor protection violation2009MULTI-FIN$525,000
Stifel, Nicolaus & Company, IncorporatedStifel Financialinvestor protection violation2020FINRA$3,650,000
Stifel, Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2015SEC$500,000
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 violation2001FINRA$225,000
STIFEL, NICOLAUS & COMPANY, INC.Stifel Financialinvestor protection violation2023MA-SEC$2,500,000
Stifel, Nicolaus & Company Inc.Stifel Financialinvestor protection violation2014NE-DBF$61,000
Stifel, Nicolaus & Co., Inc.Stifel Financialinvestor protection violation2016SEC$24,500,000
Stifel, Nicolaus & Co., Inc.Stifel Financialinvestor protection violation2019SEC$2,700,000
Stifel Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2010NJ-BOS$5,415,381
Stifel Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2015FINRA$2,900,000
Stifel Nicolaus & CompanyStifel Financialinvestor protection violation2004FINRA$125,000
Stifel Nicolaus & Co.Stifel Financialinvestor protection violation2014SEC$60,000
Stifel Financial CorporationStifel Financialinvestor protection violation2014FINRA$1,025,000
Stifel and Nicolaus & Company, IncorporatedStifel Financialinvestor protection violation2019SEC$6,037,175
Stewart Title of California, Inc.Stewart Information Servicesinsurance violation2005CA-INS$750,000
Stewart Title Guaranty CorporationStewart Information Servicesprice-fixing or anti-competitive practices2022NY-AG$2,500,000
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 Guaranty CompanyStewart Information Servicesinsurance violation2019WA-INS$10,050
Stewart Title Guaranty CompanyStewart Information Servicesinsurance violation2022MD-INS$123,105
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 violation2013AR-INS$10,000
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 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 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 Guarantee Co.Stewart Information Servicesinsurance violation2006MO-INS$75,087
Stewart Title Guarantee Co.Stewart Information Servicesinsurance violation2012MO-INS$128,000
Stewart Title Company of CaliforniaStewart Information Servicesconsumer protection violation2002CA-AG$2,500,000
Stewart Title CompanyStewart Information Servicesinsurance violation2015TX-INS$50,000
Stewart Title CompanyStewart Information Servicesinsurance violation2023IN-INS$6,570
Stewart Title Co.Stewart Information Servicesinsurance violation2015IN-INS$59,400
Sterling Financial CorporationUmpqua Holdingsbenefit plan administrator violation2013private lawsuit-federal$3,025,000
State Street Research Investment Services, Inc.BlackRockinvestor protection violation2004FINRA$1,500,000
State Street Research & Management CompanyBlackRockinvestor protection violation2005SEC$585,743
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.