Violation Tracker

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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 Companies	Total Penalty $	Number of Records
Bank of America	$87,286,650,890	328
JPMorgan Chase	$39,340,688,209	275
UBS	$31,069,299,125	179
Wells Fargo	$27,616,269,231	266
Citigroup	$26,945,611,792	181
Deutsche Bank	$20,011,467,563	99
Goldman Sachs	$17,729,358,987	111
NatWest Group PLC	$14,370,701,618	43
Morgan Stanley	$10,780,502,443	203
BNP Paribas	$10,363,464,666	23

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
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2020	MSHA	$5,332
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	2011	MSHA	$13,268
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2023	MSHA	$9,979
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2013	MSHA	$6,351
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2012	MSHA	$6,996
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2019	MSHA	$36,151
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	$6,062
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2011	MSHA	$12,248
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	2018	MSHA	$5,997
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2010	MSHA	$10,200
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	2014	MSHA	$5,080
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	2014	MSHA	$11,000
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	2010	MSHA	$7,578
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	2018	MSHA	$8,947
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2018	MSHA	$9,942
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	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	2018	MSHA	$10,473
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2010	MSHA	$6,800
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 Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2009	MSHA	$6,600
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2011	MSHA	$5,016
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2019	MSHA	$72,600
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2019	MSHA	$11,041
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2019	MSHA	$7,401
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2019	MSHA	$8,016
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	$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	$8,209
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2014	MSHA	$8,209
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2014	MSHA	$33,400
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2014	MSHA	$14,743
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2014	MSHA	$8,893
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2014	MSHA	$8,000
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2014	MSHA	$8,600
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2014	MSHA	$8,000
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2014	MSHA	$11,500
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2010	MSHA	$38,925
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2010	MSHA	$38,925
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2010	MSHA	$5,000
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2014	MSHA	$5,000
Nyrstar Gordonsville LLC	Trafigura	environmental violation	2013	TN-ENV	$5,000
Nyrstar Clarksville, Inc.	Trafigura	railroad safety violation	2010	FRA	$5,000
NYRSTAR CLARKSVILLE, INC.	Trafigura	railroad safety violation	2009	FRA	$10,000
NYRSTAR CLARKSVILLE, INC.	Trafigura	workplace safety or health violation	2020	OSHA	$28,916
NYRSTAR CLARKSVILLE, INC.	Trafigura	environmental violation	2010	EPA	$45,524
Nyrstar Clarksville Inc.	Trafigura	environmental violation	2023	TN-ENV	$17,500
NYRSTAR CLARKSVILLE INC.	Trafigura	workplace safety or health violation	2022	OSHA	$14,400
Nyrstar Clarksville	Trafigura	environmental violation	2019	TN-ENV	$181,482
Nyrstar Clarksville	Trafigura	environmental violation	2019	TN-ENV	$622,389
NYLIFE Securities, LLC	New York Life Insurance	investor protection violation	2017	IN-SEC	$275,000
NYLife Securities, Inc.	New York Life Insurance	investor protection violation	2004	FINRA	$350,000
NYLIFE Securities LLC	New York Life Insurance	investor protection violation	2019	ME-SEC	$50,000
NYLIFE Securities LLC	New York Life Insurance	investor protection violation	2017	NH-BSR	$7,500
NYLIFE Securities LLC	New York Life Insurance	investor protection violation	2007	FINRA	$354,000
Nuveen Services LLC	TIAA	wage and hour violation	2018	IL-DOL	$27,983
Nuveen Securities LLC	TIAA	investor protection violation	2023	SEC	$8,500,000
Nuveen Investments, LLC	TIAA	investor protection violation	2011	FINRA	$3,000,000
Norwest Investment Services, Inc.	Wells Fargo	investor protection violation	2002	SEC	$153,245
Northwestern Mutual Life Insurance Company	Northwestern Mutual	insurance violation	2023	NH-INS	$200,000
Northwestern Mutual Life Insurance Co.	Northwestern Mutual	insurance violation	2019	NY-DFS	$57,937
Northwestern Mutual Life Insurance Co.	Northwestern Mutual	insurance violation	2020	WA-INS	$50,000
Northwestern Mutual Life Insurance Co.	Northwestern Mutual	insurance violation	2021	VT-FIN	$287,000
Northwestern Mutual Investment ServicesÂ LLC	Northwestern Mutual	investor protection violation	2024	SEC	$16,500,000
Northwestern Mutual Investment Services, LLC	Northwestern Mutual	investor protection violation	2009	FINRA	$200,000
Northwestern Mutual Investment Services, LLC	Northwestern Mutual	investor protection violation	2007	FINRA	$100,000
Northwestern Mutual Investment Services, LLC	Northwestern Mutual	investor protection violation	2023	NH-BSR	$200,000
Northwestern Mutual Investment Services LLC	Northwestern Mutual	investor protection violation	2024	ME-SEC	$5,000
Northwestern Mutual Investment Services	Northwestern Mutual	insurance violation	2006	PA-INS	$10,000
Northwestern Mutual	Northwestern Mutual	wage and hour violation	2016	MI-LEO	$34,371
Northwestern Mutual	Northwestern Mutual	wage and hour violation	2016	MI-LEO	$68,815
NORTHWESTERN MUTUAL	Northwestern Mutual	wage and hour violation	2023	IL-DOL	$9,000
NORTHWESTERN MUTUAL	Northwestern Mutual	wage and hour violation	2023	IL-DOL	$9,000
NORTHWESTERN MUTUAL	Northwestern Mutual	wage and hour violation	2023	IL-DOL	$7,000
NORTHWESTERN MUTUAL	Northwestern Mutual	wage and hour violation	2023	IL-DOL	$7,000
Northern Trust, National Association	Northern Trust	banking violation	2008	OCC	$125,000
Northern Trust, IBC	Northern Trust	economic sanction violation	2003	OFAC	$18,027
Northern Trust Securities	Northern Trust	investor protection violation	2011	FINRA	$600,000
Northern Trust Investments, N.A.	Northern Trust	benefit plan administrator violation	2015	private lawsuit-federal	$36,000,000
Northern Trust Hedge Fund Services LLC	Northern Trust	investor protection violation	2020	SEC	$167,629
Northern Trust Company	Northern Trust	investor protection violation	2019	CFTC	$1,000,000
Northern Trust	Northern Trust	benefit plan administrator violation	2006	private lawsuit-federal	$37,500,000
North River Insurance Company et al.	Fairfax Financial Holdings	insurance violation	2021	WA-INS	$25,000
North River Insurance Co.	Fairfax Financial Holdings	insurance violation	2012	CO-INS	$62,700
North Pointe Insurance Co.	QBE Insurance	insurance violation	2012	IN-INS	$75,575
North Pointe Insurance Co.	QBE Insurance	insurance violation	2014	MO-INS	$8,000
Norinchukin Bank	Norinchukin Bank	price-fixing or anti-competitive practices	2019	private lawsuit-federal	$13,083,333
Norinchukin Bank	Norinchukin Bank	price-fixing or anti-competitive practices	2023	private lawsuit-federal	$449,000
Norinchukin Bank	Norinchukin Bank	price-fixing or anti-competitive practices	2023	private lawsuit-federal	$30,000,000
Norddeutsche Landesbank Girozentrale	Norddeutsche Landesbank	employment discrimination	2008	private lawsuit-federal	$2,618,600