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Violation Tracker Current Parent Company Summary

Current Parent Company Name: KeyCorp
Ownership Structure: publicly traded (ticker symbol KEY)
Headquartered in: Ohio
Major Industry: financial services
Specific Industry: banking
Penalty total since 2000$20,018,082
Number of records: 18
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
employment-related offenses$16,276,6927
financial offenses$3,679,8909
consumer-protection-related offenses$33,5001
safety-related offenses$28,0001
Top 5 Primary Offense TypesPenalty TotalNumber of Records
wage and hour violation$16,266,6916
banking violation$2,042,7554
investor protection violation$1,262,1353
economic sanction violation$200,0001
accounting fraud or deficiencies$175,0001
Notes: Parent-subsidiary linkages are based on relationships current as of the latest revision listed in the Update Log, which may vary from what was the case when a violation occurred. The penalty totals are adjusted to account for the fact that the individual entries below 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. The totals 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 list below.

Links: Subsidy Tracker data on financial assistance to this company by federal, state and local government agencies can be found here.

Individual Penalty Records:

Click on the company or penalty amount for more information on each case.

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CompanyPrimary Offense TypeYearAgency sort iconPenalty Amount
Key Bank National Associationwage and hour violation2008WHD$12,691
KeyBanc Capital Markets Inc.accounting fraud or deficiencies2016SEC$175,000
Keybanc Capital Markets Inc.investor protection violation2016SEC$440,000
KeyBanc Capital Markets Inc.investor protection violation2023SEC$397,135
KEYBANK NATIONAL ASSOCIATIONworkplace safety or health violation2004OSHA$28,000
Key Bank National Associationeconomic sanction violation2008OFAC$200,000
Keybank National Associationbanking violation2015OCC$5,005
First Niagara Bank, National Associationbanking violation2011OCC$10,000
Keybank National Associationbanking violation2007OCC$27,750
First Niagara Bank, National Associationbanking violation2016OCC$2,000,000
First Niagara Bankconsumer protection violation2003NY-AG$33,500
KeyBanc Capital Markets, Inc.investor protection violation2009FINRA$425,000
FIRST NIAGARA FINANCIAL GROUP, INC.benefit plan administrator violation2011EBSA$10,001
KeyBankwage and hour violation2014private lawsuit-federal$3,500,000
KeyBankwage and hour violation2013private lawsuit-federal$4,900,000
First Niagara Financial Groupwage and hour violation2013private lawsuit-federal$404,000
KeyCorpwage and hour violation2012private lawsuit-federal$6,250,000
Champion Mortgage and KeyBankwage and hour violation2009private lawsuit-federal$1,200,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.