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Violation Tracker Current Parent Company Summary

Current Parent Company Name: State Street Corp.
Ownership Structure: publicly traded (ticker symbol STT)
Headquartered in: Massachusetts
Major Industry: financial services
Specific Industry: financial services
Penalty total since 2000$1,221,519,174
Number of records: 20
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$838,227,00011
employment-related offenses$164,242,1744
competition-related offenses$147,300,0002
consumer-protection-related offenses$59,750,0002
miscellaneous offenses$12,000,0001
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$838,205,00010
benefit plan administrator violation$159,750,0003
fraud$147,300,0002
consumer protection violation$59,750,0002
campaign finance violation$12,000,0001
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
State Street Corporationbenefit plan administrator violation2014private lawsuit-federal$10,000,000
State Street Bank And Trust Co.benefit plan administrator violation2010private lawsuit-federal$89,750,000
State Street Corporationbenefit plan administrator violation2016private lawsuit-federal$60,000,000
State Street Bank and Trust Co.consumer protection violation2012private lawsuit-federal$6,250,000
State Street Corporationfraud2017DOJ_CRIMINAL$32,300,000
State Street Global Markets LLCinvestor protection violation2005FINRA$1,400,000
State Street Bank & Trust Co.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.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 Corp.consumer protection violation2019MA-AG$53,500,000
State Street Global Advisorsinvestor protection violation2012MA-SEC$5,000,000
State Street Bank and Trust Companyinvestor protection violation2018NH-BSR$325,000
State Street Bank & Trust Coeconomic sanction violation2003OFAC$22,000
State Street Corporationemployment discrimination2017OFCCP$4,492,174
State Street Bank and Trust Companyinvestor protection violation2016SEC$382,400,000
State Street Bank and Trust Companycampaign finance violation2016SEC$12,000,000
State Street Bank and Trust Companyinvestor protection violation2010SEC$313,300,000
State Street Bank and Trust Companyinvestor protection violation2017SEC$35,300,000
State Street Bank and Trust Companyinvestor protection violation2019SEC$88,780,000
State Street Corporationfraud2021USAO$115,000,000
State Street Bankinvestor protection violation2010WA-AG$11,700,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.