Violation Tracker Parent Company Summary

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: 
$1,098,869,174
Number of records: 
17
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$836,827,00010
employment-related offenses$164,242,1744
consumer-protection-related offenses$53,500,0001
competition-related offenses$32,300,0001
miscellaneous offenses$12,000,0001
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$836,805,0009
benefit plan administrator violation$159,750,0003
consumer protection violation$53,500,0001
fraud$32,300,0001
illicit political contributions$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.

Associated Names: 

STATE STREET; State Street Bank; State Street Corporation; State Street Global Advisors

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.
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
Company Primary Offense Type Year Agency Penalty Amountsort icon
State Street Bank and Trust Company investor protection violation 2016 SEC $382,400,000
State Street Bank and Trust Company investor protection violation 2010 SEC $313,300,000
State Street Bank & Trust Co. investor protection violation 2010 MA-AG (*) $300,000,000
State Street Bank And Trust Co. benefit plan administrator violation 2010 private lawsuit-federal $89,750,000
State Street Bank and Trust Company investor protection violation 2019 SEC $88,780,000
State Street Bank and Trust Co. investor protection violation 2016 MA-AG (*) $75,500,000
State Street Corporation benefit plan administrator violation 2016 private lawsuit-federal $60,000,000
State Street Corp. consumer protection violation 2019 MA-AG $53,500,000
State Street Bank and Trust Company investor protection violation 2017 SEC $35,300,000
State Street Corporation fraud 2017 DOJ_CRIMINAL $32,300,000
State Street Bank and Trust Company illicit political contributions 2016 SEC $12,000,000
State Street Bank investor protection violation 2010 WA-AG $11,700,000
State Street Corporation benefit plan administrator violation 2014 private lawsuit-federal $10,000,000
State Street Global Advisors investor protection violation 2012 MA-SEC $5,000,000
State Street Corporation employment discrimination 2017 OFCCP $4,492,174
State Street Bank and Trust Company investor protection violation 2018 NH-BSR $325,000
State Street Bank & Trust Co economic sanction violation 2003 OFAC $22,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)