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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $340,660,984,318
Number of Records: 7,055
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$83,124,221,356268
JPMorgan Chase$36,129,269,434222
Citigroup$25,540,655,365157
Wells Fargo$22,081,446,244228
Deutsche Bank$18,341,457,30276
UBS$16,880,243,334103
Goldman Sachs$16,399,475,84887
NatWest Group PLC$13,515,546,85731
BNP Paribas$12,154,369,73321
Credit Suisse$10,732,400,12649

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
SYNAGRO A RESIDUALS MANAGEMENT COMPANYGoldman Sachsworkplace safety or health violation2008OSHA$13,000
Synagro Central, LLCGoldman Sachsenvironmental violation2012VA-ENV$65,000
SYNAGRO CTL LLCGoldman Sachsenvironmental violation2004PA-ENV$20,000
SYNAGRO CTL LLCGoldman Sachsenvironmental violation2003PA-ENV$15,000
Synagro NortheastGoldman Sachsenvironmental violation2017EPA$104,000
Synagro Northeast, LLCGoldman Sachsenvironmental violation2021EPA$373,660
Synagro of Texas-CDR, Inc.Goldman Sachsenvironmental violation2015TX-ENV$7,927
SYNAGRO TECHNOLOGIES INC.Goldman Sachsworkplace safety or health violation2008OSHA$10,000
Synagro Technologies, IncGoldman Sachswage and hour violation2005WHD$149,141
SYNAGRO TECHNOLOGIES, INC.Goldman Sachsworkplace safety or health violation2004OSHA$5,725
Synagro West, LLCGoldman Sachswage and hour violation2005WHD$97,862
Synagro Woonsocket, LLCGoldman Sachsenvironmental violation2018RI-ENV$175,000
SYNAGRO WOONSOCKET, LLCGoldman Sachsenvironmental violation2022RI-ENV$120,000
SYNAGRO WWT INCGoldman Sachsworkplace safety or health violation2022OSHA$11,095
SYNAGRO-PATAPSCO PELLETIZERGoldman Sachsenvironmental violation2008MD-ENV$27,000
SYNAGRO-WWT, INC.Goldman Sachsworkplace safety or health violation2019OSHA$8,525
Synchrony BankSynchrony Financialconsumer protection violation2021CA-MULTI$3,500,000
Synovus BankSynovus Financialbanking violation2013FDIC$135,050
T. Rowe Price Group, Inc.T. Rowe Pricebenefit plan administrator violation2022private lawsuit-federal$7,000,000
T.H.E. INSURANCE COMPANYAXAinsurance violation2001FL-OFR$15,000
T.H.E. Insurance CompanyAXAinsurance violation2009PA-INS$5,000
T.H.E. Insurance CompanyAXAinsurance violation2015TX-INS$11,500
TCF National BankHuntington Bancsharesbanking violation2016OCC$56,500
TCF National BankHuntington Bancsharesbanking violation2013OCC$10,000,000
TCF National BankHuntington Bancsharesconsumer protection violation2018CFPB$28,000,000
TCF National BankHuntington Bancsharesbanking violation2018OCC$3,000,000
TD AmeritradeCharles Schwab Corp.investor protection violation2014SEC$100,800
TD AmeritradeCharles Schwab Corp.wage and hour violation2009private lawsuit-federal$2,500,000
TD Ameritrade Clearing, Inc.Charles Schwab Corp.investor protection violation2013FINRA$1,150,000
TD Ameritrade Inc.Charles Schwab Corp.investor protection violation2011SEC$10,000,000
TD Ameritrade Inc.Charles Schwab Corp.investor protection violation2015TX-SEC$400,000
TD Ameritrade, Inc.Charles Schwab Corp.investor protection violation2018SEC$500,000
TD Ameritrade, Inc.Charles Schwab Corp.investor protection violation2009MULTI-AG$456,000,000
TD Ameritrade, Inc.Charles Schwab Corp.investor protection violation2015MA-AG$160,000
TD BankToronto-Dominion Bankinvestor protection violation2013SEC$15,000,000
TD BankToronto-Dominion Bankwage and hour violation2015private lawsuit-federal$9,900,000
TD BankToronto-Dominion Bankwage and hour violation2014private lawsuit-federal$6,000,000
TD BankToronto-Dominion Bankwage and hour violation2013private lawsuit-federal$975,000
TD BankToronto-Dominion Bankwage and hour violation2010private lawsuit-federal$375,000
TD BankToronto-Dominion Bankprivacy violation2014MA-AG$625,000
TD Bank, N.A.Toronto-Dominion Bankprivacy violation2014MULTI-AG$850,000
TD Bank, N.A.Toronto-Dominion Bankconsumer protection violation2020CFPB$122,000,000
TD Bank, N.A.Toronto-Dominion Bankeconomic sanction violation2021OFAC$115,005
TD Bank, National AssociationToronto-Dominion Bankbanking violation2013OCC$37,500,000
TD BanknorthToronto-Dominion Banklabor relations violation2006NLRB$5,000
TD Options LLCToronto-Dominion Bankinvestor protection violation2009SEC$1,000,000
TD Securities (USA) LLCToronto-Dominion Bankinvestor protection violation2016SEC$500,000
TD Securities (USA) LLCToronto-Dominion Bankinvestor protection violation2022SEC$152,955
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankinvestor protection violation2004SEC$2,000,000
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankwage and hour violation2005WHD$55,208
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankinvestor protection violation2004FINRA$150,000
Teachers Insurance & Annuity Assoc of AmericaTIAAwage and hour violation2017WHD$9,678
Teachers Insurance and Annuity AssociationTIAAemployment discrimination2020OFCCP$1,500,000
Teachers Insurance and Annuity Insurance Association of AmericaTIAAbenefit plan administrator violation2017private lawsuit-federal$5,000,000
Teachers Insurance Annuity AssociationTIAAwage and hour violation2007WHD$1,171,404
The Bank of New YorkBank of New York Melloneconomic sanction violation2005OFAC$5,844
The Bank of New YorkBank of New York Mellonanti-money-laundering deficiencies2005USAO$38,000,000
The Bank Of New YorkBank of New York Melloninvestor protection violation2007SEC$750,000
THE BANK OF NEW YORK MELLONBank of New York Mellonbanking violation2012FED$6,000,000
The Bank of Nova ScotiaScotiabankinvestor protection violation2020CFTC$50,000,000
The Bank of Nova ScotiaScotiabankinvestor protection violation2020CFTC$77,400,000
The BISYS GroupCitigroupaccounting fraud or deficiencies2007SEC$25,000,000
The Chubb Corp.Chubb Limitedconsumer protection violation2009MA-AG$239,011
THE CINCINNATI INSURANCE CO. ET AL.Cincinnati Financialinsurance violation2003VA-INS$30,000
The Cincinnati Insurance CompaniesCincinnati FinancialFamily and Medical Leave Act2005WHD$15,000
The Cincinnati Insurance CompanyCincinnati Financialinsurance violation2021MD-INS$96,980
THE COLUMBIA BANKFulton Financialbanking violation2002FDIC$7,000
The Equitable Life Assurance Society of the United StatesEquitable Holdingsinsurance violation2003FL-OFR$1,600,000
The Federal Home Loan Mortgage CorporationFreddie Mac (Federal Home Loan Mortgage Corporation)wage and hour violation2011WHD$24,153
THE FIFTH THIRD BANKFifth Third Bancorpenvironmental violation2006FL-DEP$16,000
The First American Title CompanyFirst American Financialwage and hour violation2006WHD$72,363
The First American Title Insurance, Co.First American Financialwage and hour violation2005WHD$24,067
THE GAS COMPANY LLCMacquariemotor vehicle safety violation2009FMCSA$28,440
THE GAS COMPANY LLCMacquariemotor vehicle safety violation2009FMCSA$28,440
The Gas Company LlcMacquariemotor vehicle safety violation2017FMCSA$12,650
The Gas Company LLC (dba Hawaii Gas)Macquarieenvironmental violation2014EPA$155,000
THE GAS COMPANY SNG PLANTMacquarieenvironmental violation2021EPA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $230,000
The Gas Company, LLCMacquarieenvironmental violation2021EPA$230,000
THE GAS COMPANY, LLCMacquarieworkplace safety or health violation2013OSHA$7,000
THE GAS COMPANY, LLCMacquarieworkplace safety or health violation2013OSHA$10,500
THE GENERAL AUTOMOBILE INSURANCE CO.American Family Insuranceinsurance violation2018VA-INS$66,996
The General Automobile Insurance Company Inc.American Family Insuranceinsurance violation2018TX-INS$100,000
The Guardian Insurance & Annuity Company, Inc.Guardian Life Insuranceinsurance violation2019NY-DFS$442,589
THE GUARDIAN LIFE INSURANCE COGuardian Life Insuranceinsurance violation2004VA-INS$27,000
THE GUARDIAN LIFE INSURANCE COGuardian Life Insuranceinsurance violation2010VA-INS$62,000
The Guardian Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2007MA-AG$20,000
The Guardian Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2008FL-OFR$10,500
The Hanover Insurance Co.Hanover Insuranceinsurance violation2015MN-FIN$7,500
The Hanover Insurance Co.Hanover Insuranceinsurance violation2014WI-INS$5,000
The Hanover Insurance CompanyHanover Insuranceinsurance violation2019TX-INS$20,000
The Hartford Casualty Insurance Co. and Trumbull Insurance Co.Hartford Financial Servicesinsurance violation2022MN-FIN$11,000
The Hartford et al.Hartford Financial Servicesinsurance violation2022ID-INS$360,000
The Hartford Financial Services GroupHartford Financial Servicesinvestor protection violation2006MULTI-AG$20,000,000
THE HARTFORD FINANCIAL SERVICES GROUP, INC.Hartford Financial Servicesworkplace safety or health violation2011OSHA$5,600
THE HENNEGAN COChatham Asset Managementenvironmental violation2016KY-ENV$5,000
THE HENNEGAN COMPANYChatham Asset Managementenvironmental violation2004KY-ENV$70,000
The Huntington National BankHuntington Bancshareswage and hour violation2013WHD$32,553
The Insurance Company of the State of PennsylvaniaAmerican International Groupconsumer protection violation2015MA-AG$430,000
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2010ME-INS$11,111
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2007OR-FIN$10,000
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2009TX-INS$7,500
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.