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Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$333,568,388,571
Number of Records: 
6,826
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 Parent CompaniesTotal Penalty $Number of Records
Bank of America$82,896,776,051261
JPMorgan Chase$35,851,437,155191
Citigroup$25,535,002,360154
Wells Fargo$21,678,596,719218
Deutsche Bank$18,341,457,30276
UBS$16,853,736,33498
Goldman Sachs$16,381,931,83964
NatWest Group PLC$13,477,129,00031
BNP Paribas$12,147,863,95019
Credit Suisse$10,448,892,62645


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.
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
Companysort icon Parent Primary Offense Type Year Agency Penalty Amount
Thrivent Financial for Lutherans Thrivent Financial insurance violation 2013 WI-INS $5,000
Thrivent Investment Management Inc. Thrivent Financial investor protection violation 2020 IL-SEC $400,000
TIAA TIAA wage and hour violation 2005 WHD $327,168
TIAA - CREF TIAA wage and hour violation 2006 WHD $468,336
TIAA Bank, FSB TIAA wage and hour violation 2020 private lawsuit-federal $3,500,000
TIAA-CREF TIAA labor relations violation 2016 NLRB $304,216
TIAA-CREF TIAA aviation safety violation 2015 FAA $7,500
TIAA-CREF TIAA benefit plan administrator violation 2014 private lawsuit-federal $22,800,000
TIAA-CREF Individual & Institutional Services LLC TIAA accounting fraud or deficiencies 2021 SEC $97,000,000
TIAA-CREF Individual & Institutional Services, LLC TIAA investor protection violation 2019 SEC $2,395,722
TIAA-CREF Individual & Institutional Services, LLC TIAA benefit plan administrator violation 2021 NY-AG (*) $97,000,000
TIAA-CREF Life Insurance Company TIAA insurance violation 2016 NY-DFS $29,325
TIAA-CREF Life Insurance Company TIAA insurance violation 2016 NY-DFS $139,940
TIAA-CREF Life Insurance Company TIAA insurance violation 2013 MULTI-FIN $6,200,000
Ticor Title Company Fidelity National Financial insurance violation 2015 WA-INS $5,000
Ticor Title Company Fidelity National Financial insurance violation 2017 WA-INS $6,000
Ticor Title Company Fidelity National Financial insurance violation 2018 WA-INS $10,000
Ticor Title Company Fidelity National Financial insurance violation 2019 WA-INS $5,000
Ticor Title Company of California Fidelity National Financial insurance violation 2018 CA-INS $6,000
Ticor Title Insurance Co. Fidelity National Financial insurance violation 2005 FL-OFR $50,000
Ticor Title Insurance Co. Fidelity National Financial insurance violation 2009 IN-INS $10,850
Ticor Title Insurance Co. Fidelity National Financial insurance violation 2009 MO-INS $20,725
Ticor Title Insurance Company Fidelity National Financial insurance violation 2007 OR-FIN $6,000
Time Insurance Co. Haven Holdings insurance violation 2013 AZ-INS $60,000
Time Insurance Co. Haven Holdings insurance violation 2009 CO-INS $103,500
Time Insurance Co. Haven Holdings insurance violation 2010 FL-OFR $23,000
Time Insurance Co. Haven Holdings insurance violation 2014 ID-INS $5,000
Time Insurance Co. Haven Holdings insurance violation 2014 MD-INS $25,000
Time Insurance Co. Haven Holdings insurance violation 2008 MN-FIN $7,500
Time Insurance Co. Haven Holdings insurance violation 2019 MN-FIN $5,000
Time Insurance Co. Haven Holdings insurance violation 2010 MT-INS $50,000
Time Insurance Co. Haven Holdings insurance violation 2010 WI-INS $280,000
Time Insurance Co. and John Alden Life Insurance Co. and Union Securitiy Insurance Co. Haven Holdings insurance violation 2012 IN-INS $2,950,000
Time Insurance Co. et al. Haven Holdings insurance violation 2013 MO-INS $1,000,000
Time Insurance Company Haven Holdings consumer protection violation 2007 MA-AG $16,000
Time Insurance Company Haven Holdings insurance violation 2013 NC-INS $524,000
Time Insurance Company Haven Holdings insurance violation 2008 NH-INS $450,000
Time Insurance Company Haven Holdings insurance violation 2007 OR-FIN $60,000
Time Insurance Company Haven Holdings insurance violation 2014 OR-FIN $40,000
Time Insurance Company Haven Holdings insurance violation 2016 OR-FIN $178,948
Time Insurance Company Haven Holdings insurance violation 2016 SD-INS $300,000
Time Insurance Company Haven Holdings insurance violation 2018 TX-INS $125,000
Time Insurance Company Haven Holdings insurance violation 2018 TX-INS $15,000
TIME INSURANCE COMPANY Haven Holdings insurance violation 2014 VA-INS $19,000
Time Insurance Company Ii Haven Holdings insurance violation 2015 WA-INS $10,000
Titan Indemnity Co. Nationwide insurance violation 2010 AZ-INS $20,000
Titan Indemnity Co. Nationwide insurance violation 2014 DE-INS $25,000
Titan Indemnity Co. and Victoria Fire and Casualty Co. Nationwide insurance violation 2011 MD-INS $20,000
Titan Indemnity Company; Victoria Fire & Casualty Company Nationwide insurance violation 2017 WA-INS $60,000
Titan Insurance Co. Nationwide insurance violation 2006 AZ-INS $40,000
Titan Insurance Company Nationwide insurance violation 2019 NY-DFS $149,300
TitleMax of Missouri, Inc. TMX Finance Family and Medical Leave Act 2015 WHD $11,648
TitleMax of Virginia Inc. TMX Finance consumer protection violation 2014 DC-AG $167,257
TMX Finance LLC TMX Finance consumer protection violation 2016 CFPB $9,000,000
TMX Finance LLC TMX Finance Family and Medical Leave Act 2012 WHD $36,596
TMX Finance, LLC TMX Finance wage and hour violation 2014 WHD $10,057
TMX Finance, LLC TMX Finance wage and hour violation 2016 WHD $6,353
TNUS INSURANCE COMPANY ET AL. Tokio Marine insurance violation 2015 VA-INS $120,233
Tokio Marine & Nichido Fire Insurance Co. Tokio Marine insurance violation 2013 MO-INS $29,750
Tokio Marine Kiln Syndicates Limited and Beazley Furlonge Limited Tokio Marine insurance violation 2017 NY-DFS $920,000
Tokio Marine Kiln Syndicates Limited et al. Tokio Marine insurance violation 2018 NJ-DBI $60,000
TOKIO MARINE KILN SYNDICATES, LTD. Tokio Marine insurance violation 2018 VA-INS $7,500
Torchmark Corporation Globe Life Inc. Medicare Parts C and D Enforcement Action 2014 CMS $40,000
Torchmark Corporation Globe Life Inc. Medicare Parts C and D Enforcement Action 2013 CMS $150,000
Toronto-Dominion Bank Toronto-Dominion Bank economic sanction violation 2017 OFAC $516,105
Towers Perrin Willis Towers Watson wage and hour violation 2005 WHD $105,865
Towers Perrin Willis Towers Watson wage and hour violation 2004 WHD $376,093
Towers Perrin Willis Towers Watson benefit plan administrator violation 2011 private lawsuit-federal $9,200,000
Towers, Perrin, Forrester & Crosby Willis Towers Watson wage and hour violation 2005 WHD $294,279
Trafigura AG Trafigura wage and hour violation 2007 WHD $11,839
Trafigura AG Trafigura environmental violation 2012 EPA $73,465
Trafigura AG Trafigura environmental violation 2015 EPA $21,450
Trafigura Beheer B.V. Amsterdam Trafigura environmental violation 2012 CA-ARB $10,000
Transamerica Asset Management, Inc. Aegon investor protection violation 2020 SEC $5,946,782
Transamerica Casualty Insurance Company Aegon insurance violation 2014 WA-INS $20,000
Transamerica Casualty Insurance Company Aegon insurance violation 2015 WA-INS $10,000
Transamerica Casualty Insurance Company Aegon insurance violation 2017 MULTI-FIN $3,000,000
Transamerica Corporation Aegon benefit plan administrator violation 2016 private lawsuit-federal $3,800,000
Transamerica Financial Advisors Aegon investor protection violation 2014 SEC $1,107,248
Transamerica Financial Advisors, Inc. Aegon investor protection violation 2019 SEC $6,023,072
Transamerica Financial Advisors, Inc. Aegon investor protection violation 2020 FINRA $8,800,000
Transamerica Financial Life Insurance Company Aegon insurance violation 2013 NY-DFS $852,418
Transamerica Financial Life Insurance Company Aegon insurance violation 2018 NY-DFS $1,345,136
Transamerica Financial Life Insurance Company Aegon insurance violation 2020 NY-DFS $750,000
Transamerica Insurance Co. Aegon insurance violation 2013 MULTI-AG $11,200,000
Transamerica Life Insurance Co. Aegon insurance violation 2013 MA-AG $1,330,000
Transamerica Life Insurance Co. Aegon insurance violation 2012 CO-INS $6,270
Transamerica Life Insurance Co. Aegon insurance violation 2017 ID-INS $5,000
Transamerica Life Insurance Co. Aegon insurance violation 2011 MD-INS $5,000
Transamerica Life Insurance Co. Aegon insurance violation 2015 MD-INS $16,300
Transamerica Life Insurance Co. Aegon insurance violation 2017 MD-INS $8,300
Transamerica Life Insurance Co. Aegon insurance violation 2019 MO-INS $6,000
Transamerica Life Insurance Co. Aegon insurance violation 2019 MO-INS $5,000
Transamerica Life Insurance Co. Aegon insurance violation 2019 MO-INS $26,000
Transamerica Life Insurance Co. Aegon insurance violation 2021 WA-INS $30,000
Transamerica Life Insurance Co. and Transamerica Premier Life Insurance Co. Aegon insurance violation 2019 MN-FIN $100,000
Transamerica Life Insurance Co. et al. Aegon insurance violation 2012 MN-FIN $50,000
Transamerica Life Insurance Co. et al. Aegon insurance violation 2014 MN-FIN $2,500,000
Transamerica Life Insurance Company Aegon wage and hour violation 2015 WHD $70,143
Transamerica Life Insurance Company Aegon insurance violation 2019 MD-INS $184,000
Transamerica Life Insurance Company Aegon insurance violation 2019 NJ-DBI $5,942,519
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)