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Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$330,904,834,105
Number of Records: 
6,093
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$82,737,699,939214
JPMorgan Chase$35,744,240,670158
Citigroup$25,450,155,764122
Wells Fargo$21,340,036,745181
Deutsche Bank$18,156,533,87859
UBS$16,792,800,91083
Goldman Sachs$16,365,468,98744
Royal Bank of Scotland$13,455,904,00027
BNP Paribas$12,132,582,95017
Credit Suisse$10,410,557,62632


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
Student Loan Xpress, Inc. CIT consumer protection violation 2007 NY-AG $3,000,000
Strong Capital Management, Inc. Wells Fargo investor protection violation 2004 SEC $80,000,000
Strong Capital Management, Inc. Wells Fargo investor protection violation 2006 SEC $2,185,927
Strong Capital Management Co. Wells Fargo investor protection violation 2004 MULTI-AG (*) $115,000,000
Stifel, Nicolaus & Company, Incorporated Stifel Financial investor protection violation 2017 SEC $300,000
Stifel, Nicolaus & Company, Incorporated Stifel Financial investor protection violation 2009 MULTI-FIN $525,000
Stifel, Nicolaus & Company, Inc. Stifel Financial investor protection violation 2015 SEC $500,000
Stifel, Nicolaus & Company, Inc. Stifel Financial investor protection violation 2011 IL-SEC $80,224
Stifel, Nicolaus & Company, Inc. Stifel Financial investor protection violation 2010 MO-SEC $211,617
Stifel, Nicolaus & Company, Inc. Stifel Financial investor protection violation 2012 MO-SEC $1,101,385
Stifel, Nicolaus & Company, Inc. Stifel Financial investor protection violation 2017 MS-SEC $50,000
Stifel, Nicolaus & Company Inc. Stifel Financial investor protection violation 2014 NE-DBF $61,000
Stifel, Nicolaus & Co., Inc. Stifel Financial investor protection violation 2016 SEC $24,500,000
Stifel, Nicolaus & Co., Inc. Stifel Financial investor protection violation 2019 SEC $2,700,000
Stifel Nicolaus & Company, Inc. Stifel Financial investor protection violation 2010 NJ-BOS $5,415,381
Stifel Nicolaus & Co. Stifel Financial investor protection violation 2014 SEC $60,000
Stifel and Nicolaus & Company, Incorporated Stifel Financial investor protection violation 2019 SEC $6,037,175
Stewart Title of California, Inc. Stewart Information Services insurance violation 2005 CA-INS $750,000
Stewart Title Guaranty Company Stewart Information Services insurance violation 2009 OR-FIN $30,000
Stewart Title Guaranty Company Stewart Information Services insurance violation 2009 TX-INS $55,000
Stewart Title Guaranty Company Stewart Information Services insurance violation 2010 TX-INS $525,418
Stewart Title Guaranty Company Stewart Information Services insurance violation 2019 WA-INS $10,050
Stewart Title Guaranty Co. and Electronic Closing Services, Inc. dba E-Title Stewart Information Services insurance violation 2007 CA-INS $1,500,000
Stewart Title Guaranty Co. Stewart Information Services insurance violation 2013 AR-INS $10,000
Stewart Title Guaranty Co. Stewart Information Services insurance violation 2007 CA-INS $1,000,400
Stewart Title Guaranty Co. Stewart Information Services insurance violation 2000 CO-INS $25,000
Stewart Title Guaranty Co. Stewart Information Services insurance violation 2007 CO-INS $50,000
Stewart Title Guaranty Co. Stewart Information Services insurance violation 2012 CO-INS $70,400
Stewart Title Guaranty Co. Stewart Information Services insurance violation 2010 FL-OFR $165,000
Stewart Title Guaranty Co. Stewart Information Services insurance violation 2014 MD-INS $18,000
Stewart Title Guaranty Co. Stewart Information Services insurance violation 2006 MN-FIN $5,000
Stewart Title Guaranty Co. Stewart Information Services insurance violation 2015 MN-FIN $17,500
Stewart Title Guaranty Co. Stewart Information Services insurance violation 2010 WI-INS $7,500
Stewart Title Guaranty Co. Stewart Information Services insurance violation 2020 CT-INS $47,000
Stewart Title Guaranty Co. Stewart Information Services insurance violation 2020 MO-INS $100,000
Stewart Title Guarantee Co. Stewart Information Services insurance violation 2006 MO-INS $75,087
Stewart Title Guarantee Co. Stewart Information Services insurance violation 2012 MO-INS $128,000
Stewart Title Company of California Stewart Information Services consumer protection violation 2002 CA-AG $2,500,000
Stewart Title Company Stewart Information Services insurance violation 2015 TX-INS $50,000
Stewart Title Co. Stewart Information Services insurance violation 2015 IN-INS $59,400
Sterling Financial Corporation Umpqua Holdings benefit plan administrator violation 2013 private lawsuit-federal $3,025,000
State Street Global Advisors State Street Corp. investor protection violation 2012 MA-SEC $5,000,000
State Street Corporation State Street Corp. fraud 2017 DOJ_CRIMINAL $32,300,000
State Street Corporation State Street Corp. employment discrimination 2017 OFCCP $4,492,174
State Street Corporation State Street Corp. benefit plan administrator violation 2014 private lawsuit-federal $10,000,000
State Street Corporation State Street Corp. benefit plan administrator violation 2016 private lawsuit-federal $60,000,000
State Street Corp. State Street Corp. consumer protection violation 2019 MA-AG $53,500,000
State Street Bank and Trust Company State Street Corp. investor protection violation 2016 SEC $382,400,000
State Street Bank and Trust Company State Street Corp. illicit political contributions 2016 SEC $12,000,000
State Street Bank and Trust Company State Street Corp. investor protection violation 2010 SEC $313,300,000
State Street Bank and Trust Company State Street Corp. investor protection violation 2017 SEC $35,300,000
State Street Bank and Trust Company State Street Corp. investor protection violation 2019 SEC $88,780,000
State Street Bank and Trust Company State Street Corp. investor protection violation 2018 NH-BSR $325,000
State Street Bank And Trust Co. State Street Corp. benefit plan administrator violation 2010 private lawsuit-federal $89,750,000
State Street Bank and Trust Co. State Street Corp. investor protection violation 2016 MA-AG (*) $75,500,000
State Street Bank & Trust Co. State Street Corp. investor protection violation 2010 MA-AG (*) $300,000,000
State Street Bank & Trust Co State Street Corp. economic sanction violation 2003 OFAC $22,000
State Street Bank State Street Corp. investor protection violation 2010 WA-AG $11,700,000
State Farm VP Management Corp. State Farm Insurance investor protection violation 2013 PA-BKG $75,000
STATE FARM MUTUAL, ET AL. State Farm Insurance insurance violation 2011 VA-INS $60,000
State Farm Mutual Insurance Company State Farm Insurance employment discrimination 2013 private lawsuit-state $657,403
State Farm Mutual Insurance Company State Farm Insurance consumer protection violation 2005 MULTI-AG $41,000,000
STATE FARM MUTUAL INSURANCE CO State Farm Insurance insurance violation 2017 VA-INS $50,600
State Farm Mutual Automobile Insurance Company State Farm Insurance insurance violation 2019 MD-INS $23,863
State Farm Mutual Automobile Insurance Company State Farm Insurance insurance violation 2007 VA-INS $6,000
State Farm Mutual Automobile Insurance Company State Farm Insurance insurance violation 2010 WA-INS $6,500
State Farm Mutual Automobile Insurance Company State Farm Insurance insurance violation 2010 WA-INS $12,000
State Farm Mutual Automobile Insurance Company State Farm Insurance insurance violation 2012 WA-INS $5,000
State Farm Mutual Automobile Insurance Compan State Farm Insurance Family and Medical Leave Act 2010 WHD $27,787
State Farm Mutual Automobile Insurance Co. et al. State Farm Insurance insurance violation 2009 IN-INS $275,000
State Farm Mutual Automobile Insurance Co. et al. State Farm Insurance insurance violation 2011 MD-INS $10,000
State Farm Mutual Automobile Insurance Co. and State Farm Fire and Casualty Co. State Farm Insurance insurance violation 2011 IL-INS $50,000
State Farm Mutual Automobile Insurance Co. and State Farm Fire and Casualty Co. State Farm Insurance insurance violation 2001 MN-FIN $75,000
State Farm Mutual Automobile Insurance Co. State Farm Insurance consumer protection violation 2005 TX-AG $10,000,000
State Farm Mutual Automobile Insurance Co. State Farm Insurance insurance violation 2003 CA-INS $250,000
State Farm Mutual Automobile Insurance Co. State Farm Insurance insurance violation 2013 MD-INS $15,000
State Farm Mutual Automobile Insurance Co. State Farm Insurance insurance violation 2016 MN-FIN $5,000
State Farm Mutual Automobile Insurance Co. State Farm Insurance insurance violation 2017 MN-FIN $50,000
State Farm Mutual Automobile Insurance Co. State Farm Insurance insurance violation 2014 MT-INS $38,638
State Farm Lloyds State Farm Insurance insurance violation 2015 TX-INS $352,500,000
State Farm Life Insurance Company et al. State Farm Insurance insurance violation 2017 MULTI-FIN $250,000
State Farm Life Insurance Company State Farm Insurance insurance violation 2018 WA-INS $10,000
State Farm Life Insurance Co. State Farm Insurance insurance violation 2017 MULTI-AG $250,000
State Farm Life Insurance Co. State Farm Insurance insurance violation 2019 DE-INS $18,000
State Farm Life Insurance Co. State Farm Insurance insurance violation 2008 FL-OFR $10,500
State Farm Life Insurance Co. State Farm Insurance insurance violation 2010 FL-OFR $10,500
State Farm Life Insurance Co. State Farm Insurance insurance violation 2012 FL-OFR $10,500
State Farm Life Insurance Co. State Farm Insurance insurance violation 2014 FL-OFR $10,500
State Farm Life Insurance Co. State Farm Insurance insurance violation 2020 VT-FIN $204,000
State Farm Insurance Group State Farm Insurance insurance violation 2020 NY-DFS $10,443,700
STATE FARM INSURANCE State Farm Insurance workplace safety or health violation 2012 OSHA $8,160
State Farm Indemnity Co. State Farm Insurance insurance violation 2004 NJ-DBI $35,000
State Farm General Insurance Company State Farm Insurance insurance violation 2010 TX-INS $40,000
State Farm Florida Insurance Co. State Farm Insurance insurance violation 2005 FL-OFR $5,000
STATE FARM FIRE, ET AL. State Farm Insurance insurance violation 2008 VA-INS $35,000
State Farm Fire and Casualty Company State Farm Insurance insurance violation 2015 TX-INS $5,500
State Farm Fire and Casualty Company State Farm Insurance insurance violation 2017 TX-INS $11,000
State Farm Fire and Casualty Co. State Farm Insurance insurance violation 2015 KS-INS $10,000
State Farm Fire and Casualty Co. State Farm Insurance insurance violation 2015 MD-INS $26,020
State Farm Fire and Casualty Co. State Farm Insurance insurance violation 2012 MN-FIN $5,000
State Farm Fire & Casualty Insurance Co. and State Farm Mutual Automobile Insurance Co. State Farm Insurance insurance violation 2016 DE-INS $28,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)