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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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$87,286,650,890328
JPMorgan Chase$39,340,688,209275
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,780,502,443203
BNP Paribas$10,363,464,66623

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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CompanyCurrent Parent sort iconPrimary Offense TypeYearAgencyPenalty Amount
SunTrust Robinson Humphrey, Inc.Truist Financialinvestor protection violation2011FINRA$5,000,000
SunTrust Investment Services, Inc.Truist Financialinvestor protection violation2010FINRA$1,440,000
SunTrust Investment Services, Inc.Truist Financialinvestor protection violation2008FINRA$700,000
SunTrust Robinson Humphrey, Inc.Truist Financialinvestor protection violation2008FINRA$1,650,000
SunTrust Investment Services, Inc.Truist Financialinvestor protection violation2008FINRA$300,000
SunTrust Capital Markets, Inc.Truist Financialinvestor protection violation2005FINRA$100,000
BB&T Equipment Finance LLCTruist Financialconsumer protection violation2021CA-DFPI$75,000
Branch Banking & Trust CorporationTruist Financialcampaign finance violation2001FEC$22,000
Branch Banking & Trust Co.Truist Financialconsumer protection violation2017private lawsuit-federal$3,350,000
Susquehanna BankTruist Financialconsumer protection violation2014private lawsuit-federal$3,680,000
IFCO Systems North America, Inc.Triton Investments Adviserswage and hour violation2009WHD$22,377
IFCO Systems of North America Inc.Triton Investments Adviserswage and hour violation2006WHD$82,085
IFCO Systems North America, Inc.Triton Investments Adviserswage and hour violation2006WHD$1,712,712
IFCO Systems of North America, Inc.Triton Investments Adviserswage and hour violation2006WHD$84,459
IFCO Systems North America, Inc.Triton Investments Adviserswage and hour violation2006WHD$294,023
IFCO Systems North America, Inc.Triton Investments Adviserswage and hour violation2006WHD$270,379
IFCO Systems of North America, Inc.Triton Investments Adviserswage and hour violation2006WHD$13,399
IFCO Systems of North America, Inc.Triton Investments Adviserswage and hour violation2006WHD$108,261
IFCO SYSTEMSTriton Investments Adviserslabor relations violation2013NLRB$91,866
IFCO SystemsTriton Investments Adviserswork visa violations2008USAO$20,700,000
IFCO SYSTEMS NORTH AMERICA, INC.Triton Investments Advisersenvironmental violation2008FL-DEP$15,000
IFCO SYSTEMS NORTH AMERICATriton Investments Advisersworkplace safety or health violation2004OSHA$5,250
IFCO SYSTEMS N.A., INC.Triton Investments Advisersworkplace safety or health violation2006OSHA$20,000
IFCO SYSTEMS NORTH AMERICA INCTriton Investments Advisersworkplace safety or health violation2008OSHA$5,400
IFCO SYSTEMS DBA VALLEY WOOD PRODUCTS, INC.Triton Investments Advisersworkplace safety or health violation2006OSHA$5,226
IFCO SYSTEMS NORTH AMERICA, INC.Triton Investments Advisersworkplace safety or health violation2007OSHA$9,210
IFCO SYSTEMSTriton Investments Advisersworkplace safety or health violation2006OSHA$9,450
IFCO SYSTEMSTriton Investments Advisersworkplace safety or health violation2007OSHA$5,550
IFCO SYSTEMS NORTH AMERICA, INC.Triton Investments Advisersworkplace safety or health violation2007OSHA$27,690
IFCO SYSTEMSTriton Investments Advisersworkplace safety or health violation2008OSHA$18,500
IFCO SYSTEMSTriton Investments Advisersworkplace safety or health violation2008OSHA$7,500
IFCO SYSTEMS NORTH AMERICA INCTriton Investments Advisersworkplace safety or health violation2010OSHA$11,200
IFCO SYSTEMS N.A., INC.Triton Investments Advisersworkplace safety or health violation2009OSHA$11,100
IFCO SYSTEMSTriton Investments Advisersworkplace safety or health violation2010OSHA$8,000
IFCO SYSTEMS N.A., INC.Triton Investments Advisersworkplace safety or health violation2010OSHA$7,000
IFCO SYSTEMS NA INC DBA PALLET COMPANIES INCTriton Investments Advisersworkplace safety or health violation2010OSHA$44,000
IFCO SYSTEMS NORTH AMERICA, INC.Triton Investments Advisersworkplace safety or health violation2011OSHA$5,950
IFCO SYSTEMS NORTH AMERICA INC.Triton Investments Advisersworkplace safety or health violation2011OSHA$73,950
IFCO SYSTEMS NORTH AMERICA INCTriton Investments Advisersworkplace safety or health violation2011OSHA$8,000
IFCO SYSTEMSTriton Investments Advisersworkplace safety or health violation2011OSHA$5,000
IFCO SYSTEMS, NORTH AMERICATriton Investments Advisersworkplace safety or health violation2012OSHA$6,720
IFCO SYSTEMS US, LLC SITE146Triton Investments Advisersworkplace safety or health violation2013OSHA$23,099
IFCO SYSTEMS N.A. INC.Triton Investments Advisersworkplace safety or health violation2013OSHA$5,082
IFCO SYSTEMS N.A., INC.Triton Investments Advisersworkplace safety or health violation2014OSHA$13,500
IFCO SYSTEMS NORTH AMERICA, INC - SITE 711Triton Investments Advisersworkplace safety or health violation2014OSHA$7,040
IFCO SYSTEMS US, LLCTriton Investments Advisersworkplace safety or health violation2014OSHA$13,073
IFCO SYSTEMS, NORTH AMERICA #409Triton Investments Advisersworkplace safety or health violation2014OSHA$6,000
IFCO SYSTEMS NORTH AMERICA, INC.Triton Investments Advisersworkplace safety or health violation2014OSHA$18,400
The Travelers Indemnity CompanyTravelerswage and hour violation2009WHD$21,283
St Paul Travelers Companies Inc.Travelersbenefit plan administrator violation2007private lawsuit-federal$4,450,000
Premier Insurance Company of MassachusettsTravelersconsumer protection violation2011MA-AG$5,000,386
St. Paul TravelersTravelersprice-fixing or anti-competitive practices2006MULTI-AG$77,000,000
St. Paul Travelers Companies Inc.Travelersinvestor protection violation2005NM-AG$67,500,000
Travelers Companies, Inc.Travelersconsumer protection violation2018CT-AG$5,000,000
TravelersCompanies, Inc.Travelersprice-fixing or anti-competitive practices2007MULTI-AG$6,000,000
United States Fidelity & GuarantyTravelersFalse Claims Act and related2007CT-AG$17,500,000
United States Fidelity and Guaranty Co.TravelersFalse Claims Act and related2010MA-AG$2,925,000
Travelers Insurance CompanyTravelersFalse Claims Act and related2004USAO$10,900,000
Travelers CompaniesTravelersinsurance violation2012CA-INS$10,500,000
The Travelers Indemnity Company of America et al.Travelersinsurance violation2020DE-INS$6,000
Travelers Indemnity Co.Travelersinsurance violation2003FL-OFR$8,000
Travelers Indemnity Company of IllinoisTravelersinsurance violation2003FL-OFR$20,500
St. Paul Fire & Marine Insurance Co.Travelersinsurance violation2007FL-OFR$23,750
Travelers Casualty & Surety Company of America et al.Travelersinsurance violation2011IA-INS$5,000
St. Paul Fire & Marine Insurance Co.Travelersinsurance violation2006KS-INS$5,000
The Travelers Indemnity Co. et al.Travelersinsurance violation2010KS-INS$10,000
Standard Fire Insurance Co.Travelersinsurance violation2018KS-INS$7,500
Travelers Insurance CompanyTravelersinsurance violation2002MA-INS$8,600
Travelers Casualty and Surety Company of AmericaTravelersinsurance violation2011MD-INS$5,000
Phoenix Insurance Co. and Travelers Property Casualty Company of AmericaTravelersinsurance violation2013MD-INS$50,000
The Travelers Indemnity Company of America et al.Travelersinsurance violation2014MD-INS$55,000
The Travelers Indemnity Company of America et al.Travelersinsurance violation2014MD-INS$20,400
The Standard Fire Insurance Co.Travelersinsurance violation2015MD-INS$8,000
The Standard Fire Insurance Co.Travelersinsurance violation2015MD-INS$10,000
Standard Fire Insurance Co. et al.Travelersinsurance violation2016MD-INS$7,500
Travelers Commercial Insurance Co. et al.Travelersinsurance violation2017MD-INS$10,000
Travelers Casualty and Surety Co.Travelersinsurance violation2018MD-INS$67,500
Travelers Indemnity Co.Travelersinsurance violation2002MN-FIN$5,000
Travelers Home and Marine Insurance Co.Travelersinsurance violation2016MN-FIN$10,000
The Travelers Home and Marine Insurance Co.Travelersinsurance violation2016MN-FIN$15,000
The Travelers Indemnity Co.Travelersinsurance violation2019MN-FIN$10,000
Standard Fire Insurance Co.Travelersinsurance violation2015MO-INS$89,000
Travelers Indemnity Company of AmericaTravelersinsurance violation2016MO-INS$20,000
Travelers Property and Casualty Company of AmericaTravelersinsurance violation2016MO-INS$19,000
Phoenix Insurance Co.Travelersinsurance violation2016MO-INS$21,000
Travelers Casualty Insurance Company of America et al.Travelersinsurance violation2016MO-INS$16,000
Travelers Casualty and Surety Co. et al.Travelersinsurance violation2013MT-FIN$5,000
Travelers Home & Marine Insurance CompanyTravelersinsurance violation2014NY-DFS$100,000
Standard Fire Insurance CompanyTravelersinsurance violation2018OR-FIN$71,200
Travelers Indemnity Company of ConnecticutTravelersinsurance violation2004PA-INS$7,500
Travelers Indemnity Co.Travelersinsurance violation2017PA-INS$100,000
Travelers Indemnity Company of AmericaTravelersinsurance violation2009RI-FIN$5,000
Standard Fire Insurance CompanyTravelersinsurance violation2000SC-INS$10,000
Standard Fire Insurance CompanyTravelersinsurance violation2010TX-INS$8,000
Travelers Indemnity CompanyTravelersinsurance violation2010TX-INS$55,000
Travelers Indemnity CompanyTravelersinsurance violation2010TX-INS$60,000
Travelers Property Casualty Company of AmericaTravelersinsurance violation2010TX-INS$20,000
Travelers Property Casualty Company of AmericaTravelersinsurance violation2012TX-INS$25,000
Travelers Casualty and Surety CompanyTravelersinsurance violation2012TX-INS$6,000
Standard Fire Insurance CompanyTravelersinsurance violation2013TX-INS$5,000
United States Fidelity and Guaranty CompanyTravelersinsurance violation2014TX-INS$13,307
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.