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)
Company Parentsort icon Primary Offense Type Year Agency Penalty Amount
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $6,778
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $10,373
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2021 MSHA $9,446
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2021 MSHA $6,858
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2021 MSHA $11,083
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2021 MSHA $5,844
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2021 MSHA $5,844
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2021 MSHA $6,858
ICAP Corporates LLC TP ICAP PLC investor protection violation 2009 FINRA $2,800,000
TD Bank, National Association Toronto-Dominion Bank banking violation 2013 OCC $37,500,000
TD Bank Toronto-Dominion Bank investor protection violation 2013 SEC $15,000,000
TD Waterhouse Investor Services, Inc. Toronto-Dominion Bank investor protection violation 2004 SEC $2,000,000
Toronto-Dominion Bank Toronto-Dominion Bank economic sanction violation 2017 OFAC $516,105
TD Waterhouse Investor Services, Inc. Toronto-Dominion Bank wage and hour violation 2005 WHD $55,208
TD Banknorth Toronto-Dominion Bank labor relations violation 2006 NLRB $5,000
TD Securities (USA) LLC Toronto-Dominion Bank investor protection violation 2016 SEC $500,000
TD Bank Toronto-Dominion Bank wage and hour violation 2015 private lawsuit-federal $9,900,000
TD Bank Toronto-Dominion Bank wage and hour violation 2014 private lawsuit-federal $6,000,000
TD Bank Toronto-Dominion Bank wage and hour violation 2013 private lawsuit-federal $975,000
TD Bank Toronto-Dominion Bank wage and hour violation 2010 private lawsuit-federal $375,000
TD Options LLC Toronto-Dominion Bank investor protection violation 2009 SEC $1,000,000
TD Bank Toronto-Dominion Bank privacy violation 2014 MA-AG $625,000
TD Bank, N.A. Toronto-Dominion Bank privacy violation 2014 MULTI-AG $850,000
TD Bank, N.A. Toronto-Dominion Bank consumer protection violation 2020 CFPB $122,000,000
TD Waterhouse Investor Services, Inc. Toronto-Dominion Bank investor protection violation 2004 FINRA $150,000
Philadelphia Indemnity Insurance Company Tokio Marine False Claims Act and related 2018 USAO $30,508
The Tokio Marine and Fire Insurance Company, Ltd. and Trans Pacific Insurance Co. Tokio Marine insurance violation 2003 CA-INS $42,500
Philadelphia Indemnity Insurance Co. Tokio Marine insurance violation 2005 CA-INS $175,000
American Contractors Indemnity Co. Tokio Marine insurance violation 2007 CA-INS $170,000
Philadelphia Indemnity Insurance Co. Tokio Marine insurance violation 2008 CA-INS $60,000
Reliance Standard Life Insurance Co. Tokio Marine insurance violation 2009 KS-INS $6,300
Philadelphia Indemnity Insurance Company Tokio Marine insurance violation 2000 MA-INS $7,040
Philadelphia Indemnity Insurance Co. Tokio Marine insurance violation 2014 MD-INS $7,500
Safety National Casualty Corp. Tokio Marine insurance violation 2017 MD-INS $5,000
Privilege Underwriters Reciprocal Exchange Tokio Marine insurance violation 2019 MD-INS $15,300
Philadelphia Indemnity Insurance Co. Tokio Marine insurance violation 2015 MN-FIN $5,000
Philadelphia Indemnity Insurance Co. Tokio Marine insurance violation 2015 MN-FIN $5,000
HCC Life Insurance Co. Tokio Marine insurance violation 2016 MN-FIN $5,000
Safety National Casualty Co. Tokio Marine insurance violation 2013 MO-INS $61,250
Safety First Insurance Co. Tokio Marine insurance violation 2013 MO-INS $12,250
Tokio Marine & Nichido Fire Insurance Co. Tokio Marine insurance violation 2013 MO-INS $29,750
Safety National Casualty Corp. Tokio Marine insurance violation 2004 MS-INS $5,000
Safety National Casualty Corp. Tokio Marine insurance violation 2008 MS-INS $10,000
HCC Life Insurance Co. and HCC Medical Insurance Services, LLC Tokio Marine insurance violation 2017 MT-INS $130,000
Tokio Marine Kiln Syndicates Limited et al. Tokio Marine insurance violation 2018 NJ-DBI $60,000
Tokio Marine Kiln Syndicates Limited and Beazley Furlonge Limited Tokio Marine insurance violation 2017 NY-DFS $920,000
Reliance Standard Life Insurance Company Tokio Marine insurance violation 2007 OR-FIN $10,000
Reliance Standard Life Insurance Company Tokio Marine insurance violation 2007 OR-FIN $5,000
Safety National Casualty Corporation Tokio Marine insurance violation 2014 TX-INS $32,109
Safety National Casualty Corporation Tokio Marine insurance violation 2015 TX-INS $5,000
Safety National Casualty Corporation Tokio Marine insurance violation 2018 TX-INS $23,500
Safety National Casualty Corporation Tokio Marine insurance violation 2019 TX-INS $5,000
AVEMCO INSURANCE COMPANY Tokio Marine insurance violation 2002 VA-INS $12,000
TNUS INSURANCE COMPANY ET AL. Tokio Marine insurance violation 2015 VA-INS $120,233
HCC LIFE INSURANCE COMPANY Tokio Marine insurance violation 2015 VA-INS $9,000
TOKIO MARINE KILN SYNDICATES, LTD. Tokio Marine insurance violation 2018 VA-INS $7,500
Producers Agriculture Insurance Company Tokio Marine insurance violation 2019 WA-INS $50,000
Privilege Underwriters Reciprocal Exchange Tokio Marine insurance violation 2020 WA-INS $20,000
HCC Life Insurance Company et al. Tokio Marine insurance violation 2018 MULTI-FIN $5,000,000
Privilege Underwriters Reciprocal Exchange Tokio Marine insurance violation 2020 WA-INS $5,000
Safety National Casualty Corp. Tokio Marine insurance violation 2021 TX-INS $9,500
TMX Finance LLC TMX Finance consumer protection violation 2016 CFPB $9,000,000
TitleMax of Missouri, Inc. TMX Finance Family and Medical Leave Act 2015 WHD $11,648
TMX Finance, LLC TMX Finance wage and hour violation 2014 WHD $10,057
TMX Finance LLC TMX Finance Family and Medical Leave Act 2012 WHD $36,596
TitleMax of Virginia Inc. TMX Finance consumer protection violation 2014 DC-AG $167,257
TMX Finance, LLC TMX Finance wage and hour violation 2016 WHD $6,353
Everbank TIAA banking violation 2016 OCC $1,000,000
Everbank TIAA banking violation 2013 OCC $37,000,000
Teachers Insurance Annuity Association TIAA wage and hour violation 2007 WHD $1,171,404
TIAA - CREF TIAA wage and hour violation 2006 WHD $468,336
TIAA TIAA wage and hour violation 2005 WHD $327,168
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
Teachers Insurance and Annuity Insurance Association of America TIAA benefit plan administrator violation 2017 private lawsuit-federal $5,000,000
TIAA-CREF Individual & Institutional Services, LLC TIAA investor protection violation 2019 SEC $2,395,722
Teachers Insurance & Annuity Assoc of America TIAA wage and hour violation 2017 WHD $9,678
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
Teachers Insurance and Annuity Association TIAA employment discrimination 2020 OFCCP $1,500,000
Nuveen Services LLC TIAA wage and hour violation 2018 IL-DOL $27,983
TIAA Bank, FSB TIAA wage and hour violation 2020 private lawsuit-federal $3,500,000
Nuveen Investments, LLC TIAA investor protection violation 2011 FINRA $3,000,000
John Nuveen & Co., Inc. TIAA investor protection violation 2000 FINRA $6,630,000
TIAA-CREF Individual & Institutional Services, LLC TIAA benefit plan administrator violation 2021 NY-AG (*) $97,000,000
TIAA-CREF Individual & Institutional Services LLC TIAA accounting fraud or deficiencies 2021 SEC $97,000,000
Thrivent Financial For Lutherans Thrivent Financial insurance violation 2012 MD-INS $8,000
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
Taylor, Bean & Whitaker Corp. Taylor, Bean & Whitaker wage and hour violation 2009 WA-DLI $11,268
Taylor, Bean & Whitaker Mortgage Corp. Taylor, Bean & Whitaker consumer protection violation 2009 IL-BKG $20,000
Taylor Bean & Whitaker Mortgage Corp. Taylor, Bean & Whitaker consumer protection violation 2008 KY-FIN $75,000
Taylor, Bean & Whitaker Mortgage Corp. Taylor, Bean & Whitaker mortgage abuses 2009 MULTI-FIN $9,000,000
Synovus Bank Synovus Financial banking violation 2013 FDIC $135,050
AFB&T Synovus Financial banking violation 2009 FDIC $7,040
Bank of North Georgia Synovus Financial environmental violation 2011 GA-ENV $14,000
GE Capital Retail Bank, now known as Synchrony Bank Synchrony Financial consumer protection violation 2014 CFPB $225,000,000
GE ENERGY MANAGEMENT GRID SOLUTIONS, LLC Synchrony Financial workplace safety or health violation 2015 OSHA $22,300
Swiss Re Financial Products Corporation Swiss Re investor protection violation 2007 SEC $95,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)