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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
Reliance Standard Life Insurance CompanyTokio Marineinsurance violation2007OR-FIN$5,000
Safety National Casualty CorporationTokio Marineinsurance violation2014TX-INS$32,109
Safety National Casualty CorporationTokio Marineinsurance violation2015TX-INS$5,000
Safety National Casualty CorporationTokio Marineinsurance violation2018TX-INS$23,500
Safety National Casualty CorporationTokio Marineinsurance violation2019TX-INS$5,000
AVEMCO INSURANCE COMPANYTokio Marineinsurance violation2002VA-INS$12,000
TNUS INSURANCE COMPANY ET AL.Tokio Marineinsurance violation2015VA-INS$120,233
HCC LIFE INSURANCE COMPANYTokio Marineinsurance violation2015VA-INS$9,000
TOKIO MARINE KILN SYNDICATES, LTD.Tokio Marineinsurance violation2018VA-INS$7,500
Producers Agriculture Insurance CompanyTokio Marineinsurance violation2019WA-INS$50,000
Privilege Underwriters Reciprocal ExchangeTokio Marineinsurance violation2020WA-INS$20,000
HCC Life Insurance Company et al.Tokio Marineinsurance violation2018MULTI-FIN$5,000,000
Privilege Underwriters Reciprocal ExchangeTokio Marineinsurance violation2020WA-INS$5,000
Safety National Casualty Corp.Tokio Marineinsurance violation2021TX-INS$9,500
Safety National Casualty Corp.Tokio Marineinsurance violation2021TX-INS$15,500
Safety National Casualty Corp.Tokio Marineinsurance violation2021TX-INS$39,000
Privilege Underwriters Reciprocal ExchangeTokio Marineinsurance violation2021VA-INS$19,295
Philadelphia Indemnity Insurance CompanyTokio Marineinsurance violation2022TX-INS$40,000
Producers Agriculture Insurance CompanyTokio Marineinsurance violation2022ND-INS$5,000
Producers Agriculture Insurance CompanyTokio Marineinsurance violation2022SD-INS$45,000
Safety National Casualty CorporationTokio Marineinsurance violation2022TX-INS$12,500
Safety National Casualty CorporationTokio Marineinsurance violation2022TX-INS$9,000
Safety National Casualty CorporationTokio Marineinsurance violation2022TX-INS$34,500
Safety National Casualty CorporationTokio Marineinsurance violation2022TX-INS$22,000
Reliance Standard Life Insurance CompanyTokio Marineinsurance violation2022CT-INS$9,000
Safety National Casualty CorporationTokio Marineinsurance violation2023TX-INS$10,000
Tokio Marine America Insurance CompanyTokio Marineinsurance violation2023NY-DFS$360,000
Safety National Casualty Corp.Tokio Marineinsurance violation2023TX-INS$19,000
Privilege Underwriters Reciprocal ExchangeTokio Marineeconomic sanction violation2023OFAC$466,200
Safety National Casualty CorporationTokio Marineinsurance violation2023TX-INS$17,000
TD Bank, National AssociationToronto-Dominion Bankbanking violation2013OCC$37,500,000
ConvergEx Group LLCToronto-Dominion Bankfraud2014DOJ_CRIMINAL$43,800,000
ConvergEx GroupToronto-Dominion Bankinvestor protection violation2013SEC$107,424,429
TD BankToronto-Dominion Bankinvestor protection violation2013SEC$15,000,000
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankinvestor protection violation2004SEC$2,000,000
SG Cowen & Co., LLC f/k/a SG Cowen Securities CorporationToronto-Dominion Bankinvestor protection violation2004SEC$125,000
SG Cowen Securities CorporationToronto-Dominion Bankinvestor protection violation2003SEC$5,000,000
Toronto-Dominion BankToronto-Dominion Bankeconomic sanction violation2017OFAC$516,105
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankwage and hour violation2005WHD$55,208
TD BanknorthToronto-Dominion Banklabor relations violation2006NLRB$5,000
TD Securities (USA) LLCToronto-Dominion Bankinvestor protection violation2016SEC$500,000
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 Options LLCToronto-Dominion Bankinvestor protection violation2009SEC$1,000,000
Convergex Execution Solutions LLCToronto-Dominion Bankdata submission deficiencies2018SEC$2,750,000
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
Cowen and Company, LLCToronto-Dominion Bankinvestor protection violation2008FINRA$150,000
SG Cowen, LLCToronto-Dominion Bankinvestor protection violation2004FINRA$800,000
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankinvestor protection violation2004FINRA$150,000
TD Bank, N.A.Toronto-Dominion Bankeconomic sanction violation2021OFAC$115,005
TD Securities (USA) LLCToronto-Dominion Bankinvestor protection violation2022SEC$152,955
TD Securities (USA) LLCToronto-Dominion Bankprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
TD Bank N.A.Toronto-Dominion Bankconsumer protection violation2023private lawsuit-federal$2,250,000
TD Bank N.A.Toronto-Dominion Bankconsumer protection violation2022private lawsuit-federal$4,245,000
TD Bank N.A.Toronto-Dominion Bankconsumer protection violation2022private lawsuit-federal$41,500,000
TD Bank N.A.Toronto-Dominion Bankconsumer protection violation2020private lawsuit-federal$70,000,000
TD Bank N.A.Toronto-Dominion Bankconsumer protection violation2013private lawsuit-federal$62,000,000
TD Bank, N.A.Toronto-Dominion Bankconsumer protection violation2017private lawsuit-federal$500,000
TD Bank N.A.Toronto-Dominion Bankconsumer protection violation2023private lawsuit-federal$11,900,000
TD Bank N.A.Toronto-Dominion Bankconsumer protection violation2023private lawsuit-federal$4,900,000
TP ICAP PLCTP ICAP PLCprice-fixing or anti-competitive practices2023private lawsuit-federal$2,375,000
TP ICAP plcTP ICAP PLCprice-fixing or anti-competitive practices2023private lawsuit-federal$2,100,000
Nyrstar Clarksville, Inc.Trafigurarailroad safety violation2010FRA$5,000
NYRSTAR CLARKSVILLE, INC.Trafigurarailroad safety violation2009FRA$10,000
Trafigura AGTrafigurawage and hour violation2007WHD$11,839
Trafigura Beheer B.V. AmsterdamTrafiguraenvironmental violation2012CA-ARB$10,000
Nyrstar ClarksvilleTrafiguraenvironmental violation2019TN-ENV$181,482
Nyrstar ClarksvilleTrafiguraenvironmental violation2019TN-ENV$622,389
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraenvironmental violation2017TN-ENV$41,760
Nyrstar Gordonsville LLCTrafiguraenvironmental violation2013TN-ENV$5,000
Nyrstar Clarksville Inc.Trafiguraenvironmental violation2023TN-ENV$17,500
NYRSTAR CLARKSVILLE, INC.Trafiguraworkplace safety or health violation2020OSHA$28,916
NYRSTAR CLARKSVILLE INC.Trafiguraworkplace safety or health violation2022OSHA$14,400
NYRSTAR CLARKSVILLE, INC.Trafiguraenvironmental violation2010EPA$45,524
Trafigura AGTrafiguraenvironmental violation2012EPA$73,465
Trafigura AGTrafiguraenvironmental violation2015EPA$21,450
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2020MSHA$6,159
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2014MSHA$8,600
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2010MSHA$5,080
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2010MSHA$5,080
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2010MSHA$18,271
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2019MSHA$5,776
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2009MSHA$25,000
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2021MSHA$6,232
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2022MSHA$11,500
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2022MSHA$41,474
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2022MSHA$6,725
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2022MSHA$6,725
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2018MSHA$5,903
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2022MSHA$18,926
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2022MSHA$21,029
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2014MSHA$5,000
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2011MSHA$12,790
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2009MSHA$16,830
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2009MSHA$9,951
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2012MSHA$7,115
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$8,209
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.