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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $339,976,074,213
Number of Records: 6,952
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$82,898,016,192264
JPMorgan Chase$36,107,446,133199
Citigroup$25,540,645,217156
Wells Fargo$21,881,892,841222
Deutsche Bank$18,341,457,30276
UBS$16,879,318,334102
Goldman Sachs$16,399,485,79387
NatWest Group PLC$13,515,546,85731
BNP Paribas$12,148,363,95019
Credit Suisse$10,732,400,12649

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
INTL FCStoneStoneX Groupaccounting fraud or deficiencies2016SEC$150,000
INTL FCStone Markets, LLCStoneX Groupinvestor protection violation2015CFTC$200,000
FCStone, LLCStoneX Groupinvestor protection violation2015CFTC$140,000
Global Futures & Forex, Ltd.StoneX Groupinvestor protection violation2014CFTC$200,000
FCStone LLCStoneX Groupinvestor protection violation2013CFTC$1,500,000
FCStone, LLC and Commodity Operations Inc.StoneX Groupinvestor protection violation2012CFTC$260,000
INTL FCStone Financial Inc.StoneX Groupinvestor protection violation2017CFTC$280,000
Gain Capital Group, LLCStoneX Groupinvestor protection violation2020CFTC$300,000
Massachusetts Financial Services CompanySun Life Financialinvestor protection violation2004SEC$50,000,000
Massachusetts Financial Services Co.Sun Life Financialinvestor protection violation2004SEC$225,000,000
Massachusetts Financial Services CompanySun Life Financialinvestor protection violation2003SEC$917,858
Sun Life Assurance Company of Canada (U.S.)Sun Life Financialwage and hour violation2009WHD$6,366
Sun Life Assurance Company of Canada (U.S.)Sun Life Financialwage and hour violation2009WHD$25,744
Massachusetts Financial Services CompanySun Life Financialinvestor protection violation2018SEC$1,900,000
Massachusetts Financial Services Co.Sun Life Financialinvestor protection violation2004NY-AG$350,000,000
Sun Life Insurance CompanySun Life Financialinsurance violation2014MULTI-AG$3,200,000
Sun LIfe Assurance Company of Canada et al.Sun Life Financialinsurance violation2004IN-INS$125,000
Sun Life Insurance Company of CanadaSun Life Financialinsurance violation2009MN-FIN$7,500
SUN LIFE ASSURANCE CO OF CANADASun Life Financialenvironmental violation2005MA-ENV$31,635
Swiss Life Holding AG et al.Swiss Life Grouptax violations2021DOJ_TAX$77,374,337
Swiss Re Financial Products CorporationSwiss Reinvestor protection violation2007SEC$95,000
GE Capital Retail Bank, now known as Synchrony BankSynchrony Financialconsumer protection violation2014CFPB$225,000,000
GE Capital Retail Bank and CareCreditSynchrony Financialconsumer protection violation2013CFPB$34,100,000
GE Capital Corp.Synchrony Financialconsumer protection violation2006CT-AG$336,000
Synchrony BankSynchrony Financialconsumer protection violation2021CA-MULTI$3,500,000
GE ENERGY MANAGEMENT GRID SOLUTIONS, LLCSynchrony Financialworkplace safety or health violation2015OSHA$22,300
Synovus BankSynovus Financialbanking violation2013FDIC$135,050
AFB&TSynovus Financialbanking violation2009FDIC$7,040
Bank of North GeorgiaSynovus Financialenvironmental violation2011GA-ENV$14,000
Thrivent Financial For LutheransThrivent Financialinsurance violation2012MD-INS$8,000
Thrivent Financial for LutheransThrivent Financialinsurance violation2013WI-INS$5,000
Thrivent Investment Management Inc.Thrivent Financialinvestor protection violation2020IL-SEC$400,000
EverbankTIAAbanking violation2016OCC$1,000,000
EverbankTIAAbanking violation2013OCC$37,000,000
Teachers Insurance Annuity AssociationTIAAwage and hour violation2007WHD$1,171,404
TIAA - CREFTIAAwage and hour violation2006WHD$468,336
TIAATIAAwage and hour violation2005WHD$327,168
TIAA-CREFTIAAlabor relations violation2016NLRB$304,216
TIAA-CREFTIAAaviation safety violation2015FAA$7,500
TIAA-CREFTIAAbenefit plan administrator violation2014private lawsuit-federal$22,800,000
Teachers Insurance and Annuity Insurance Association of AmericaTIAAbenefit plan administrator violation2017private lawsuit-federal$5,000,000
TIAA-CREF Individual & Institutional Services, LLCTIAAinvestor protection violation2019SEC$2,395,722
Teachers Insurance & Annuity Assoc of AmericaTIAAwage and hour violation2017WHD$9,678
TIAA-CREF Life Insurance CompanyTIAAinsurance violation2016NY-DFS$29,325
TIAA-CREF Life Insurance CompanyTIAAinsurance violation2016NY-DFS$139,940
TIAA-CREF Life Insurance CompanyTIAAinsurance violation2013MULTI-FIN$6,200,000
Teachers Insurance and Annuity AssociationTIAAemployment discrimination2020OFCCP$1,500,000
Nuveen Services LLCTIAAwage and hour violation2018IL-DOL$27,983
TIAA Bank, FSBTIAAwage and hour violation2020private lawsuit-federal$3,500,000
Nuveen Investments, LLCTIAAinvestor protection violation2011FINRA$3,000,000
John Nuveen & Co., Inc.TIAAinvestor protection violation2000FINRA$6,630,000
TIAA-CREF Individual & Institutional Services, LLCTIAAbenefit plan administrator violation2021NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $97,000,000
TIAA-CREF Individual & Institutional Services LLCTIAAaccounting fraud or deficiencies2021SEC$97,000,000
TMX Finance LLCTMX Financeconsumer protection violation2016CFPB$9,000,000
TitleMax of Missouri, Inc.TMX FinanceFamily and Medical Leave Act2015WHD$11,648
TMX Finance, LLCTMX Financewage and hour violation2014WHD$10,057
TMX Finance LLCTMX FinanceFamily and Medical Leave Act2012WHD$36,596
TitleMax of Virginia Inc.TMX Financeconsumer protection violation2014DC-AG$167,257
TMX Finance, LLCTMX Financewage and hour violation2016WHD$6,353
Philadelphia Indemnity Insurance CompanyTokio MarineFalse Claims Act and related2018USAO$30,508
The Tokio Marine and Fire Insurance Company, Ltd. and Trans Pacific Insurance Co.Tokio Marineinsurance violation2003CA-INS$42,500
Philadelphia Indemnity Insurance Co.Tokio Marineinsurance violation2005CA-INS$175,000
American Contractors Indemnity Co.Tokio Marineinsurance violation2007CA-INS$170,000
Philadelphia Indemnity Insurance Co.Tokio Marineinsurance violation2008CA-INS$60,000
Reliance Standard Life Insurance Co.Tokio Marineinsurance violation2009KS-INS$6,300
Philadelphia Indemnity Insurance CompanyTokio Marineinsurance violation2000MA-INS$7,040
Philadelphia Indemnity Insurance Co.Tokio Marineinsurance violation2014MD-INS$7,500
Safety National Casualty Corp.Tokio Marineinsurance violation2017MD-INS$5,000
Privilege Underwriters Reciprocal ExchangeTokio Marineinsurance violation2019MD-INS$15,300
Philadelphia Indemnity Insurance Co.Tokio Marineinsurance violation2015MN-FIN$5,000
Philadelphia Indemnity Insurance Co.Tokio Marineinsurance violation2015MN-FIN$5,000
HCC Life Insurance Co.Tokio Marineinsurance violation2016MN-FIN$5,000
Safety National Casualty Co.Tokio Marineinsurance violation2013MO-INS$61,250
Safety First Insurance Co.Tokio Marineinsurance violation2013MO-INS$12,250
Tokio Marine & Nichido Fire Insurance Co.Tokio Marineinsurance violation2013MO-INS$29,750
Safety National Casualty Corp.Tokio Marineinsurance violation2004MS-INS$5,000
Safety National Casualty Corp.Tokio Marineinsurance violation2008MS-INS$10,000
HCC Life Insurance Co. and HCC Medical Insurance Services, LLCTokio Marineinsurance violation2017MT-INS$130,000
Tokio Marine Kiln Syndicates Limited et al.Tokio Marineinsurance violation2018NJ-DBI$60,000
Tokio Marine Kiln Syndicates Limited and Beazley Furlonge LimitedTokio Marineinsurance violation2017NY-DFS$920,000
Reliance Standard Life Insurance CompanyTokio Marineinsurance violation2007OR-FIN$10,000
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
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.