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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
Producers Agriculture Insurance CompanyTokio Marineinsurance violation2022SD-INS$45,000
Safety National Casualty CorporationTokio Marineinsurance violation2022TX-INS$12,500
TD Bank, National AssociationToronto-Dominion Bankbanking violation2013OCC$37,500,000
TD BankToronto-Dominion Bankinvestor protection violation2013SEC$15,000,000
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankinvestor protection violation2004SEC$2,000,000
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
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
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankinvestor protection violation2004FINRA$150,000
TD Bank, N.A.Toronto-Dominion Bankeconomic sanction violation2021OFAC$115,005
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.Trafiguraworkplace safety or health violation2020OSHA$28,916
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 violation2010MSHA$5,080
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$7,578
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2009MSHA$9,951
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2010MSHA$5,080
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2009MSHA$25,000
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$10,200
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2009MSHA$16,830
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$38,925
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$5,503
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2010MSHA$18,271
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2009MSHA$6,600
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$5,000
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$6,200
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$5,961
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$6,800
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$7,176
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$6,062
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$38,925
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$8,000
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$10,437
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$5,080
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$8,600
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2011MSHA$5,080
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2012MSHA$31,100
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2012MSHA$7,115
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2014MSHA$8,600
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2014MSHA$5,000
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$8,209
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2011MSHA$12,248
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$8,209
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$5,000
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$8,209
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$11,500
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$14,743
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$11,000
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$8,209
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2012MSHA$7,000
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$13,268
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$9,000
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$6,500
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$8,209
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$8,893
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2011MSHA$12,790
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$33,400
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$8,000
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2012MSHA$6,996
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2013MSHA$6,351
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2011MSHA$5,016
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2011MSHA$13,510
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2011MSHA$13,268
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$5,080
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2020MSHA$5,332
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2015MSHA$5,080
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2019MSHA$7,401
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2020MSHA$6,159
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2018MSHA$5,903
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2018MSHA$10,473
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2015MSHA$5,645
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2018MSHA$8,947
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2019MSHA$5,776
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2019MSHA$11,041
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2019MSHA$36,151
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2019MSHA$8,016
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2018MSHA$9,942
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2018MSHA$5,997
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2019MSHA$72,600
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2015MSHA$5,961
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2021MSHA$6,232
The Travelers Indemnity CompanyTravelerswage and hour violation2009WHD$21,283
St Paul Travelers Companies Inc.Travelersbenefit plan administrator violation2007private lawsuit-federal$4,450,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.