Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$332,924,888,663
Number of Records: 
6,731
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$82,885,116,051259
JPMorgan Chase$35,851,377,155190
Citigroup$25,535,002,360154
Wells Fargo$21,428,596,719217
Deutsche Bank$18,341,457,30276
UBS$16,845,624,16097
Goldman Sachs$16,381,931,83964
NatWest Group PLC$13,477,129,00031
BNP Paribas$12,147,863,95019
Credit Suisse$10,447,392,62644


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
Travelers Indemnity Company of America Travelers insurance violation 2009 RI-FIN $5,000
Standard Fire Insurance Company Travelers insurance violation 2000 SC-INS $10,000
Standard Fire Insurance Company Travelers insurance violation 2010 TX-INS $8,000
Travelers Indemnity Company Travelers insurance violation 2010 TX-INS $55,000
Travelers Indemnity Company Travelers insurance violation 2010 TX-INS $60,000
Travelers Property Casualty Company of America Travelers insurance violation 2010 TX-INS $20,000
Travelers Property Casualty Company of America Travelers insurance violation 2012 TX-INS $25,000
Travelers Casualty and Surety Company Travelers insurance violation 2012 TX-INS $6,000
Standard Fire Insurance Company Travelers insurance violation 2013 TX-INS $5,000
United States Fidelity and Guaranty Company Travelers insurance violation 2014 TX-INS $13,307
The Phoenix Insurance Company Travelers insurance violation 2014 TX-INS $10,628
The Standard Fire Insurance Company Travelers insurance violation 2014 TX-INS $9,795
The Travelers Indemnity Company Travelers insurance violation 2014 TX-INS $19,442
Travelers Property and Casualty Company of America Travelers insurance violation 2014 TX-INS $17,012
Travelers Casualty Insurance Company of America Travelers insurance violation 2014 TX-INS $10,000
The Travelers Indemnity Company Travelers insurance violation 2014 TX-INS $11,500
Phoenix Insurance Company Travelers insurance violation 2014 TX-INS $5,750
Travelers Casualty and Surety Company Travelers insurance violation 2015 TX-INS $8,000
Travelers Indemnity Company Travelers insurance violation 2015 TX-INS $10,000
The Travelers Indemnity Company Travelers insurance violation 2015 TX-INS $10,000
Travelers Indemnity Company et al. Travelers insurance violation 2015 TX-INS $1,200,000
The Travelers Indemnity Company Travelers insurance violation 2015 TX-INS $7,500
Travelers Indemnity Company of Connecticut Travelers insurance violation 2015 TX-INS $60,000
The Travelers Indemnity Company Travelers insurance violation 2016 TX-INS $9,000
The Travelers Indemnity Company of Connecticut Travelers insurance violation 2016 TX-INS $7,000
The Standard Fire Insurance Company Travelers insurance violation 2016 TX-INS $5,000
The Travelers Indemnity Co. of Connecticut Travelers insurance violation 2016 TX-INS $18,000
Travelers Property Casualty Company of America Travelers insurance violation 2016 TX-INS $62,000
Travelers Casualty and Surety Company of America Travelers insurance violation 2016 TX-INS $100,000
Travelers Casualty & Surety Company Travelers insurance violation 2017 TX-INS $13,000
Travelers Lloyds of Texas Insurance Company Travelers insurance violation 2017 TX-INS $10,000
The Standard Fire Insurance Company Travelers insurance violation 2018 TX-INS $27,855
Travelers Casualty and Surety Company Travelers insurance violation 2018 TX-INS $11,000
Travelers Property Casualty Company of America Travelers insurance violation 2018 TX-INS $14,500
The Travelers Indemnity Company Travelers insurance violation 2018 TX-INS $7,500
The Travelers Indemnity Company of Connecticut Travelers insurance violation 2018 TX-INS $20,000
Standard Fire Insurance Company Travelers insurance violation 2019 TX-INS $20,000
The Phoenix Insurance Company Travelers insurance violation 2019 TX-INS $6,000
Travelers Indemnity Company Travelers insurance violation 2019 TX-INS $5,000
Travelers Casualty and Surety Company Travelers insurance violation 2019 TX-INS $14,000
THE TRAVELERS INDEMNITY CO. et al. Travelers insurance violation 2009 VA-INS $7,000
Travelers Property Casualty Co. of America Travelers insurance violation 2009 VA-INS $6,000
The Travelers Indemnity Company ofAmerica Travelers insurance violation 2020 VA-INS $49,500
Travelers Indemnity Co. et al. Travelers insurance violation 2016 VT-FIN $96,000
St. Paul Fire & Marine Insurance Co. Travelers insurance violation 2005 WI-INS $20,000
Travelers Casualty & Surety Company of America Travelers insurance violation 2008 WI-INS $30,000
Travelers Property Casualty Co. of America Travelers insurance violation 2020 TX-INS $10,000
Travelers Indemnity Company Travelers discriminatory practices (non-employment) 2018 private lawsuit-federal $450,000
Travelers Home and Marine Insurance Company Travelers insurance violation 2021 WA-INS $10,000
STANDARD FIRE INSURANCE COMPANY Travelers insurance violation 2021 WA-INS $5,000
SunTrust Mortgage, Inc. Truist Financial consumer protection violation 2014 CFPB $550,000,000
SunTrust Banks, Inc. Truist Financial banking violation 2014 FED $160,000,000
SunTrust Mortgage, Inc. Truist Financial toxic securities abuses 2013 FHFA $65,000,000
SunTrust Mortgage Inc. Truist Financial banking violation 2012 DOJ_RIGHTS $21,000,000
SunTrust Mortgage Inc. Truist Financial mortgage abuses 2014 DOJ_CIVIL $320,000,000
SunTrust Mortgage Inc. Truist Financial False Claims Act and related 2014 DOJ_CIVIL $418,000,000
BANK OF KENTUCKY, INC., THE Truist Financial banking violation 2009 FDIC $30,415
BankAtlantic Truist Financial anti-money-laundering deficiencies 2006 DOJ_CRIMINAL $10,000,000
BankAtlantic Truist Financial economic sanction violation 2008 OFAC $7,500
BB&T Truist Financial economic sanction violation 2007 OFAC $10,000
SunTrust Bank Truist Financial economic sanction violation 2005 OFAC $40,423
SunTrust Bank Truist Financial economic sanction violation 2005 OFAC $30,800
SunTrust Capital Markets Inc. Truist Financial investor protection violation 2006 SEC $125,000
Branch Banking & Trust Company (BB&T) Truist Financial False Claims Act and related 2016 DOJ_CIVIL $83,000,000
SunTrust Mortgage, Inc. Truist Financial discriminatory practices (non-employment) 2013 HUD $36,000
Branch Banking and Trust (BB&T) Truist Financial employment discrimination 2010 EEOC $24,000
SunTrust Bank Truist Financial employment discrimination 2014 EEOC $300,000
SunTrust Mortgage Inc. Truist Financial wage and hour violation 2012 WHD $51,518
Branch Banking and Trust Company Truist Financial wage and hour violation 2011 WHD $12,314
BB&T Truist Financial wage and hour violation 2011 WHD $43,662
SunTrust Bank, Inc. Truist Financial wage and hour violation 2006 WHD $350,875
Grandbridge Real Estate Capital, LLC Truist Financial labor relations violation 2015 NLRB $70,000
SunTrust Bank Truist Financial banking violation 2017 FED $1,501,000
SunTrust Banks Truist Financial investor protection violation 2017 SEC $1,100,000
BB&T Securities, LLC Truist Financial investor protection violation 2016 SEC $200,000
BB&T Securities, LLC Truist Financial investor protection violation 2015 SEC $200,000
BB&T Truist Financial wage and hour violation 2018 private lawsuit-federal $72,336
SunTrust Mortgage Truist Financial wage and hour violation 2012 private lawsuit-federal $2,400,000
BB&T Securities, LLC Truist Financial investor protection violation 2018 SEC $100,000
SunTrust Banks, Inc. Truist Financial benefit plan administrator violation 2018 private lawsuit-federal $4,750,000
BB&T Securities Truist Financial investor protection violation 2019 SEC $5,709,753
BB&T Securities, LLC Truist Financial investor protection violation 2019 SEC $376,059
BB&T Corporation Truist Financial benefit plan administrator violation 2019 private lawsuit-federal $24,000,000
BB&T Leasing Company Truist Financial consumer protection violation 2005 NY-AG $159,097
BB&T Leasing Corporation Truist Financial consumer protection violation 2006 MULTI-AG $6,000,000
SunTrust Bank Truist Financial banking violation 2005 WI-AG $10,107
SunTrust Mortgage Inc. Truist Financial mortgage abuses 2014 MULTI-AG (*) $40,000,000
Branch Banking & Trust Co. Truist Financial economic sanction violation 2014 OFAC $19,125
McGriff, Seibels & Williams of Texas, Inc. Truist Financial economic sanction violation 2011 OFAC $122,408
SunTrust Mortgage, Inc. Truist Financial consumer protection violation 2017 AR-SEC $13,000
SunTrust Mortgage, Inc. Truist Financial mortgage abuses 2016 CA-DFPI $50,000
SunTrust Mortgage, Inc. Truist Financial consumer protection violation 2019 CA-DFPI $349,015
Bank of Louisville Truist Financial investor protection violation 2002 KY-INS $27,000,000
Branch Banking and Trust Company Truist Financial investor protection violation 2016 SC-SEC $97,500
SunTrust Robinson Humphrey, Inc. Truist Financial investor protection violation 2016 FINRA $1,500,000
SunTrust Robinson Humphrey, Inc. Truist Financial investor protection violation 2011 FINRA $5,000,000
SunTrust Investment Services, Inc. Truist Financial investor protection violation 2010 FINRA $1,440,000
SunTrust Investment Services, Inc. Truist Financial investor protection violation 2008 FINRA $700,000
SunTrust Robinson Humphrey, Inc. Truist Financial investor protection violation 2008 FINRA $1,650,000
SunTrust Investment Services, Inc. Truist Financial investor protection violation 2008 FINRA $300,000
SunTrust Capital Markets, Inc. Truist Financial investor protection violation 2005 FINRA $100,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)