Violation Tracker

Basic Search | Summaries | Advanced Search

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 Companies	Total Penalty $	Number of Records
Bank of America	$82,898,016,192	264
JPMorgan Chase	$36,107,446,133	199
Citigroup	$25,540,645,217	156
Wells Fargo	$21,881,892,841	222
Deutsche Bank	$18,341,457,302	76
UBS	$16,879,318,334	102
Goldman Sachs	$16,399,485,793	87
NatWest Group PLC	$13,515,546,857	31
BNP Paribas	$12,148,363,950	19
Credit Suisse	$10,732,400,126	49

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 or Save your search (Click here for information on download subscriptions)

Company	Current Parent	Primary Offense Type	Year	Agency	Penalty Amount
Producers Agriculture Insurance Company	Tokio Marine	insurance violation	2022	SD-INS	$45,000
Safety National Casualty Corporation	Tokio Marine	insurance violation	2022	TX-INS	$12,500
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
TD Bank, N.A.	Toronto-Dominion Bank	economic sanction violation	2021	OFAC	$115,005
Nyrstar Clarksville, Inc.	Trafigura	railroad safety violation	2010	FRA	$5,000
NYRSTAR CLARKSVILLE, INC.	Trafigura	railroad safety violation	2009	FRA	$10,000
Trafigura AG	Trafigura	wage and hour violation	2007	WHD	$11,839
Trafigura Beheer B.V. Amsterdam	Trafigura	environmental violation	2012	CA-ARB	$10,000
Nyrstar Clarksville	Trafigura	environmental violation	2019	TN-ENV	$181,482
Nyrstar Clarksville	Trafigura	environmental violation	2019	TN-ENV	$622,389
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	environmental violation	2017	TN-ENV	$41,760
Nyrstar Gordonsville LLC	Trafigura	environmental violation	2013	TN-ENV	$5,000
NYRSTAR CLARKSVILLE, INC.	Trafigura	workplace safety or health violation	2020	OSHA	$28,916
NYRSTAR CLARKSVILLE, INC.	Trafigura	environmental violation	2010	EPA	$45,524
Trafigura AG	Trafigura	environmental violation	2012	EPA	$73,465
Trafigura AG	Trafigura	environmental violation	2015	EPA	$21,450
Nyrstar Tennessee Mines, Strawberry Plains LLC	Trafigura	workplace safety or health violation	2010	MSHA	$5,080
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2010	MSHA	$7,578
Nyrstar Tennessee Mines, Strawberry Plains LLC	Trafigura	workplace safety or health violation	2009	MSHA	$9,951
Nyrstar Tennessee Mines, Strawberry Plains LLC	Trafigura	workplace safety or health violation	2010	MSHA	$5,080
Nyrstar Tennessee Mines, Strawberry Plains LLC	Trafigura	workplace safety or health violation	2009	MSHA	$25,000
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2010	MSHA	$10,200
Nyrstar Tennessee Mines, Strawberry Plains LLC	Trafigura	workplace safety or health violation	2009	MSHA	$16,830
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2010	MSHA	$38,925
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2010	MSHA	$5,503
Nyrstar Tennessee Mines, Strawberry Plains LLC	Trafigura	workplace safety or health violation	2010	MSHA	$18,271
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2009	MSHA	$6,600
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2010	MSHA	$5,000
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2010	MSHA	$6,200
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2010	MSHA	$5,961
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2010	MSHA	$6,800
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2010	MSHA	$7,176
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2010	MSHA	$6,062
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2010	MSHA	$38,925
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2014	MSHA	$8,000
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2014	MSHA	$10,437
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2014	MSHA	$5,080
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2014	MSHA	$8,600
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2011	MSHA	$5,080
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2012	MSHA	$31,100
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2012	MSHA	$7,115
Nyrstar Tennessee Mines, Strawberry Plains LLC	Trafigura	workplace safety or health violation	2014	MSHA	$8,600
Nyrstar Tennessee Mines, Strawberry Plains LLC	Trafigura	workplace safety or health violation	2014	MSHA	$5,000
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2014	MSHA	$8,209
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2011	MSHA	$12,248
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2014	MSHA	$8,209
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2014	MSHA	$5,000
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2014	MSHA	$8,209
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2014	MSHA	$11,500
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2014	MSHA	$14,743
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2014	MSHA	$11,000
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2014	MSHA	$8,209
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2012	MSHA	$7,000
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2014	MSHA	$13,268
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2014	MSHA	$9,000
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2014	MSHA	$6,500
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2014	MSHA	$8,209
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2014	MSHA	$8,893
Nyrstar Tennessee Mines, Strawberry Plains LLC	Trafigura	workplace safety or health violation	2011	MSHA	$12,790
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2014	MSHA	$33,400
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2014	MSHA	$8,000
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2012	MSHA	$6,996
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2013	MSHA	$6,351
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2011	MSHA	$5,016
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2011	MSHA	$13,510
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2011	MSHA	$13,268
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2014	MSHA	$5,080
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2020	MSHA	$5,332
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2015	MSHA	$5,080
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2019	MSHA	$7,401
Nyrstar Tennessee Mines, Strawberry Plains LLC	Trafigura	workplace safety or health violation	2020	MSHA	$6,159
Nyrstar Tennessee Mines, Strawberry Plains LLC	Trafigura	workplace safety or health violation	2018	MSHA	$5,903
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2018	MSHA	$10,473
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2015	MSHA	$5,645
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2018	MSHA	$8,947
Nyrstar Tennessee Mines, Strawberry Plains LLC	Trafigura	workplace safety or health violation	2019	MSHA	$5,776
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2019	MSHA	$11,041
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2019	MSHA	$36,151
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2019	MSHA	$8,016
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2018	MSHA	$9,942
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2018	MSHA	$5,997
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2019	MSHA	$72,600
Nyrstar Gordonsville, LLC	Trafigura	workplace safety or health violation	2015	MSHA	$5,961
Nyrstar Tennessee Mines, Strawberry Plains LLC	Trafigura	workplace safety or health violation	2021	MSHA	$6,232
The Travelers Indemnity Company	Travelers	wage and hour violation	2009	WHD	$21,283
St Paul Travelers Companies Inc.	Travelers	benefit plan administrator violation	2007	private lawsuit-federal	$4,450,000