Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$330,904,834,105
Number of Records: 
6,093
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$82,737,699,939214
JPMorgan Chase$35,744,240,670158
Citigroup$25,450,155,764122
Wells Fargo$21,340,036,745181
Deutsche Bank$18,156,533,87859
UBS$16,792,800,91083
Goldman Sachs$16,365,468,98744
Royal Bank of Scotland$13,455,904,00027
BNP Paribas$12,132,582,95017
Credit Suisse$10,410,557,62632


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)
Companysort icon Parent Primary Offense Type Year Agency Penalty Amount
THE HARTFORD FINANCIAL SERVICES GROUP, INC. Hartford Financial Services workplace safety or health violation 2011 OSHA $5,600
The Hartford Financial Services Group Hartford Financial Services investor protection violation 2006 MULTI-AG $20,000,000
The Hanover Insurance Company Hanover Insurance insurance violation 2019 TX-INS $20,000
The Hanover Insurance Co. Hanover Insurance insurance violation 2015 MN-FIN $7,500
The Hanover Insurance Co. Hanover Insurance insurance violation 2014 WI-INS $5,000
The Guardian Life Insurance Company of America Guardian Life Insurance insurance violation 2007 MA-AG $20,000
The Guardian Life Insurance Company of America Guardian Life Insurance insurance violation 2008 FL-OFR $10,500
THE GUARDIAN LIFE INSURANCE CO Guardian Life Insurance insurance violation 2004 VA-INS $27,000
THE GUARDIAN LIFE INSURANCE CO Guardian Life Insurance insurance violation 2010 VA-INS $62,000
The Guardian Insurance & Annuity Company, Inc. Guardian Life Insurance insurance violation 2019 NY-DFS $442,589
The General Automobile Insurance Company Inc. American Family Insurance insurance violation 2018 TX-INS $100,000
THE GENERAL AUTOMOBILE INSURANCE CO. American Family Insurance insurance violation 2018 VA-INS $66,996
THE GAS COMPANY, LLC Macquarie workplace safety or health violation 2013 OSHA $7,000
THE GAS COMPANY, LLC Macquarie workplace safety or health violation 2013 OSHA $10,500
The Gas Company LLC (dba Hawaii Gas) Macquarie environmental violation 2014 EPA $155,000
THE GAS COMPANY LLC Macquarie motor vehicle safety violation 2009 FMCSA $28,440
THE GAS COMPANY LLC Macquarie motor vehicle safety violation 2009 FMCSA $28,440
The Gas Company Llc Macquarie motor vehicle safety violation 2017 FMCSA $12,650
The First American Title Insurance, Co. First American Financial wage and hour violation 2005 WHD $24,067
The First American Title Company First American Financial wage and hour violation 2006 WHD $72,363
The Federal Home Loan Mortgage Corporation Freddie Mac (Federal Home Loan Mortgage Corporation) wage and hour violation 2011 WHD $24,153
The Equitable Life Assurance Society of the United States Equitable Holdings insurance violation 2003 FL-OFR $1,600,000
THE COLUMBIA BANK Fulton Financial banking violation 2002 FDIC $7,000
The Chubb Corp. Chubb Limited consumer protection violation 2009 MA-AG $239,011
The BISYS Group Citigroup accounting fraud or deficiencies 2007 SEC $25,000,000
The Bank of Nova Scotia Scotiabank investor protection violation 2020 CFTC $50,000,000
The Bank of Nova Scotia Scotiabank investor protection violation 2020 CFTC $77,400,000
THE BANK OF NEW YORK MELLON Bank of New York Mellon banking violation 2012 FED $6,000,000
The Bank of New York Bank of New York Mellon economic sanction violation 2005 OFAC $5,844
The Bank of New York Bank of New York Mellon anti-money-laundering deficiencies 2005 USAO $38,000,000
The Bank Of New York Bank of New York Mellon investor protection violation 2007 SEC $750,000
Teachers Insurance and Annuity Insurance Association of America TIAA benefit plan administrator violation 2017 private lawsuit-federal $5,000,000
Teachers Insurance and Annuity Association TIAA employment discrimination 2020 OFCCP $1,500,000
Teachers Insurance & Annuity Assoc of America TIAA wage and hour violation 2017 WHD $9,678
TD Waterhouse Investor Services, Inc. Toronto-Dominion Bank investor protection violation 2004 SEC $2,000,000
TD Waterhouse Investor Services, Inc. Toronto-Dominion Bank wage and hour violation 2005 WHD $55,208
TD Securities (USA) LLC Toronto-Dominion Bank investor protection violation 2016 SEC $500,000
TD Options LLC Toronto-Dominion Bank investor protection violation 2009 SEC $1,000,000
TD Banknorth Toronto-Dominion Bank labor relations violation 2006 NLRB $5,000
TD Bank, National Association Toronto-Dominion Bank banking violation 2013 OCC $37,500,000
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 Bank Toronto-Dominion Bank investor protection violation 2013 SEC $15,000,000
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 Bank Toronto-Dominion Bank privacy violation 2014 MA-AG $625,000
TD Ameritrade, Inc. Charles Schwab Corp. investor protection violation 2018 SEC $500,000
TD Ameritrade, Inc. Charles Schwab Corp. investor protection violation 2009 MULTI-AG $456,000,000
TD Ameritrade, Inc. Charles Schwab Corp. investor protection violation 2015 MA-AG $160,000
TD Ameritrade Inc. Charles Schwab Corp. investor protection violation 2011 SEC $10,000,000
TD Ameritrade Inc. Charles Schwab Corp. investor protection violation 2015 TX-SEC $400,000
TD Ameritrade Charles Schwab Corp. investor protection violation 2014 SEC $100,800
TD Ameritrade Charles Schwab Corp. wage and hour violation 2009 private lawsuit-federal $2,500,000
TCF National Bank TCF Financial Corp. banking violation 2016 OCC $56,500
TCF National Bank TCF Financial Corp. banking violation 2013 OCC $10,000,000
TCF National Bank TCF Financial Corp. consumer protection violation 2018 CFPB $28,000,000
TCF National Bank TCF Financial Corp. banking violation 2018 OCC $3,000,000
Taylor, Bean & Whitaker Mortgage Corp. Taylor, Bean & Whitaker consumer protection violation 2009 IL-BKG $20,000
Taylor, Bean & Whitaker Mortgage Corp. Taylor, Bean & Whitaker mortgage abuses 2009 MULTI-FIN $9,000,000
Taylor, Bean & Whitaker Corp. Taylor, Bean & Whitaker wage and hour violation 2009 WA-DLI $11,268
Taylor Bean & Whitaker Mortgage Corp. Taylor, Bean & Whitaker consumer protection violation 2008 KY-FIN $75,000
T.H.E. INSURANCE COMPANY AXA insurance violation 2001 FL-OFR $15,000
T.H.E. Insurance Company AXA insurance violation 2009 PA-INS $5,000
T.H.E. Insurance Company AXA insurance violation 2015 TX-INS $11,500
Synovus Bank Synovus Financial banking violation 2013 FDIC $135,050
Swiss Re Financial Products Corporation Swiss Re investor protection violation 2007 SEC $95,000
Swineford National Bank Fulton Financial banking violation 2013 OCC $33,880
SunTrust Mortgage, Inc. Truist Financial consumer protection violation 2014 CFPB $550,000,000
SunTrust Mortgage, Inc. Truist Financial toxic securities abuses 2013 FHFA $65,000,000
SunTrust Mortgage, Inc. Truist Financial discriminatory practices (non-employment) 2013 HUD $36,000
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
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
SunTrust Mortgage Inc. Truist Financial wage and hour violation 2012 WHD $51,518
SunTrust Mortgage Inc. Truist Financial mortgage abuses 2014 MULTI-AG (*) $40,000,000
SunTrust Mortgage Truist Financial wage and hour violation 2012 private lawsuit-federal $2,400,000
SunTrust Capital Markets Inc. Truist Financial investor protection violation 2006 SEC $125,000
SunTrust Banks, Inc. Truist Financial banking violation 2014 FED $160,000,000
SunTrust Banks, Inc. Truist Financial benefit plan administrator violation 2018 private lawsuit-federal $4,750,000
SunTrust Banks Truist Financial investor protection violation 2017 SEC $1,100,000
SunTrust Bank, Inc. Truist Financial wage and hour violation 2006 WHD $350,875
SunTrust Bank Truist Financial economic sanction violation 2005 OFAC $40,423
SunTrust Bank Truist Financial economic sanction violation 2005 OFAC $30,800
SunTrust Bank Truist Financial employment discrimination 2014 EEOC $300,000
SunTrust Bank Truist Financial banking violation 2017 FED $1,501,000
SunTrust Bank Truist Financial banking violation 2005 WI-AG $10,107
Sun National Bank OceanFirst Financial banking violation 2016 OCC $25,000
Sun Life Insurance Company of Canada Sun Life Financial insurance violation 2009 MN-FIN $7,500
Sun Life Insurance Company Sun Life Financial insurance violation 2014 MULTI-AG $3,200,000
Sun LIfe Assurance Company of Canada et al. Sun Life Financial insurance violation 2004 IN-INS $125,000
Sun Life Assurance Company of Canada (U.S.) Sun Life Financial wage and hour violation 2009 WHD $6,366
Sun Life Assurance Company of Canada (U.S.) Sun Life Financial wage and hour violation 2009 WHD $25,744
SUN LIFE ASSURANCE CO OF CANADA Sun Life Financial environmental violation 2005 EPA $31,635
Student Loan Xpress, Inc. CIT consumer protection violation 2009 MULTI-AG $112,825,000
Student Loan Xpress, Inc. CIT consumer protection violation 2010 KY-AG $3,600,000
Student Loan Xpress, Inc. CIT consumer protection violation 2007 NY-AG $3,000,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)