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
Stewart Title Guaranty Co. Stewart Information Services insurance violation 2010 FL-OFR $165,000
Stewart Title Co. Stewart Information Services insurance violation 2015 IN-INS $59,400
Stewart Title Guaranty Co. Stewart Information Services insurance violation 2014 MD-INS $18,000
Stewart Title Guaranty Co. Stewart Information Services insurance violation 2006 MN-FIN $5,000
Stewart Title Guaranty Co. Stewart Information Services insurance violation 2015 MN-FIN $17,500
Stewart Title Guarantee Co. Stewart Information Services insurance violation 2006 MO-INS $75,087
Stewart Title Guarantee Co. Stewart Information Services insurance violation 2012 MO-INS $128,000
Stewart Title Guaranty Company Stewart Information Services insurance violation 2009 OR-FIN $30,000
Stewart Title Guaranty Company Stewart Information Services insurance violation 2009 TX-INS $55,000
Stewart Title Guaranty Company Stewart Information Services insurance violation 2010 TX-INS $525,418
Stewart Title Company Stewart Information Services insurance violation 2015 TX-INS $50,000
Stewart Title Guaranty Company Stewart Information Services insurance violation 2019 WA-INS $10,050
Stewart Title Guaranty Co. Stewart Information Services insurance violation 2010 WI-INS $7,500
Stewart Title Guaranty Co. Stewart Information Services insurance violation 2020 CT-INS $47,000
Stewart Title Guaranty Co. Stewart Information Services insurance violation 2020 MO-INS $100,000
Stifel, Nicolaus & Company, Inc. Stifel Financial investor protection violation 2015 SEC $500,000
Stifel Nicolaus & Co. Stifel Financial investor protection violation 2014 SEC $60,000
Thomas Weisel Partners LLC Stifel Financial investor protection violation 2004 SEC $12,500,000
Stifel, Nicolaus & Co., Inc. Stifel Financial investor protection violation 2016 SEC $24,500,000
Stifel, Nicolaus & Company, Incorporated Stifel Financial investor protection violation 2017 SEC $300,000
Stifel and Nicolaus & Company, Incorporated Stifel Financial investor protection violation 2019 SEC $6,037,175
Stifel, Nicolaus & Co., Inc. Stifel Financial investor protection violation 2019 SEC $2,700,000
Thomas Weisel Partners LLC Stifel Financial investor protection violation 2006 CT-SEC $52,480
Stifel, Nicolaus & Company, Inc. Stifel Financial investor protection violation 2011 IL-SEC $80,224
Stifel, Nicolaus & Company, Inc. Stifel Financial investor protection violation 2010 MO-SEC $211,617
Stifel, Nicolaus & Company, Inc. Stifel Financial investor protection violation 2012 MO-SEC $1,101,385
Stifel, Nicolaus & Company, Inc. Stifel Financial investor protection violation 2017 MS-SEC $50,000
Stifel, Nicolaus & Company Inc. Stifel Financial investor protection violation 2014 NE-DBF $61,000
Stifel Nicolaus & Company, Inc. Stifel Financial investor protection violation 2010 NJ-BOS $5,415,381
Stifel, Nicolaus & Company, Incorporated Stifel Financial investor protection violation 2009 MULTI-FIN $525,000
Thomas Weisel Partners LLC Stifel Financial investor protection violation 2005 MULTI-FIN (*) $5,000,000
Stifel, Nicolaus & Company, Incorporated Stifel Financial investor protection violation 2020 FINRA $3,650,000
Stifel Nicolaus & Company, Inc. Stifel Financial investor protection violation 2015 FINRA $2,900,000
Stifel Financial Corporation Stifel Financial investor protection violation 2014 FINRA $1,025,000
Thomas Weisel Partners, LLC Stifel Financial investor protection violation 2008 FINRA $200,000
Thomas Weisel Partners Stifel Financial investor protection violation 2005 FINRA $1,750,000
Stifel Nicolaus & Company Stifel Financial investor protection violation 2004 FINRA $125,000
Stifel, Nicolaus & Company, Inc. Stifel Financial investor protection violation 2001 FINRA $225,000
Massachusetts Financial Services Company Sun Life Financial investor protection violation 2004 SEC $50,000,000
Massachusetts Financial Services Co. Sun Life Financial investor protection violation 2004 SEC $225,000,000
Massachusetts Financial Services Company Sun Life Financial investor protection violation 2003 SEC $917,858
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
Massachusetts Financial Services Company Sun Life Financial investor protection violation 2018 SEC $1,900,000
Massachusetts Financial Services Co. Sun Life Financial investor protection violation 2004 NY-AG $350,000,000
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 Insurance Company of Canada Sun Life Financial insurance violation 2009 MN-FIN $7,500
SUN LIFE ASSURANCE CO OF CANADA Sun Life Financial environmental violation 2005 MA-ENV $31,635
Swiss Life Holding AG et al. Swiss Life Group tax violations 2021 DOJ_TAX $77,374,337
Swiss Re Financial Products Corporation Swiss Re investor protection violation 2007 SEC $95,000
GE Capital Retail Bank, now known as Synchrony Bank Synchrony Financial consumer protection violation 2014 CFPB $225,000,000
GE ENERGY MANAGEMENT GRID SOLUTIONS, LLC Synchrony Financial workplace safety or health violation 2015 OSHA $22,300
Synovus Bank Synovus Financial banking violation 2013 FDIC $135,050
AFB&T Synovus Financial banking violation 2009 FDIC $7,040
Bank of North Georgia Synovus Financial environmental violation 2011 GA-ENV $14,000
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 2009 IL-BKG $20,000
Taylor Bean & Whitaker Mortgage Corp. Taylor, Bean & Whitaker consumer protection violation 2008 KY-FIN $75,000
Taylor, Bean & Whitaker Mortgage Corp. Taylor, Bean & Whitaker mortgage abuses 2009 MULTI-FIN $9,000,000
Thrivent Financial For Lutherans Thrivent Financial insurance violation 2012 MD-INS $8,000
Thrivent Financial for Lutherans Thrivent Financial insurance violation 2013 WI-INS $5,000
Thrivent Investment Management Inc. Thrivent Financial investor protection violation 2020 IL-SEC $400,000
Everbank TIAA banking violation 2016 OCC $1,000,000
Everbank TIAA banking violation 2013 OCC $37,000,000
Teachers Insurance Annuity Association TIAA wage and hour violation 2007 WHD $1,171,404
TIAA - CREF TIAA wage and hour violation 2006 WHD $468,336
TIAA TIAA wage and hour violation 2005 WHD $327,168
TIAA-CREF TIAA labor relations violation 2016 NLRB $304,216
TIAA-CREF TIAA aviation safety violation 2015 FAA $7,500
TIAA-CREF TIAA benefit plan administrator violation 2014 private lawsuit-federal $22,800,000
Teachers Insurance and Annuity Insurance Association of America TIAA benefit plan administrator violation 2017 private lawsuit-federal $5,000,000
TIAA-CREF Individual & Institutional Services, LLC TIAA investor protection violation 2019 SEC $2,395,722
Teachers Insurance & Annuity Assoc of America TIAA wage and hour violation 2017 WHD $9,678
TIAA-CREF Life Insurance Company TIAA insurance violation 2016 NY-DFS $29,325
TIAA-CREF Life Insurance Company TIAA insurance violation 2016 NY-DFS $139,940
TIAA-CREF Life Insurance Company TIAA insurance violation 2013 MULTI-FIN $6,200,000
Teachers Insurance and Annuity Association TIAA employment discrimination 2020 OFCCP $1,500,000
Nuveen Services LLC TIAA wage and hour violation 2018 IL-DOL $27,983
TIAA Bank, FSB TIAA wage and hour violation 2020 private lawsuit-federal $3,500,000
Nuveen Investments, LLC TIAA investor protection violation 2011 FINRA $3,000,000
John Nuveen & Co., Inc. TIAA investor protection violation 2000 FINRA $6,630,000
TMX Finance LLC TMX Finance consumer protection violation 2016 CFPB $9,000,000
TitleMax of Missouri, Inc. TMX Finance Family and Medical Leave Act 2015 WHD $11,648
TMX Finance, LLC TMX Finance wage and hour violation 2014 WHD $10,057
TMX Finance LLC TMX Finance Family and Medical Leave Act 2012 WHD $36,596
TitleMax of Virginia Inc. TMX Finance consumer protection violation 2014 DC-AG $167,257
TMX Finance, LLC TMX Finance wage and hour violation 2016 WHD $6,353
Philadelphia Indemnity Insurance Company Tokio Marine False Claims Act and related 2018 USAO $30,508
The Tokio Marine and Fire Insurance Company, Ltd. and Trans Pacific Insurance Co. Tokio Marine insurance violation 2003 CA-INS $42,500
Philadelphia Indemnity Insurance Co. Tokio Marine insurance violation 2005 CA-INS $175,000
American Contractors Indemnity Co. Tokio Marine insurance violation 2007 CA-INS $170,000
Philadelphia Indemnity Insurance Co. Tokio Marine insurance violation 2008 CA-INS $60,000
Reliance Standard Life Insurance Co. Tokio Marine insurance violation 2009 KS-INS $6,300
Philadelphia Indemnity Insurance Company Tokio Marine insurance violation 2000 MA-INS $7,040
Philadelphia Indemnity Insurance Co. Tokio Marine insurance violation 2014 MD-INS $7,500
Safety National Casualty Corp. Tokio Marine insurance violation 2017 MD-INS $5,000
Privilege Underwriters Reciprocal Exchange Tokio Marine insurance violation 2019 MD-INS $15,300
Philadelphia Indemnity Insurance Co. Tokio Marine insurance violation 2015 MN-FIN $5,000
Philadelphia Indemnity Insurance Co. Tokio Marine insurance violation 2015 MN-FIN $5,000
HCC Life Insurance Co. Tokio Marine insurance violation 2016 MN-FIN $5,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)