Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$333,568,388,571
Number of Records: 
6,826
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$82,896,776,051261
JPMorgan Chase$35,851,437,155191
Citigroup$25,535,002,360154
Wells Fargo$21,678,596,719218
Deutsche Bank$18,341,457,30276
UBS$16,853,736,33498
Goldman Sachs$16,381,931,83964
NatWest Group PLC$13,477,129,00031
BNP Paribas$12,147,863,95019
Credit Suisse$10,448,892,62645


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
Safety National Casualty Corp. Tokio Marine insurance violation 2021 TX-INS $9,500
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
ICAP Corporates LLC TP ICAP PLC investor protection violation 2009 FINRA $2,800,000
Trafigura AG Trafigura wage and hour violation 2007 WHD $11,839
Trafigura Beheer B.V. Amsterdam Trafigura environmental violation 2012 CA-ARB $10,000
BOWIE REFINED COAL LLC Trafigura environmental violation 2018 KY-ENV $12,200
BOWIE REFINED COAL LLC Trafigura environmental violation 2017 KY-ENV $45,000
Trafigura AG Trafigura environmental violation 2012 EPA $73,465
Trafigura AG Trafigura environmental violation 2015 EPA $21,450
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2000 MSHA $5,200
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2006 MSHA $20,500
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2004 MSHA $5,800
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2007 MSHA $6,996
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2005 MSHA $5,300
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $6,188
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $10,000
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2007 MSHA $6,000
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2007 MSHA $9,625
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $9,288
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $7,000
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $5,961
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $5,503
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $6,745
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2007 MSHA $5,211
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2007 MSHA $8,893
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2006 MSHA $5,040
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $6,996
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $5,080
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2007 MSHA $5,500
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2007 MSHA $11,500
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2007 MSHA $9,625
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $15,971
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $11,600
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2006 MSHA $6,600
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $18,800
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $25,000
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2006 MSHA $5,040
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2006 MSHA $6,600
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $5,503
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $10,000
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $10,705
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2007 MSHA $8,421
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2005 MSHA $7,200
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2006 MSHA $5,300
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $40,000
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $6,188
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $40,000
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $5,460
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2006 MSHA $5,280
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $9,882
Bowie Resources LLC Trafigura workplace safety or health violation 2008 MSHA $6,153
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2008 MSHA $18,271
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $10,500
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2008 MSHA $8,574
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2009 MSHA $11,306
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2010 MSHA $7,578
Bowie Resources LLC Trafigura workplace safety or health violation 2010 MSHA $5,300
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $9,882
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $40,180
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2009 MSHA $7,205
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2009 MSHA $5,080
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $50,457
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2009 MSHA $8,893
Bowie Resources LLC Trafigura workplace safety or health violation 2008 MSHA $16,362
Bowie Resources LLC Trafigura workplace safety or health violation 2010 MSHA $9,122
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2009 MSHA $6,458
Bowie Resources LLC Trafigura workplace safety or health violation 2008 MSHA $6,458
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2008 MSHA $8,209
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2009 MSHA $6,458
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $10,705
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2009 MSHA $9,634
Bowie Resources LLC Trafigura workplace safety or health violation 2008 MSHA $5,900
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $5,600
Bowie Resources LLC Trafigura workplace safety or health violation 2010 MSHA $21,000
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2009 MSHA $5,645
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2008 MSHA $6,458
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $9,500
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $7,774
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2010 MSHA $7,500
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2008 MSHA $15,570
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $10,705
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2008 MSHA $8,209
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $5,600
Bowie Resources LLC Trafigura workplace safety or health violation 2010 MSHA $15,000
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $5,600
Bowie Resources LLC Trafigura workplace safety or health violation 2010 MSHA $15,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)