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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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 CompaniesTotal Penalty $Number of Records
Bank of America$87,286,650,890328
JPMorgan Chase$39,340,688,209275
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,780,502,443203
BNP Paribas$10,363,464,66623

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.

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Company sort iconCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount
SunTrust Investment Services, Inc.Truist Financialinvestor protection violation2008FINRA$300,000
SunTrust MortgageTruist Financialwage and hour violation2012private lawsuit-federal$2,400,000
SunTrust Mortgage Inc.Truist Financialbanking violation2012DOJ_RIGHTS$21,000,000
SunTrust Mortgage Inc.Truist Financialmortgage abuses2014DOJ_CIVIL$320,000,000
SunTrust Mortgage Inc.Truist FinancialFalse Claims Act and related2014DOJ_CIVIL$418,000,000
SunTrust Mortgage Inc.Truist Financialwage and hour violation2012WHD$51,518
SunTrust Mortgage Inc.Truist Financialmortgage abuses2014MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $40,000,000
SunTrust Mortgage, Inc.Truist Financialconsumer protection violation2014CFPB$550,000,000
SunTrust Mortgage, Inc.Truist Financialtoxic securities abuses2013FHFA$65,000,000
SunTrust Mortgage, Inc.Truist Financialdiscriminatory practices (non-employment)2013HUD$36,000
SunTrust Mortgage, Inc.Truist Financialconsumer protection violation2017AR-SEC$13,000
SunTrust Mortgage, Inc.Truist Financialmortgage abuses2016CA-DFPI$50,000
SunTrust Mortgage, Inc.Truist Financialconsumer protection violation2019CA-DFPI$349,015
SunTrust Robinson Humphrey, Inc.Truist Financialinvestor protection violation2016FINRA$1,500,000
SunTrust Robinson Humphrey, Inc.Truist Financialinvestor protection violation2011FINRA$5,000,000
SunTrust Robinson Humphrey, Inc.Truist Financialinvestor protection violation2008FINRA$1,650,000
Susquehanna BankTruist Financialconsumer protection violation2014private lawsuit-federal$3,680,000
Swineford National BankFulton Financialbanking violation2013OCC$33,880
Swiss Life Holding AG et al.Swiss Life Grouptax violations2021DOJ_TAX$77,374,337
Swiss Re Financial Products CorporationSwiss Reinvestor protection violation2007SEC$95,000
SYNAGROGoldman Sachsworkplace safety or health violation2012OSHA$7,000
Synagro - WWT, Inc.Goldman Sachsenvironmental violation2005OH-ENV$10,000
SYNAGRO A RESIDUALS MANAGEMENT COMPANYGoldman Sachsworkplace safety or health violation2008OSHA$13,000
Synagro Central, LLCGoldman Sachsenvironmental violation2012VA-ENV$65,000
SYNAGRO CTL LLCGoldman Sachsenvironmental violation2004PA-ENV$20,000
SYNAGRO CTL LLCGoldman Sachsenvironmental violation2003PA-ENV$15,000
Synagro NortheastGoldman Sachsenvironmental violation2017EPA$104,000
Synagro Northeast, LLCGoldman Sachsenvironmental violation2021EPA$373,660
Synagro of Texas-CDR, Inc.Goldman Sachsenvironmental violation2015TX-ENV$7,927
SYNAGRO TECHNOLOGIES INC.Goldman Sachsworkplace safety or health violation2008OSHA$10,000
Synagro Technologies, IncGoldman Sachswage and hour violation2005WHD$149,141
SYNAGRO TECHNOLOGIES, INC.Goldman Sachsworkplace safety or health violation2004OSHA$5,725
Synagro West, LLCGoldman Sachswage and hour violation2005WHD$97,862
SYNAGRO WEST, LLCGoldman Sachsworkplace safety or health violation2022OSHA$16,200
Synagro Woonsocket, LLCGoldman Sachsenvironmental violation2018RI-ENV$175,000
SYNAGRO WOONSOCKET, LLCGoldman Sachsenvironmental violation2022RI-ENV$120,000
SYNAGRO WWT INCGoldman Sachsworkplace safety or health violation2022OSHA$11,095
SYNAGRO-PATAPSCO PELLETIZERGoldman Sachsenvironmental violation2008MD-ENV$27,000
SYNAGRO-WWT, INC.Goldman Sachsworkplace safety or health violation2019OSHA$8,525
SYNAGRO-WWT, INC.Goldman Sachsworkplace safety or health violation2023OSHA$16,500
Synchrony BankSynchrony Financialconsumer protection violation2021CA-MULTI$3,500,000
Synovus BankSynovus Financialbanking violation2013FDIC$135,050
Synovus Financial Corp.Synovus Financialconsumer protection violation2015private lawsuit-federal$3,900,000
T. Rowe Price Group, Inc.T. Rowe Pricebenefit plan administrator violation2022private lawsuit-federal$7,000,000
T.H.E. INSURANCE COMPANYAXAinsurance violation2001FL-OFR$15,000
T.H.E. Insurance CompanyAXAinsurance violation2009PA-INS$5,000
T.H.E. Insurance CompanyAXAinsurance violation2015TX-INS$11,500
T.H.E. Insurance CompanyAXAinsurance violation2024TX-INS$10,000
TCF National BankHuntington Bancsharesbanking violation2016OCC$56,500
TCF National BankHuntington Bancsharesbanking violation2013OCC$10,000,000
TCF National BankHuntington Bancsharesconsumer protection violation2018CFPB$28,000,000
TCF National BankHuntington Bancsharesbanking violation2018OCC$3,000,000
TD AmeritradeCharles Schwab Corp.investor protection violation2014SEC$100,800
TD AmeritradeCharles Schwab Corp.wage and hour violation2009private lawsuit-federal$2,500,000
TD Ameritrade Clearing, Inc.Charles Schwab Corp.investor protection violation2013FINRA$1,150,000
TD Ameritrade Holdings Corp.Charles Schwab Corp.consumer protection violation2022private lawsuit-federal$2,325,000
TD Ameritrade Inc.Charles Schwab Corp.investor protection violation2011SEC$10,000,000
TD Ameritrade Inc.Charles Schwab Corp.investor protection violation2015TX-SEC$400,000
TD Ameritrade, Inc.Charles Schwab Corp.investor protection violation2018SEC$500,000
TD Ameritrade, Inc.Charles Schwab Corp.investor protection violation2009MULTI-AG$456,000,000
TD Ameritrade, Inc.Charles Schwab Corp.investor protection violation2015MA-AG$160,000
TD Ameritrade, Inc.Charles Schwab Corp.consumer protection violation2022TX-FIN$81,750
TD BankToronto-Dominion Bankinvestor protection violation2013SEC$15,000,000
TD BankToronto-Dominion Bankwage and hour violation2015private lawsuit-federal$9,900,000
TD BankToronto-Dominion Bankwage and hour violation2014private lawsuit-federal$6,000,000
TD BankToronto-Dominion Bankwage and hour violation2013private lawsuit-federal$975,000
TD BankToronto-Dominion Bankwage and hour violation2010private lawsuit-federal$375,000
TD BankToronto-Dominion Bankprivacy violation2014MA-AG$625,000
TD Bank N.A.Toronto-Dominion Bankconsumer protection violation2023private lawsuit-federal$2,250,000
TD Bank N.A.Toronto-Dominion Bankconsumer protection violation2022private lawsuit-federal$4,245,000
TD Bank N.A.Toronto-Dominion Bankconsumer protection violation2022private lawsuit-federal$41,500,000
TD Bank N.A.Toronto-Dominion Bankconsumer protection violation2020private lawsuit-federal$70,000,000
TD Bank N.A.Toronto-Dominion Bankconsumer protection violation2013private lawsuit-federal$62,000,000
TD Bank N.A.Toronto-Dominion Bankconsumer protection violation2023private lawsuit-federal$11,900,000
TD Bank N.A.Toronto-Dominion Bankconsumer protection violation2023private lawsuit-federal$4,900,000
TD Bank, N.A.Toronto-Dominion Bankprivacy violation2014MULTI-AG$850,000
TD Bank, N.A.Toronto-Dominion Bankconsumer protection violation2020CFPB$122,000,000
TD Bank, N.A.Toronto-Dominion Bankeconomic sanction violation2021OFAC$115,005
TD Bank, N.A.Toronto-Dominion Bankconsumer protection violation2017private lawsuit-federal$500,000
TD Bank, National AssociationToronto-Dominion Bankbanking violation2013OCC$37,500,000
TD BanknorthToronto-Dominion Banklabor relations violation2006NLRB$5,000
TD Options LLCToronto-Dominion Bankinvestor protection violation2009SEC$1,000,000
TD Securities (USA) LLCToronto-Dominion Bankinvestor protection violation2016SEC$500,000
TD Securities (USA) LLCToronto-Dominion Bankinvestor protection violation2022SEC$152,955
TD Securities (USA) LLCToronto-Dominion Bankprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankinvestor protection violation2004SEC$2,000,000
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankwage and hour violation2005WHD$55,208
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankinvestor protection violation2004FINRA$150,000
Teachers Insurance & Annuity Assoc of AmericaTIAAwage and hour violation2017WHD$9,678
Teachers Insurance and Annuity AssociationTIAAemployment discrimination2020OFCCP$1,500,000
Teachers Insurance and Annuity Insurance Association of AmericaTIAAbenefit plan administrator violation2017private lawsuit-federal$5,000,000
Teachers Insurance Annuity AssociationTIAAwage and hour violation2007WHD$1,171,404
The Bank of New YorkBank of New York Melloneconomic sanction violation2005OFAC$5,844
The Bank of New YorkBank of New York Mellonanti-money-laundering deficiencies2005USAO$38,000,000
The Bank Of New YorkBank of New York Melloninvestor protection violation2007SEC$750,000
THE BANK OF NEW YORK MELLONBank of New York Mellonbanking violation2012FED$6,000,000
The Bank of New York Mellon CorporationBank of New York Mellonemployment discrimination2022OFCCP$1,925,000
The Bank of Nova ScotiaScotiabankinvestor protection violation2020CFTC$50,000,000
The Bank of Nova ScotiaScotiabankinvestor protection violation2020CFTC$77,400,000
The BISYS GroupCitigroupaccounting fraud or deficiencies2007SEC$25,000,000
The Chubb Corp.Chubb Limitedconsumer protection violation2009MA-AG$239,011
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.