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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
Prudential Securities, Inc.Wells Fargoinvestor protection violation2003SEC$382,000
Prudential Securities, Inc.Wells Fargoinvestor protection violation2001FINRA$10,000
Prudential Securities, Inc.Wells Fargoinvestor protection violation2000FINRA$100,000
Prudential Securities IncorporatedWells Fargoinvestor protection violation2000SEC$5,880,000
Prudential Securities IncorporatedWells Fargoinvestor protection violation2001SEC$800,000
Prudential Securities IncorporatedWells Fargoinvestor protection violation2001FINRA$20,000
Prudential SecuritiesWells Fargoinvestor protection violation2008FINRA$1,050,000
Prudential Retirement Insurance and Annuity CompanyPrudential Financialinsurance violation2021CT-INS$300,000
Prudential Insurance Company Of AmericaPrudential Financialbenefit plan administrator violation2019private lawsuit-federal$9,000,000
Prudential Insurance Company of AmericaPrudential Financialinsurance violation2012MULTI-AG$17,000,000
Prudential Insurance Company of AmericaPrudential Financialinsurance violation2012MN-FIN$200,000
Prudential Insurance Company of AmericaPrudential Financialinsurance violation2016MN-FIN$5,000
Prudential Insurance Company of AmericaPrudential Financialinsurance violation2001NJ-DBI$25,100,000
Prudential Insurance Company of AmericaPrudential Financialinsurance violation2012WI-INS$7,500
Prudential Insurance Company of AmericaPrudential Financialconsumer protection violation2014private lawsuit-federal$40,000,000
Prudential Insurance Company of AmericaPrudential Financialconsumer protection violation2005private lawsuit-federal$22,000,000
Prudential Insurance Company of AmericaPrudential Financialinsurance violation2021NJ-DBI$1,200,000
PRUDENTIAL INSURANCE COMPANYPrudential Financialinsurance violation2002VA-INS$15,000
PRUDENTIAL INSURANCE COMPANYPrudential Financialinsurance violation2004VA-INS$7,500
PRUDENTIAL INSURANCE COMPANYPrudential Financialinsurance violation2014VA-INS$5,000
Prudential Insurance Co.Prudential Financialkickbacks and bribery2008CA-MULTI$350,000
Prudential InsurancePrudential Financialwage and hour violation2011private lawsuit-federal$1,016,500
Prudential InsurancePrudential Financialbenefit plan administrator violation2014private lawsuit-federal$39,100,000
PRUDENTIAL INS CO OF AMERPrudential Financialenvironmental violation2018PA-ENV$9,000
Prudential Financial Inc.Prudential Financialinvestor protection violation2019SEC$32,600,000
Prudential FinancialPrudential Financialwage and hour violation2017private lawsuit-federal$12,500,000
Prudential FinancialPrudential Financialwage and hour violation2009private lawsuit-federal$11,000,000
Prudential Equity Group, LLC f/k/a Prudential Securities Inc.Prudential Financialinvestor protection violation2004SEC$375,000
Prudential Equity Group, LLCPrudential Financialinvestor protection violation2005SEC$125,000
Prudential Equity Group, LLCPrudential Financialinvestor protection violation2004FINRA$17,306
Prudential Equity Group, Inc. and Prudential Investment Management Services LLCPrudential Financialinvestor protection violation2004FINRA$11,500,000
Prudential Equity Group, Inc.Prudential Financialinvestor protection violation2005AL-SEC$45,000
Prudential Equity Group LLCPrudential Financialinvestor protection violation2006DOJ_CRIMINAL$600,000,000
Prudential Equity Group LLCPrudential Financialinvestor protection violation2004FINRA$550,000
Prudential Equity GroupPrudential Financialinvestor protection violation2006MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $270,000,000
Prudential Equity GroupPrudential Financialinvestor protection violation2006NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $270,000,000
Prudential Annuities Distributors, Inc.Prudential Financialinvestor protection violation2016FINRA$950,000
Pruco Securities, LLCPrudential Financialinvestor protection violation2017IL-SEC$900,000
Pruco Securities, LLCPrudential Financialinvestor protection violation2006NE-DBF$12,500
Pruco Securities, LLCPrudential Financialinvestor protection violation2013NJ-BOS$100,000
Pruco Securities, LLCPrudential Financialinvestor protection violation2020SEC$18,252,341
Pruco Securities, LLCPrudential Financialinvestor protection violation2012FINRA$11,250,000
Pruco Securities LLCPrudential Financialinvestor protection violation2004TX-SEC$10,000
Pruco SecuritiesPrudential Financialinvestor protection violation2008FINRA$100,000
Pruco Life Insurance CompanyPrudential Financialinsurance violation2022DE-INS$32,000
Pruco Life Insurance Co.Prudential Financialinsurance violation2015CA-INS$8,000
Pruco Life Insurance Co.Prudential Financialinsurance violation2014FL-OFR$10,500
PRUCO LIFE INSURANCE COPrudential Financialinsurance violation2004VA-INS$7,500
Providian Financial Corp.JPMorgan Chasebenefit plan administrator violation2003private lawsuit-federal$8,600,000
Providian Financial Corp.JPMorgan Chaseconsumer protection violation2000CA-AG$305,500,000
Providian Financial Corp.JPMorgan Chaseconsumer protection violation2000CT-AG$1,600,000
Providian Financial Corp.JPMorgan Chaseconsumer protection violation2000private lawsuit-federal$105,000,000
Provident Life and Accident Insurance Co.Unuminsurance violation2000NC-INS$80,000
Provident Life and Accident Insurance Co.Unuminsurance violation2021CT-INS$7,500
Provident Funding Associates, LPProvident Funding Associateswage and hour violation2008WHD$8,453
Provident Funding Associates, LPProvident Funding Associatesconsumer protection violation2011KY-FIN$66,000
Provident Funding AssociatesProvident Funding Associatesconsumer protection violation2015CFPB$9,000,000
Protective Life Insurance Company et al.Dai-ichi Lifeinsurance violation2019MULTI-FIN$350,000
Protective Life Insurance CompanyDai-ichi Lifeinsurance violation2003MA-INS$30,000
Protective Life Insurance CompanyDai-ichi Lifeinsurance violation2014SD-INS$5,000
Protective Life Insurance Co.Dai-ichi Lifeconsumer protection violation2007TX-AG$1,570,000
Protective Life Insurance Co.Dai-ichi Lifeinsurance violation2000FL-OFR$8,750
Protective Life Insurance Co.Dai-ichi Lifeinsurance violation2004FL-OFR$5,950
Protective Life Insurance Co.Dai-ichi Lifeinsurance violation2014MN-FIN$25,000
PROTECTIVE LIFE INSURANCE CO.Dai-ichi Lifeinsurance violation2004VA-INS$10,000
Protective Insurance CompanyProgressiveinsurance violation2014SD-INS$7,500
Protective Insurance CompanyProgressiveinsurance violation2013TX-INS$30,000
Protective Insurance CompanyProgressiveinsurance violation2014TX-INS$10,965
Protective Insurance CompanyProgressiveinsurance violation2014TX-INS$9,000
Protective Insurance CompanyProgressiveinsurance violation2017TX-INS$10,000
Protective Insurance Co.Progressiveinsurance violation2021TX-INS$8,500
Prosper Marketplace, Inc.Prosper Marketplaceinvestor protection violation2009CT-SEC$12,602
Prosper Marketplace, Inc.Prosper Marketplaceinvestor protection violation2010CT-SEC$5,000
Prosper Marketplace, Inc.Prosper Marketplaceinvestor protection violation2012CT-SEC$40,000
Prosper Marketplace, Inc.Prosper Marketplaceinvestor protection violation2009MD-SEC$28,706
Prosper Marketplace, Inc.Prosper Marketplaceinvestor protection violation2011ME-SEC$5,000
Prosper Marketplace, Inc.Prosper Marketplaceinvestor protection violation2008MULTI-FIN$1,000,000
Prosper Marketplace, Inc.Prosper Marketplaceconsumer protection violation2024CO-AG$10,000
Prosper Marketplace Inc.Prosper Marketplaceinvestor protection violation2009OR-FIN$15,000
Prosper Marketplace Inc.Prosper Marketplaceconsumer protection violation2016VT-FIN$60,000
Prosper MarketplaceProsper Marketplaceinvestor protection violation2015IN-SEC$13,957
Prosper Funding LLC and Prosper Marketplace, Inc.Prosper Marketplaceconsumer protection violation2016NH-BKG$39,000
Prospect Mortgage, LLCHomebridge Financial Serviceskickbacks and bribery2011HUD$3,100,000
Prospect Mortgage, LLCHomebridge Financial Servicesconsumer protection violation2017CFPB$3,500,000
Prospect Mortgage, LLCHomebridge Financial Servicesconsumer protection violation2011AR-SEC$5,000
Prospect Mortgage, LLCHomebridge Financial Servicesconsumer protection violation2014CA-DFPI$3,141,000
Prospect Mortgage, LLCHomebridge Financial Servicesconsumer protection violation2013MA-BKG$25,000
Prospect Mortgage, LLCHomebridge Financial Servicesconsumer protection violation2012NH-BKG$101,185
Prospect Mortgage, LLCHomebridge Financial Servicesmortgage abuses2013NY-DFS$3,427,155
Prospect Mortgage LLCHomebridge Financial Serviceswage and hour violation2010WHD$13,728
Prospect Mortgage LLCHomebridge Financial Servicesmortgage abuses2015MULTI-FIN$7,035,300
Prospect Mortgage Company, LLCHomebridge Financial Servicesconsumer protection violation2010CT-BKG$33,000
Prospect Mortgage Company LLCHomebridge Financial Servicesmortgage abuses2017USAO$4,157,000
Prospect MortgageHomebridge Financial Serviceswage and hour violation2015WHD$211,237
Property Casualty Insurance Company of HartfordHartford Financial Servicesinsurance violation2019CT-INS$14,000
Property and Casualty Insurance Company of HartfordHartford Financial Servicesinsurance violation2008FL-OFR$13,000
Property and Casualty Insurance Company of HartfordHartford Financial Servicesinsurance violation2010TX-INS$18,000
Property and Casualty Insurance Company of HartfordHartford Financial Servicesinsurance violation2014TX-INS$8,000
Property and Casualty Insurance Company of HartfordHartford Financial Servicesinsurance violation2018TX-INS$65,000
Property and Casualty Insurance Co. of HartfordHartford Financial Servicesinsurance violation2020TX-INS$20,000
Property & Casualty Insurance Company of Hartford and Trumbull Insurance CompanyHartford Financial Servicesinsurance violation2011VA-INS$126,386
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.