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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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CompanyCurrent Parent sort iconPrimary Offense TypeYearAgencyPenalty Amount
Morgan Keegan & Company, Inc.Raymond James Financialinvestor protection violation2007MS-SEC$12,500
Raymond James Financial Services Inc.Raymond James Financialinvestor protection violation2017PA-BKG$125,000
Morgan Keegan & Co. Inc.Raymond James Financialinvestor protection violation2010RI-FIN$20,000
Raymond James and Associates Inc.Raymond James Financialinvestor protection violation2016VT-FIN$4,200,000
Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2007WI-FIN$50,000
Morgan Keegan & CompanyRaymond James Financialtoxic securities abuses2013MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $100,000,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2011MULTI-FIN$1,750,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2019FINRA$8,000,000
Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2017FINRA$2,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialanti-money-laundering deficiencies2016FINRA$17,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2015FINRA$8,700,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2011FINRA$2,115,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2009FINRA$1,000,000
Raymond James Financial Services Inc.Raymond James Financialinvestor protection violation2007FINRA$2,750,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2005FINRA$90,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2005FINRA$888,000
Raymond James Financial Services Inc.Raymond James Financialinvestor protection violation2004FINRA$400,000
Raymond James & Associates Inc.Raymond James Financialinvestor protection violation2000FINRA$3,410,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2022SEC$500,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2022SC-SEC$50,000
Raymond James FinancialRaymond James Financialconsumer protection violation2019private lawsuit-federal$15,000,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2023MO-SEC$150,000
Raymond James & Associates, Inc. et al.Raymond James Financialinvestor protection violation2023MULTI-FIN$12,450,000
Raymond James & AssociatesRaymond James Financialwage and hour violation2020MI-LEO$29,361
RabobankRabobankprice-fixing or anti-competitive practices2013DOJ_CRIMINAL$325,000,000
RabobankRabobankprice-fixing or anti-competitive practices2013CFTC$475,000,000
Rabobank National AssociationRabobankbanking violation2017OCC$58,000
Rabobank National AssociationRabobankanti-money-laundering deficiencies2018DOJ_CRIMINAL$368,701,259
Rabobank, National AssociationRabobankanti-money-laundering deficiencies2018OCC$50,000,000
Rabobank N.A.Rabobankanti-money-laundering deficiencies2018USAO$500,000
De Lage Landen Financial Services, Inc.Rabobankconsumer protection violation2005MULTI-AG$872,000
DeLage Landen Financial ServicesRabobankconsumer protection violation2004NY-AG$405,000
Cooperatieve Rabobank U.ARabobankprice-fixing or anti-competitive practices2023private lawsuit-federal$25,250,000
QBE Americas, Inc.QBE Insurancewage and hour violation2018private lawsuit-federal$1,200,000
QBE InsuranceQBE Insuranceconsumer protection violation2018MA-AG$2,400,000
QBE InsuranceQBE Insuranceconsumer protection violation2016MA-AG$375,000
Unigard Insurance Co.QBE Insuranceinsurance violation2010AZ-DIFI$16,000
QBE Insurance Corp.QBE Insuranceinsurance violation2010AZ-DIFI$40,000
QBE Insurance Corp.QBE Insuranceinsurance violation2007CA-INS$120,000
Praetorian Insurance Co. and QBE Insurance Corp. and QBE Speciality Insurance Co.QBE Insuranceinsurance violation2019DE-INS$70,100
QBE Insurance Corp.QBE Insuranceinsurance violation2008FL-OFR$157,000
North Pointe Insurance Co.QBE Insuranceinsurance violation2012IN-INS$75,575
Praetorian Insurance Co. and Redland Insurance Co.QBE Insuranceinsurance violation2011MD-INS$10,000
Praetorian Insurance Co. and Stonington Insurance Co.QBE Insuranceinsurance violation2013MD-INS$10,000
QBE Insurance Co. and Praetorian Insurance Co.QBE Insuranceinsurance violation2017MD-INS$10,000
Praetorian Insurance CompanyQBE Insuranceinsurance violation2019MD-INS$5,920
QBE Insurance Co.QBE Insuranceinsurance violation2013MN-FIN$5,000
QBE Insurance Co.QBE Insuranceinsurance violation2014MN-FIN$20,000
QBE North AmericaQBE Insuranceinsurance violation2014MN-FIN$5,000
QBE Holdings, Inc. et al.QBE Insuranceinsurance violation2017MN-FIN$750,000
General Casualty Company of WisconsinQBE Insuranceinsurance violation2013MO-INS$14,722
North Pointe Insurance Co.QBE Insuranceinsurance violation2014MO-INS$8,000
Praetorian Insurance Co.QBE Insuranceinsurance violation2018MO-INS$28,120
Regent Insurance Co.QBE Insuranceinsurance violation2019MO-INS$47,500
Unigard Insurance Co.QBE Insuranceinsurance violation2016MT-FIN$25,000
Unigard Insurance Co.QBE Insuranceinsurance violation2016MT-FIN$15,000
Praetorian Insurance CompanyQBE Insuranceinsurance violation2012NJ-DBI$10,000
QBE Insurance Corp.QBE Insuranceinsurance violation2013NY-DFS$10,000,000
QBE Insurance Corp.QBE Insuranceinsurance violation2018NY-DFS$750,000
QBE Insurance CorporationQBE Insuranceinsurance violation2008OR-FIN$17,700
QBE Insurance CorporationQBE Insuranceinsurance violation2015PA-INS$10,000
General Casualty Company of WisconsinQBE Insuranceinsurance violation2015PA-INS$50,000
General Casualty Company of WisconsinQBE Insuranceinsurance violation2014SD-INS$5,000
Praetorian Insurance CompanyQBE Insuranceinsurance violation2012TX-INS$14,000
Praetorian Insurance CompanyQBE Insuranceinsurance violation2012TX-INS$30,000
Praetorian Insurance CompanyQBE Insuranceinsurance violation2014TX-INS$20,000
General Casualty Company of WisconsinQBE Insuranceinsurance violation2014TX-INS$7,000
QBE Insurance CorporationQBE Insuranceinsurance violation2014TX-INS$47,000
Praetorian Insurance CompanyQBE Insuranceinsurance violation2015TX-INS$20,000
QBE Insurance CorporationQBE Insuranceinsurance violation2016TX-INS$21,565
Praetorian Insurance CompanyQBE Insuranceinsurance violation2019VA-INS$183,819
Qbe Insurance CorporationQBE Insuranceinsurance violation2016WA-INS$10,000
General Casualty Company of WisconsinQBE Insuranceinsurance violation2003WI-INS$6,500
Regent Insurance Co.QBE Insuranceinsurance violation2003WI-INS$8,500
General Casualty Company of WisconsinQBE Insuranceinsurance violation2010WI-INS$8,000
QBE Holdings Inc.QBE Insuranceinsurance violation2017MULTI-FIN$21,164,000
Praetorian Insurance CompanyQBE Insuranceinsurance violation2020NY-DFS$20,000
QBE Insurance Corp.QBE Insuranceinsurance violation2021TX-INS$10,000
Praetorian Insurance CompanyQBE Insuranceinsurance violation2021TX-INS$39,000
Praetorian Insurance CompanyQBE Insuranceinsurance violation2022TX-INS$5,000
QBE Insurance CorporationQBE Insuranceinsurance violation2023TX-INS$11,500
QBE Insurance CorporationQBE Insuranceinsurance violation2023TX-INS$5,000
Valley Forge Life Insurance CompanyPrudential PLCinsurance violation2001MA-INS$11,600
Valley Forge Life Insurance CompanyPrudential PLCinsurance violation2002MA-INS$24,500
Life Insurance Company of Georgia and Southland Life Insurance CompanyPrudential PLCinsurance violation2002MULTI-FIN$4,000,000
Prudential Equity Group LLCPrudential Financialinvestor protection violation2006DOJ_CRIMINAL$600,000,000
Prudential Equity Group, LLC f/k/a Prudential Securities Inc.Prudential Financialinvestor protection violation2004SEC$375,000
Prudential FinancialPrudential Financialwage and hour violation2017private lawsuit-federal$12,500,000
Prudential InsurancePrudential Financialwage and hour violation2011private lawsuit-federal$1,016,500
Prudential FinancialPrudential Financialwage and hour violation2009private lawsuit-federal$11,000,000
American Skandia Investment Services, Inc.Prudential Financialinvestor protection violation2009SEC$68,000,000
Prudential Equity Group, LLCPrudential Financialinvestor protection violation2005SEC$125,000
Prudential InsurancePrudential Financialbenefit plan administrator violation2014private lawsuit-federal$39,100,000
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 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 Financial Inc.Prudential Financialinvestor protection violation2019SEC$32,600,000
Prudential Insurance Co.Prudential Financialkickbacks and bribery2008CA-MULTI$350,000
The Prudential Insurance Company of AmericaPrudential Financiallabor relations violation2018NLRB$17,842
Prudential Equity Group, Inc.Prudential Financialinvestor protection violation2005AL-SEC$45,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.