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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$340,660,984,318
Number of Records: 7,055
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$83,124,221,356268
JPMorgan Chase$36,129,269,434222
Citigroup$25,540,655,365157
Wells Fargo$22,081,446,244228
Deutsche Bank$18,341,457,30276
UBS$16,880,243,334103
Goldman Sachs$16,399,475,84887
NatWest Group PLC$13,515,546,85731
BNP Paribas$12,154,369,73321
Credit Suisse$10,732,400,12649

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
Protective Insurance CompanyProgressiveinsurance violation2014TX-INS$9,000
Protective Insurance CompanyProgressiveinsurance violation2017TX-INS$10,000
PROGRESSIVE AMERICAN INSURANCE CO.Progressiveinsurance violation2001VA-INS$23,000
PROGRESSIVE NORTHERN INSURANCEProgressiveinsurance violation2013VA-INS$221,905
PROGRESSIVE ADVANCED INSURANCE CO.Progressiveinsurance violation2015VA-INS$263,479
PROGRESSIVE NORTHERN INSURANCEProgressiveinsurance violation2016VA-INS$52,619
AMERICAN STRATEGIC INSURANCEProgressiveinsurance violation2016VA-INS$15,147
AMERICAN STRATEGIC INSURANCEProgressiveinsurance violation2017VA-INS$41,962
PROGRESSIVE DIRECT INSURANCEProgressiveinsurance violation2017VA-INS$9,839,379
PROGRESSIVE NORTHERN INSURANCE CO.Progressiveinsurance violation2018VA-INS$1,818,318
Progressive Advanced Insurance Company et al.Progressiveinsurance violation2019VA-INS$4,876,344
Progressive American Insurance CompanyProgressiveinsurance violation2011WA-INS$30,000
American Strategic Insurance CorpProgressiveinsurance violation2018WA-INS$10,000
Progressive Northern Insurance Co.Progressiveinsurance violation2001WI-INS$70,000
Progressive Northern Ins Co.Progressiveinsurance violation2005WI-INS$5,000
Progressive Direct Insurance CompanyProgressiveinsurance violation2020CT-INS$56,500
Protective Insurance Co.Progressiveinsurance violation2021TX-INS$8,500
Sagamore Insurance Co.Progressiveinsurance violation2021TX-INS$20,000
Progressive Direct Insurance CompanyProgressiveinsurance violation2021DE-INS$6,500
Progressive Direct Insurance CompanyProgressiveinsurance violation2022NY-DFS$2,000,000
Progressive Universal Insurance CompanyProgressiveinsurance violation2022OR-FIN$11,000
PROGRESSIVE, INC.Progressiveworkplace safety or health violation2012OSHA$29,000
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 MarketplaceProsper Marketplaceinvestor protection violation2015IN-SEC$13,957
Prosper Marketplace, Inc.Prosper Marketplaceinvestor protection violation2009MD-SEC$28,706
Prosper Marketplace, Inc.Prosper Marketplaceinvestor protection violation2011ME-SEC$5,000
Prosper Funding LLC and Prosper Marketplace, Inc.Prosper Marketplaceconsumer protection violation2016NH-BKG$39,000
Prosper Marketplace Inc.Prosper Marketplaceinvestor protection violation2009OR-FIN$15,000
Prosper Marketplace Inc.Prosper Marketplaceconsumer protection violation2016VT-FIN$60,000
Prosper Marketplace, Inc.Prosper Marketplaceinvestor protection violation2008MULTI-FIN$1,000,000
Provident Funding AssociatesProvident Funding Associatesconsumer protection violation2015CFPB$9,000,000
Provident Funding Associates, LPProvident Funding Associateswage and hour violation2008WHD$8,453
Provident Funding Associates, LPProvident Funding Associatesconsumer protection violation2011KY-FIN$66,000
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
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2006CA-INS$700,000
Pruco Life Insurance Co.Prudential Financialinsurance violation2015CA-INS$8,000
Pruco Life Insurance Co.Prudential Financialinsurance violation2014FL-OFR$10,500
Pruco Securities, LLCPrudential Financialinvestor protection violation2017IL-SEC$900,000
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2011MD-INS$75,000
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2006MN-FIN$5,000
Prudential Insurance Company of AmericaPrudential Financialinsurance violation2012MN-FIN$200,000
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2013MN-FIN$1,000,000
Prudential Insurance Company of AmericaPrudential Financialinsurance violation2016MN-FIN$5,000
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2006MO-INS$7,373
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2015MT-INS$5,000
Pruco Securities, LLCPrudential Financialinvestor protection violation2006NE-DBF$12,500
Prudential Insurance Company of AmericaPrudential Financialinsurance violation2001NJ-DBI$25,100,000
Pruco Securities, LLCPrudential Financialinvestor protection violation2013NJ-BOS$100,000
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2019NY-DFS$49,020
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2020OR-FIN$25,000
Pruco Securities LLCPrudential Financialinvestor protection violation2004TX-SEC$10,000
PRUDENTIAL INSURANCE COMPANYPrudential Financialinsurance violation2002VA-INS$15,000
PRUDENTIAL INSURANCE COMPANYPrudential Financialinsurance violation2004VA-INS$7,500
PRUCO LIFE INSURANCE COPrudential Financialinsurance violation2004VA-INS$7,500
PRUDENTIAL INSURANCE COMPANYPrudential Financialinsurance violation2014VA-INS$5,000
Prudential Insurance Company of AmericaPrudential Financialinsurance violation2012WI-INS$7,500
PRUDENTIAL INS CO OF AMERPrudential Financialenvironmental violation2018PA-ENV$9,000
Pruco Securities, LLCPrudential Financialinvestor protection violation2020SEC$18,252,341
Prudential Annuities Distributors, Inc.Prudential Financialinvestor protection violation2016FINRA$950,000
Pruco Securities, LLCPrudential Financialinvestor protection violation2012FINRA$11,250,000
Pruco SecuritiesPrudential Financialinvestor protection violation2008FINRA$100,000
Prudential Equity Group LLCPrudential Financialinvestor protection violation2004FINRA$550,000
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 Retirement Insurance and Annuity CompanyPrudential Financialinsurance violation2021CT-INS$300,000
Pruco Life Insurance CompanyPrudential Financialinsurance violation2022DE-INS$32,000
Valley Forge Life Insurance CompanyPrudential PLCinsurance violation2001MA-INS$11,600
Valley Forge Life Insurance CompanyPrudential PLCinsurance violation2002MA-INS$24,500
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
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.