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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
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-INS$25,000
Unigard Insurance Co.QBE Insuranceinsurance violation2016MT-INS$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
RabobankRabobankinterest rate benchmark manipulation2013DOJ_CRIMINAL$325,000,000
RabobankRabobankinterest rate benchmark manipulation2013CFTC$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
Morgan Keegan & CompanyRaymond James Financialtoxic securities abuses2011SEC$200,000,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2015SEC$500,000
Morgan Keegan & Company, Inc.Raymond James Financialinvestor protection violation2006SEC$125,000
Morgan Keegan & Co., Inc.Raymond James Financialinvestor protection violation2004SEC$875,000
Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2004SEC$2,595,129
Raymond James & AssociatesRaymond James Financialinvestor protection violation2016SEC$600,000
Morgan Keegan and Co. Inc.Raymond James Financialbenefit plan administrator violation2012EBSA$633,715
Morgan Keegan & Co., Inc.Raymond James Financialinvestor protection violation2006SEC$558,806
Raymond James Financial Services Advisors, Inc.Raymond James Financialinvestor protection violation2019SEC$6,877,048
Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2011NJ-AG$35,000
Raymond James & Associates, Inc. et al.Raymond James Financialinvestor protection violation2019SEC$15,000,000
Morgan Keegan & Co.Raymond James Financialinvestor protection violation2005AL-SEC$100,000
Morgan Keegan & Co.Raymond James Financialinvestor protection violation2010AL-SEC$15,000
Morgan Keegan & Co.Raymond James Financialinvestor protection violation2017AL-SEC$20,000
Morgan Keegan & Co.Raymond James Financialinvestor protection violation2012AR-SEC$59,659
Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2010CT-SEC$15,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2015IN-SEC$475,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2020MI-SEC$50,000
Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2009MO-SEC$52,300
Morgan Keegan & Company, Inc.Raymond James Financialinvestor protection violation2016MO-SEC$850,000
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
Regions BankRegions Financialconsumer protection violation2015CFPB$7,500,000
Regions BankRegions Financialbanking violation2014FED$46,000,000
Regions BankRegions Financialinvestor protection violation2010SEC$1,000,001
Regions BankRegions Financialbanking violation2009FED$135,000
Regions BankRegions Financialinvestor protection violation2009SEC$1,000,000
AmSouth BankRegions Financialinvestor protection violation2008SEC$11,400,000
AmSouthRegions Financialanti-money-laundering deficiencies2004FINCEN$10,000,000
Regions BankRegions FinancialFalse Claims Act and related2016DOJ_CIVIL$52,400,000
Regions Financial CorporationRegions Financialemployment discrimination2013EEOC$95,000
AmSouth BancorporationRegions Financialfraud2004USAO$40,000,000
Regions FinancialRegions Financialwage and hour violation2017private lawsuit-federal$620,634
Regions Financial Corp.Regions Financialbenefit plan administrator violation2014private lawsuit-federal$22,500,000
Regions BankRegions Financialbanking violation2014AL-SBD$5,000,000
AmSouth Investment Services, Inc.Regions Financialinvestor protection violation2004MS-SEC$225,000
AmSouth Investment Services Inc.Regions Financialinvestor protection violation2004MULTI-FIN$225,000
Regions BankRegions Financialenvironmental violation2017TN-ENV$20,750
Regions Financial CorporationRegions FinancialFamily and Medical Leave Act2021WHD$7,210
RenaissanceRe Holdings Ltd.RenaissanceRe Holdingsaccounting fraud or deficiencies2007SEC$15,000,000
REPUBLIC BANK & TRUST COMPANYRepublic Bancorpbanking violation2009FDIC$22,000
Republic Bank & Trust CompanyRepublic Bancorpbanking violation2018FDIC$300,000
REPUBLIC BANK & TRUST COMPANYRepublic Bancorpbanking violation2011FDIC$900,000
Robinhood Financial LLCRobinhood Marketsinvestor protection violation2020SEC$65,000,000
Robinhood Financial, LLCRobinhood Marketsinvestor protection violation2019FINRA$1,250,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.