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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
RBC Capital Markets CorporationRoyal Bank of Canadainvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $9,800,000
RBC Capital Markets CorporationRoyal Bank of Canadainvestor protection violation2010FINRA$135,000
RBC Capital Markets CorporationRoyal Bank of Canadainvestor protection violation2009FINRA$400,000
RBC Capital Markets CorporationRoyal Bank of Canadainvestor protection violation2005FINRA$2,108,000
RBC Capital Markets Corp.Royal Bank of Canadainvestor protection violation2010NJ-AG$51,724
RBC Capital Markets Corp.Royal Bank of Canadainvestor protection violation2008FINRA$150,000
RBC Capital MarketsRoyal Bank of Canadainvestor protection violation2015FINRA$1,434,000
Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2004SEC$2,595,129
Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2011NJ-AG$35,000
Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2010CT-SEC$15,000
Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2009MO-SEC$52,300
Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2007WI-FIN$50,000
Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2017FINRA$2,000,000
Raymond James Financial Services Inc.Raymond James Financialinvestor protection violation2017PA-BKG$125,000
Raymond James Financial Services Inc.Raymond James Financialinvestor protection violation2007FINRA$2,750,000
Raymond James Financial Services Inc.Raymond James Financialinvestor protection violation2004FINRA$400,000
Raymond James Financial Services Advisors, Inc.Raymond James Financialinvestor protection violation2019SEC$6,877,048
Raymond James FinancialRaymond James Financialconsumer protection violation2019private lawsuit-federal$15,000,000
Raymond James and Associates Inc.Raymond James Financialinvestor protection violation2016VT-FIN$4,200,000
Raymond James & Associates, Inc. et al.Raymond James Financialinvestor protection violation2019SEC$15,000,000
Raymond James & Associates, Inc. et al.Raymond James Financialinvestor protection violation2023MULTI-FIN$12,450,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2019FINRA$8,000,000
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. and Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2005FINRA$888,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2015SEC$500,000
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 & Associates, Inc.Raymond James Financialinvestor protection violation2011MULTI-FIN$1,750,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2009FINRA$1,000,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2005FINRA$90,000
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 & Associates, Inc.Raymond James Financialinvestor protection violation2023MO-SEC$150,000
Raymond James & Associates Inc.Raymond James Financialinvestor protection violation2000FINRA$3,410,000
Raymond James & AssociatesRaymond James Financialinvestor protection violation2016SEC$600,000
Raymond James & AssociatesRaymond James Financialwage and hour violation2020MI-LEO$29,361
Ragen Mackenzie Investment Services LLCWells Fargoinvestor protection violation2004OR-FIN$8,500
Rabobank, National AssociationRabobankanti-money-laundering deficiencies2018OCC$50,000,000
Rabobank National AssociationRabobankbanking violation2017OCC$58,000
Rabobank National AssociationRabobankanti-money-laundering deficiencies2018DOJ_CRIMINAL$368,701,259
Rabobank N.A.Rabobankanti-money-laundering deficiencies2018USAO$500,000
RabobankRabobankprice-fixing or anti-competitive practices2013DOJ_CRIMINAL$325,000,000
RabobankRabobankprice-fixing or anti-competitive practices2013CFTC$475,000,000
R.R. Donnelley & Sons CompanyChatham Asset Managementenvironmental violation2002CT-ENV$25,500
R.R. DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2002OSHA$55,000
R.R. DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2007OSHA$5,100
R.R. DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2010OSHA$12,600
R.R. DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2012OSHA$5,950
R.R. DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2015OSHA$7,000
R.R. DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2016OSHA$10,000
R.R. Donnelley & SonsChatham Asset Managementemployment discrimination2002EEOC$150,000
R.R. Donnelley & SonsChatham Asset Managementemployment discrimination2003private lawsuit-federal$15,000,000
R.R. Donnelley & SonsChatham Asset Managementemployment discrimination2004private lawsuit-federal$15,000,000
R.R. DONNELLEYChatham Asset Managementworkplace safety or health violation2004OSHA$5,000
R.R. DONNELLEYChatham Asset Managementworkplace safety or health violation2010OSHA$11,600
R.R. DONNELLEYChatham Asset Managementworkplace safety or health violation2013OSHA$15,400
R. R. DONNELLEY AND SONS COMPANYChatham Asset Managementworkplace safety or health violation2013OSHA$7,000
R. R. DONNELLEY AND SONS COMPANYChatham Asset Managementenvironmental violation2001EPA$11,344
R. R. Donnelley & Sons CompanyChatham Asset Managementenvironmental violation2016TX-ENV$10,051
R. R. DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2023OSHA$5,125
R. R. Donnelley & Sons Co.Chatham Asset Managementenvironmental violation2013CA-SCAQMD$7,500
R. R. Donnelley & Sons CoChatham Asset Managementenvironmental violation2017CA-SCAQMD$27,500
R R DONNELLEYChatham Asset Managementworkplace safety or health violation2009OSHA$7,500
Quicken Loans, Inc. and One Reverse Mortgage, LLCRocket Companies Inc.consumer protection violation2018MA-BKG$250,000
Quicken Loans, Inc.Rocket Companies Inc.consumer protection violation2011IL-BKG$75,000
Quicken Loans Inc.Rocket Companies Inc.consumer protection violation2018AK-DBS$11,000
Quicken Loans Inc.Rocket Companies Inc.consumer protection violation2011OH-BKG$35,000
Quicken Loans Inc.Rocket Companies Inc.consumer protection violation2016WA-FIN$250,000
Quicken LoansRocket Companies Inc.wage and hour violation2019MI-LEO$10,500
Quicken LoansRocket Companies Inc.wage and hour violation2015MI-LEO$8,000
QBE North AmericaQBE Insuranceinsurance violation2014MN-FIN$5,000
QBE Insurance CorporationQBE Insuranceinsurance violation2008OR-FIN$17,700
QBE Insurance CorporationQBE Insuranceinsurance violation2015PA-INS$10,000
QBE Insurance CorporationQBE Insuranceinsurance violation2014TX-INS$47,000
QBE Insurance CorporationQBE Insuranceinsurance violation2016TX-INS$21,565
Qbe Insurance CorporationQBE Insuranceinsurance violation2016WA-INS$10,000
QBE Insurance CorporationQBE Insuranceinsurance violation2023TX-INS$11,500
QBE Insurance CorporationQBE Insuranceinsurance violation2023TX-INS$5,000
QBE Insurance Corp.QBE Insuranceinsurance violation2010AZ-DIFI$40,000
QBE Insurance Corp.QBE Insuranceinsurance violation2007CA-INS$120,000
QBE Insurance Corp.QBE Insuranceinsurance violation2008FL-OFR$157,000
QBE Insurance Corp.QBE Insuranceinsurance violation2013NY-DFS$10,000,000
QBE Insurance Corp.QBE Insuranceinsurance violation2018NY-DFS$750,000
QBE Insurance Corp.QBE Insuranceinsurance violation2021TX-INS$10,000
QBE Insurance Co. and Praetorian Insurance Co.QBE Insuranceinsurance violation2017MD-INS$10,000
QBE Insurance Co.QBE Insuranceinsurance violation2013MN-FIN$5,000
QBE Insurance Co.QBE Insuranceinsurance violation2014MN-FIN$20,000
QBE InsuranceQBE Insuranceconsumer protection violation2018MA-AG$2,400,000
QBE InsuranceQBE Insuranceconsumer protection violation2016MA-AG$375,000
QBE Holdings, Inc. et al.QBE Insuranceinsurance violation2017MN-FIN$750,000
QBE Holdings Inc.QBE Insuranceinsurance violation2017MULTI-FIN$21,164,000
QBE Americas, Inc.QBE Insurancewage and hour violation2018private lawsuit-federal$1,200,000
Putnam Retail Management Limited PartnershipFranklin Resourcesinvestor protection violation2007FINRA$175,000
Putnam Investment Management, LLCFranklin Resourcesinvestor protection violation2018SEC$1,000,000
Putnam Investment Management, LLCFranklin Resourcesinvestor protection violation2007SEC$350,000
Putnam Investment Management, LLCFranklin Resourcesinvestor protection violation2005SEC$40,000,001
Putnam Investment Management LLCFranklin Resourcesinvestor protection violation2004SEC$55,000,000
Prudential Securities, Inc.Wells Fargodata submission deficiencies2002CFTC$65,000
Prudential Securities, Inc.Wells Fargoinvestor protection violation2003SEC$382,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.