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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
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-FIN$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
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
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
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
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
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
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.