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Violation Tracker Summary for Offense Group

Offense Group: financial offenses
Penalty Total since 2000: $287,268,054,805
Number of Penalty Records: 11,008
Note: The totals here are adjusted to account for the fact that each current 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$41,332,842,096155
UBS$27,709,494,893134
JPMorgan Chase$27,007,359,167119
Citigroup$19,742,743,935103
Deutsche Bank$15,634,467,27866
Goldman Sachs$13,126,412,84157
NatWest Group PLC$12,235,546,85725
Wells Fargo$10,735,220,989127
Morgan Stanley$9,877,862,956163
BNP Paribas$9,164,773,00010

Individual Penalty Records:

Click on the company or penalty amount for more information on each case. Click on the current parent name to reach the summary page for that parent company.

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CompanyCurrent Parent sort iconCurrent Parent IndustryPrimary Offense TypeYearAgencyPenalty Amount
KMS Financial Services, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2017SEC$552,086
Ladenburg Thalmann Asset Management Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2016SEC$200,000
Securities America Advisors Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2018SEC$5,828,448
Royal Alliance Associates, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2009SEC$500,001
Woodbury Financial Services, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2009SEC$65,000
Woodbury Financial Services, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2019SEC$1,171,028
Securities Services Network, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2000FL-OFR$10,000
Securities Services Network, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2002FL-OFR$14,938
Royal Alliance Associates, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2012IL-SEC$10,000
Securities America, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2011IN-SEC$11,018
Securities America Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2013MA-SEC$150,000
Royal Alliance Associates, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2013MA-SEC$25,000
Woodbury Financial Services, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2009MO-SEC$6,000
American General Securities Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2010MS-SEC$215,000
Royal Alliance Associates, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2007MT-FIN$5,000
Securities America, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2012MT-FIN$115,000
Securities America, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2016NE-DBF$40,000
Royal Alliance Associates, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2019NH-BSR$190,000
Securities America Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2015OR-FIN$100,000
SagePoint Financial Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2017SC-SEC$40,000
Woodbury Financial Services Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2004TX-SEC$12,500
Royal Alliance Associates, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2020SEC$502,400
Securities America Advisors, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2020SEC$603,776
Securities America, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2009FINRA$55,000
American General Securities, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2006FINRA$1,100,000
Royal Alliance Associates, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2005FINRA$6,600,000
Securities America, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2005FINRA$2,400,000
Ladenburg Thalmann & Co.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2005FINRA$1,200,000
Securities America, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2021VA-SEC$25,000
KMS Financial Services Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2021SEC$200,000
KMS Financial Services, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2021SEC$200,000
Securities America Advisors, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2021SEC$1,750,000
Woodbury Financial Services, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2023SEC$100,000
SagePoint Financial, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2023SEC$100,000
REPUBLIC BANK & TRUST COMPANYRepublic Bancorpfinancial servicesbanking violation2009FDIC$22,000
Republic Bank & Trust CompanyRepublic Bancorpfinancial servicesbanking violation2018FDIC$300,000
REPUBLIC BANK & TRUST COMPANYRepublic Bancorpfinancial servicesbanking violation2011FDIC$900,000
RenaissanceRe Holdings Ltd.RenaissanceRe Holdingsfinancial servicesaccounting fraud or deficiencies2007SEC$15,000,000
Regions BankRegions Financialfinancial servicesbanking violation2014FED$46,000,000
Regions BankRegions Financialfinancial servicesinvestor protection violation2010SEC$1,000,001
Regions BankRegions Financialfinancial servicesbanking violation2009FED$135,000
AmSouth BankRegions Financialfinancial servicesinvestor protection violation2008SEC$11,400,000
Regions BankRegions Financialfinancial servicesbanking violation2014AL-SBD$5,000,000
AmSouth Investment Services, Inc.Regions Financialfinancial servicesinvestor protection violation2004MS-SEC$225,000
Regions BankRegions Financialfinancial servicesbanking violation2023FED$2,950,000
Bankrate Inc.Red Venturesbusiness servicesaccounting fraud or deficiencies2015SEC$15,000,000
Morgan Keegan & Company, Inc.Raymond James Financialfinancial servicesinvestor protection violation2006SEC$125,000
Morgan Keegan & Co., Inc.Raymond James Financialfinancial servicesinvestor protection violation2004SEC$875,000
Raymond James & AssociatesRaymond James Financialfinancial servicesinvestor protection violation2016SEC$600,000
Morgan Keegan & Co., Inc.Raymond James Financialfinancial servicesinvestor protection violation2006SEC$558,806
Raymond James Financial Services Advisors, Inc.Raymond James Financialfinancial servicesinvestor protection violation2019SEC$6,877,048
Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesinvestor protection violation2011NJ-AG$35,000
Raymond James & Associates, Inc. et al.Raymond James Financialfinancial servicesinvestor protection violation2019SEC$15,000,000
Morgan Keegan & Co.Raymond James Financialfinancial servicesinvestor protection violation2010AL-SEC$15,000
Morgan Keegan & Co.Raymond James Financialfinancial servicesinvestor protection violation2017AL-SEC$20,000
Morgan Keegan & Co.Raymond James Financialfinancial servicesinvestor protection violation2012AR-SEC$59,659
Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesinvestor protection violation2010CT-SEC$15,000
Raymond James & Associates, Inc.Raymond James Financialfinancial servicesinvestor protection violation2015IN-SEC$475,000
Raymond James & Associates, Inc.Raymond James Financialfinancial servicesinvestor protection violation2020MI-SEC$50,000
Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesinvestor protection violation2009MO-SEC$52,300
Morgan Keegan & Company, Inc.Raymond James Financialfinancial servicesinvestor protection violation2016MO-SEC$850,000
Morgan Keegan & Company, Inc.Raymond James Financialfinancial servicesinvestor protection violation2007MS-SEC$12,500
Raymond James Financial Services Inc.Raymond James Financialfinancial servicesinvestor protection violation2017PA-BKG$125,000
Morgan Keegan & Co. Inc.Raymond James Financialfinancial servicesinvestor protection violation2010RI-FIN$20,000
Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesinvestor protection violation2007WI-FIN$50,000
Raymond James & Associates, Inc.Raymond James Financialfinancial servicesinvestor protection violation2011MULTI-FIN$1,750,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesanti-money-laundering deficiencies2016FINRA$17,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesinvestor protection violation2005FINRA$888,000
Raymond James Financial Services Inc.Raymond James Financialfinancial servicesinvestor protection violation2004FINRA$400,000
Raymond James & Associates Inc.Raymond James Financialfinancial servicesinvestor protection violation2000FINRA$3,410,000
Raymond James & Associates, Inc.Raymond James Financialfinancial servicesinvestor protection violation2022SEC$500,000
Raymond James & Associates, Inc.Raymond James Financialfinancial servicesinvestor protection violation2022SC-SEC$50,000
Raymond James & Associates, Inc.Raymond James Financialfinancial servicesinvestor protection violation2023MO-SEC$150,000
Raymond James & Associates, Inc. et al.Raymond James Financialfinancial servicesinvestor protection violation2023MULTI-FIN$12,450,000
Monster Worldwide, Inc.Randstadbusiness servicesaccounting fraud or deficiencies2009SEC$2,500,000
Rabobank National AssociationRabobankfinancial servicesbanking violation2017OCC$58,000
Rabobank National AssociationRabobankfinancial servicesanti-money-laundering deficiencies2018DOJ_CRIMINAL$368,701,259
Rabobank, National AssociationRabobankfinancial servicesanti-money-laundering deficiencies2018OCC$50,000,000
Rabobank N.A.Rabobankfinancial servicesanti-money-laundering deficiencies2018USAO$500,000
Quantum CorporationQuantum Corp.electrical and electronic equipmentinvestor protection violation2019SEC$1,000,000
Prudential Equity Group, LLC f/k/a Prudential Securities Inc.Prudential Financialfinancial servicesinvestor protection violation2004SEC$375,000
American Skandia Investment Services, Inc.Prudential Financialfinancial servicesinvestor protection violation2009SEC$68,000,000
Prudential Equity Group, LLCPrudential Financialfinancial servicesinvestor protection violation2005SEC$125,000
Prudential Financial Inc.Prudential Financialfinancial servicesinvestor protection violation2019SEC$32,600,000
Prudential Equity Group, Inc.Prudential Financialfinancial servicesinvestor protection violation2005AL-SEC$45,000
Pruco Securities, LLCPrudential Financialfinancial servicesinvestor protection violation2017IL-SEC$900,000
Pruco Securities, LLCPrudential Financialfinancial servicesinvestor protection violation2006NE-DBF$12,500
Pruco Securities, LLCPrudential Financialfinancial servicesinvestor protection violation2013NJ-BOS$100,000
Pruco Securities LLCPrudential Financialfinancial servicesinvestor protection violation2004TX-SEC$10,000
Pruco Securities, LLCPrudential Financialfinancial servicesinvestor protection violation2020SEC$18,252,341
Prudential Equity Group LLCPrudential Financialfinancial servicesinvestor protection violation2004FINRA$550,000
Prudential Equity Group, Inc. and Prudential Investment Management Services LLCPrudential Financialfinancial servicesinvestor protection violation2004FINRA$11,500,000
Prosper Marketplace, Inc.Prosper Marketplacefinancial servicesinvestor protection violation2009CT-SEC$12,602
Prosper Marketplace, Inc.Prosper Marketplacefinancial servicesinvestor protection violation2010CT-SEC$5,000
Prosper Marketplace, Inc.Prosper Marketplacefinancial servicesinvestor protection violation2012CT-SEC$40,000
Prosper MarketplaceProsper Marketplacefinancial servicesinvestor protection violation2015IN-SEC$13,957
Prosper Marketplace, Inc.Prosper Marketplacefinancial servicesinvestor protection violation2009MD-SEC$28,706
Prosper Marketplace, Inc.Prosper Marketplacefinancial servicesinvestor protection violation2011ME-SEC$5,000
Prosper Marketplace Inc.Prosper Marketplacefinancial servicesinvestor protection violation2009OR-FIN$15,000
Prosper Marketplace, Inc.Prosper Marketplacefinancial servicesinvestor protection violation2008MULTI-FIN$1,000,000
Principal Securities, Inc.Principal Financialfinancial servicesinvestor protection violation2019SEC$1,764,624
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.