Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$333,568,388,571
Number of Records: 
6,826
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 Parent CompaniesTotal Penalty $Number of Records
Bank of America$82,896,776,051261
JPMorgan Chase$35,851,437,155191
Citigroup$25,535,002,360154
Wells Fargo$21,678,596,719218
Deutsche Bank$18,341,457,30276
UBS$16,853,736,33498
Goldman Sachs$16,381,931,83964
NatWest Group PLC$13,477,129,00031
BNP Paribas$12,147,863,95019
Credit Suisse$10,448,892,62645


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.
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
Companysort icon Parent Primary Offense Type Year Agency Penalty Amount
Pruco Securities, LLC Prudential Financial investor protection violation 2013 NJ-BOS $100,000
Pruco Securities, LLC Prudential Financial investor protection violation 2020 SEC $18,252,341
Pruco Securities, LLC Prudential Financial investor protection violation 2012 FINRA $11,250,000
Prudential Annuities Distributors, Inc. Prudential Financial investor protection violation 2016 FINRA $950,000
Prudential Equity Group Prudential Financial investor protection violation 2006 MULTI-AG (*) $270,000,000
Prudential Equity Group Prudential Financial investor protection violation 2006 NY-AG (*) $270,000,000
Prudential Equity Group LLC Prudential Financial investor protection violation 2006 DOJ_CRIMINAL $600,000,000
Prudential Equity Group LLC Prudential Financial investor protection violation 2004 FINRA $550,000
Prudential Equity Group, Inc. Prudential Financial investor protection violation 2005 AL-SEC $45,000
Prudential Equity Group, Inc. and Prudential Investment Management Services LLC Prudential Financial investor protection violation 2004 FINRA $11,500,000
Prudential Equity Group, LLC Prudential Financial investor protection violation 2005 SEC $125,000
Prudential Equity Group, LLC Prudential Financial investor protection violation 2004 FINRA $17,306
Prudential Equity Group, LLC f/k/a Prudential Securities Inc. Prudential Financial investor protection violation 2004 SEC $375,000
Prudential Financial Prudential Financial wage and hour violation 2017 private lawsuit-federal $12,500,000
Prudential Financial Prudential Financial wage and hour violation 2009 private lawsuit-federal $11,000,000
Prudential Financial Inc. Prudential Financial investor protection violation 2019 SEC $32,600,000
PRUDENTIAL INS CO OF AMER Prudential Financial environmental violation 2018 PA-ENV $9,000
Prudential Insurance Prudential Financial wage and hour violation 2011 private lawsuit-federal $1,016,500
Prudential Insurance Prudential Financial benefit plan administrator violation 2014 private lawsuit-federal $39,100,000
Prudential Insurance Co. Prudential Financial kickbacks and bribery 2008 CA-MULTI $350,000
PRUDENTIAL INSURANCE COMPANY Prudential Financial insurance violation 2002 VA-INS $15,000
PRUDENTIAL INSURANCE COMPANY Prudential Financial insurance violation 2004 VA-INS $7,500
PRUDENTIAL INSURANCE COMPANY Prudential Financial insurance violation 2014 VA-INS $5,000
Prudential Insurance Company Of America Prudential Financial benefit plan administrator violation 2019 private lawsuit-federal $9,000,000
Prudential Insurance Company of America Prudential Financial insurance violation 2012 MULTI-AG $17,000,000
Prudential Insurance Company of America Prudential Financial insurance violation 2012 MN-FIN $200,000
Prudential Insurance Company of America Prudential Financial insurance violation 2016 MN-FIN $5,000
Prudential Insurance Company of America Prudential Financial insurance violation 2001 NJ-DBI $25,100,000
Prudential Insurance Company of America Prudential Financial insurance violation 2012 WI-INS $7,500
Prudential Retirement Insurance and Annuity Company Prudential Financial insurance violation 2021 CT-INS $300,000
Prudential Securities Wells Fargo investor protection violation 2008 FINRA $1,050,000
Prudential Securities Incorporated Wells Fargo investor protection violation 2000 SEC $5,880,000
Prudential Securities Incorporated Wells Fargo investor protection violation 2001 SEC $800,000
Prudential Securities Incorporated Wells Fargo investor protection violation 2001 FINRA $20,000
Prudential Securities, Inc. Wells Fargo data submission deficiencies 2002 CFTC $65,000
Prudential Securities, Inc. Wells Fargo investor protection violation 2003 SEC $382,000
Prudential Securities, Inc. Wells Fargo investor protection violation 2001 FINRA $10,000
Prudential Securities, Inc. Wells Fargo investor protection violation 2000 FINRA $100,000
Putnam Investment Management LLC Power Financial Corporation investor protection violation 2004 SEC $55,000,000
Putnam Investment Management, LLC Power Financial Corporation investor protection violation 2018 SEC $1,000,000
Putnam Investment Management, LLC Power Financial Corporation investor protection violation 2007 SEC $350,000
Putnam Investment Management, LLC Power Financial Corporation investor protection violation 2005 SEC $40,000,001
Putnam Retail Management Limited Partnership Power Financial Corporation investor protection violation 2007 FINRA $175,000
QBE Americas, Inc. QBE Insurance wage and hour violation 2018 private lawsuit-federal $1,200,000
QBE Holdings Inc. QBE Insurance insurance violation 2017 MULTI-FIN $21,164,000
QBE Holdings, Inc. et al. QBE Insurance insurance violation 2017 MN-FIN $750,000
QBE Insurance QBE Insurance consumer protection violation 2018 MA-AG $2,400,000
QBE Insurance QBE Insurance consumer protection violation 2016 MA-AG $375,000
QBE Insurance Co. QBE Insurance insurance violation 2013 MN-FIN $5,000
QBE Insurance Co. QBE Insurance insurance violation 2014 MN-FIN $20,000
QBE Insurance Co. and Praetorian Insurance Co. QBE Insurance insurance violation 2017 MD-INS $10,000
QBE Insurance Corp. QBE Insurance insurance violation 2010 AZ-INS $40,000
QBE Insurance Corp. QBE Insurance insurance violation 2007 CA-INS $120,000
QBE Insurance Corp. QBE Insurance insurance violation 2008 FL-OFR $157,000
QBE Insurance Corp. QBE Insurance insurance violation 2013 NY-DFS $10,000,000
QBE Insurance Corp. QBE Insurance insurance violation 2018 NY-DFS $750,000
QBE Insurance Corp. QBE Insurance insurance violation 2021 TX-INS $10,000
QBE Insurance Corporation QBE Insurance insurance violation 2008 OR-FIN $17,700
QBE Insurance Corporation QBE Insurance insurance violation 2015 PA-INS $10,000
QBE Insurance Corporation QBE Insurance insurance violation 2014 TX-INS $47,000
QBE Insurance Corporation QBE Insurance insurance violation 2016 TX-INS $21,565
Qbe Insurance Corporation QBE Insurance insurance violation 2016 WA-INS $10,000
QBE North America QBE Insurance insurance violation 2014 MN-FIN $5,000
Quicken Loans Inc. Quicken Loans consumer protection violation 2018 AK-DBS $11,000
Quicken Loans Inc. Quicken Loans consumer protection violation 2011 OH-BKG $35,000
Quicken Loans Inc. Quicken Loans consumer protection violation 2016 WA-FIN $250,000
Quicken Loans, Inc. Quicken Loans consumer protection violation 2011 IL-BKG $75,000
Quicken Loans, Inc. and One Reverse Mortgage, LLC Quicken Loans consumer protection violation 2018 MA-BKG $250,000
Rabobank Rabobank interest rate benchmark manipulation 2013 DOJ_CRIMINAL $325,000,000
Rabobank Rabobank interest rate benchmark manipulation 2013 CFTC $475,000,000
Rabobank N.A. Rabobank anti-money-laundering deficiencies 2018 USAO $500,000
Rabobank National Association Rabobank banking violation 2017 OCC $58,000
Rabobank National Association Rabobank anti-money-laundering deficiencies 2018 DOJ_CRIMINAL $368,701,259
Rabobank, National Association Rabobank anti-money-laundering deficiencies 2018 OCC $50,000,000
Ragen Mackenzie Investment Services LLC Wells Fargo investor protection violation 2004 OR-FIN $8,500
Raymond James & Associates Raymond James Financial investor protection violation 2016 SEC $600,000
Raymond James & Associates Inc. Raymond James Financial investor protection violation 2000 FINRA $3,410,000
Raymond James & Associates, Inc. Raymond James Financial investor protection violation 2015 SEC $500,000
Raymond James & Associates, Inc. Raymond James Financial investor protection violation 2015 IN-SEC $475,000
Raymond James & Associates, Inc. Raymond James Financial investor protection violation 2020 MI-SEC $50,000
Raymond James & Associates, Inc. Raymond James Financial investor protection violation 2011 MULTI-FIN $1,750,000
Raymond James & Associates, Inc. Raymond James Financial investor protection violation 2009 FINRA $1,000,000
Raymond James & Associates, Inc. Raymond James Financial investor protection violation 2005 FINRA $90,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial investor protection violation 2019 FINRA $8,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial anti-money-laundering deficiencies 2016 FINRA $17,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial investor protection violation 2015 FINRA $8,700,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial investor protection violation 2011 FINRA $2,115,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial investor protection violation 2005 FINRA $888,000
Raymond James & Associates, Inc. et al. Raymond James Financial investor protection violation 2019 SEC $15,000,000
Raymond James and Associates Inc. Raymond James Financial investor protection violation 2016 VT-FIN $4,200,000
Raymond James Financial Services Advisors, Inc. Raymond James Financial investor protection violation 2019 SEC $6,877,048
Raymond James Financial Services Inc. Raymond James Financial investor protection violation 2017 PA-BKG $125,000
Raymond James Financial Services Inc. Raymond James Financial investor protection violation 2007 FINRA $2,750,000
Raymond James Financial Services Inc. Raymond James Financial investor protection violation 2004 FINRA $400,000
Raymond James Financial Services, Inc. Raymond James Financial investor protection violation 2004 SEC $2,595,129
Raymond James Financial Services, Inc. Raymond James Financial investor protection violation 2011 NJ-AG $35,000
Raymond James Financial Services, Inc. Raymond James Financial investor protection violation 2010 CT-SEC $15,000
Raymond James Financial Services, Inc. Raymond James Financial investor protection violation 2009 MO-SEC $52,300
Raymond James Financial Services, Inc. Raymond James Financial investor protection violation 2007 WI-FIN $50,000
Raymond James Financial Services, Inc. Raymond James Financial investor protection violation 2017 FINRA $2,000,000
RBC Capital Markets Royal Bank of Canada investor protection violation 2015 FINRA $1,434,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)