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)
Company Parentsort icon Primary Offense Type Year Agency Penalty Amount
Jackson National Life Insurance Co. Prudential PLC insurance violation 2007 CO-INS $10,000
Jackson National Life Insurance Co. Prudential PLC insurance violation 2008 CT-INS $483,000
Jackson National Life Insurance Co. Prudential PLC insurance violation 2004 FL-OFR $5,500
Jackson National Life Insurance Co. Prudential PLC insurance violation 2010 FL-OFR $53,000
Valley Forge Life Insurance Company Prudential PLC insurance violation 2001 MA-INS $11,600
Valley Forge Life Insurance Company Prudential PLC insurance violation 2002 MA-INS $24,500
Jackson National Life Insurance Co. Prudential PLC insurance violation 2015 MD-INS $8,200
Jackson National Life Insurance Co. Prudential PLC insurance violation 2012 MN-FIN $60,000
Jackson National Life Insurance Co. Prudential PLC insurance violation 2016 MN-FIN $1,250,000
Jackson National Life Insurance Company Prudential PLC insurance violation 2002 OR-FIN $10,000
Reassure America Life Insurance Company Prudential PLC insurance violation 2011 WA-INS $20,000
Jackson National Life Insurance Company Prudential PLC insurance violation 2016 WA-INS $8,000
Jackson National Life Insurance Company Prudential PLC insurance violation 2016 WA-INS $20,000
Life Insurance Company of Georgia and Southland Life Insurance Company Prudential PLC insurance violation 2002 MULTI-FIN $4,000,000
QBE Americas, Inc. QBE Insurance wage and hour violation 2018 private lawsuit-federal $1,200,000
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
Unigard Insurance Co. QBE Insurance insurance violation 2010 AZ-INS $16,000
QBE Insurance Corp. QBE Insurance insurance violation 2010 AZ-INS $40,000
QBE Insurance Corp. QBE Insurance insurance violation 2007 CA-INS $120,000
Praetorian Insurance Co. and QBE Insurance Corp. and QBE Speciality Insurance Co. QBE Insurance insurance violation 2019 DE-INS $70,100
QBE Insurance Corp. QBE Insurance insurance violation 2008 FL-OFR $157,000
North Pointe Insurance Co. QBE Insurance insurance violation 2012 IN-INS $75,575
Praetorian Insurance Co. and Redland Insurance Co. QBE Insurance insurance violation 2011 MD-INS $10,000
Praetorian Insurance Co. and Stonington Insurance Co. QBE Insurance insurance violation 2013 MD-INS $10,000
QBE Insurance Co. and Praetorian Insurance Co. QBE Insurance insurance violation 2017 MD-INS $10,000
Praetorian Insurance Company QBE Insurance insurance violation 2019 MD-INS $5,920
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 North America QBE Insurance insurance violation 2014 MN-FIN $5,000
QBE Holdings, Inc. et al. QBE Insurance insurance violation 2017 MN-FIN $750,000
General Casualty Company of Wisconsin QBE Insurance insurance violation 2013 MO-INS $14,722
North Pointe Insurance Co. QBE Insurance insurance violation 2014 MO-INS $8,000
Praetorian Insurance Co. QBE Insurance insurance violation 2018 MO-INS $28,120
Regent Insurance Co. QBE Insurance insurance violation 2019 MO-INS $47,500
Unigard Insurance Co. QBE Insurance insurance violation 2016 MT-INS $25,000
Unigard Insurance Co. QBE Insurance insurance violation 2016 MT-INS $15,000
Praetorian Insurance Company QBE Insurance insurance violation 2012 NJ-DBI $10,000
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 Corporation QBE Insurance insurance violation 2008 OR-FIN $17,700
QBE Insurance Corporation QBE Insurance insurance violation 2015 PA-INS $10,000
General Casualty Company of Wisconsin QBE Insurance insurance violation 2015 PA-INS $50,000
General Casualty Company of Wisconsin QBE Insurance insurance violation 2014 SD-INS $5,000
Praetorian Insurance Company QBE Insurance insurance violation 2012 TX-INS $14,000
Praetorian Insurance Company QBE Insurance insurance violation 2012 TX-INS $30,000
Praetorian Insurance Company QBE Insurance insurance violation 2014 TX-INS $20,000
General Casualty Company of Wisconsin QBE Insurance insurance violation 2014 TX-INS $7,000
QBE Insurance Corporation QBE Insurance insurance violation 2014 TX-INS $47,000
Praetorian Insurance Company QBE Insurance insurance violation 2015 TX-INS $20,000
QBE Insurance Corporation QBE Insurance insurance violation 2016 TX-INS $21,565
Praetorian Insurance Company QBE Insurance insurance violation 2019 VA-INS $183,819
Qbe Insurance Corporation QBE Insurance insurance violation 2016 WA-INS $10,000
General Casualty Company of Wisconsin QBE Insurance insurance violation 2003 WI-INS $6,500
Regent Insurance Co. QBE Insurance insurance violation 2003 WI-INS $8,500
General Casualty Company of Wisconsin QBE Insurance insurance violation 2010 WI-INS $8,000
QBE Holdings Inc. QBE Insurance insurance violation 2017 MULTI-FIN $21,164,000
Praetorian Insurance Company QBE Insurance insurance violation 2020 NY-DFS $20,000
QBE Insurance Corp. QBE Insurance insurance violation 2021 TX-INS $10,000
Quicken Loans Inc. Quicken Loans consumer protection violation 2018 AK-DBS $11,000
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
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
Rabobank Rabobank interest rate benchmark manipulation 2013 DOJ_CRIMINAL $325,000,000
Rabobank Rabobank interest rate benchmark manipulation 2013 CFTC $475,000,000
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
Rabobank N.A. Rabobank anti-money-laundering deficiencies 2018 USAO $500,000
De Lage Landen Financial Services, Inc. Rabobank consumer protection violation 2005 MULTI-AG $872,000
DeLage Landen Financial Services Rabobank consumer protection violation 2004 NY-AG $405,000
Morgan Keegan & Company Raymond James Financial toxic securities abuses 2011 SEC $200,000,000
Raymond James & Associates, Inc. Raymond James Financial investor protection violation 2015 SEC $500,000
Morgan Keegan & Company, Inc. Raymond James Financial investor protection violation 2006 SEC $125,000
Morgan Keegan & Co., Inc. Raymond James Financial investor protection violation 2004 SEC $875,000
Raymond James Financial Services, Inc. Raymond James Financial investor protection violation 2004 SEC $2,595,129
Raymond James & Associates Raymond James Financial investor protection violation 2016 SEC $600,000
Morgan Keegan and Co. Inc. Raymond James Financial benefit plan administrator violation 2012 EBSA $633,715
Morgan Keegan & Co., Inc. Raymond James Financial investor protection violation 2006 SEC $558,806
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 2011 NJ-AG $35,000
Raymond James & Associates, Inc. et al. Raymond James Financial investor protection violation 2019 SEC $15,000,000
Morgan Keegan & Co. Raymond James Financial investor protection violation 2005 AL-SEC $100,000
Morgan Keegan & Co. Raymond James Financial investor protection violation 2010 AL-SEC $15,000
Morgan Keegan & Co. Raymond James Financial investor protection violation 2017 AL-SEC $20,000
Morgan Keegan & Co. Raymond James Financial investor protection violation 2012 AR-SEC $59,659
Raymond James Financial Services, Inc. Raymond James Financial investor protection violation 2010 CT-SEC $15,000
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 Financial Services, Inc. Raymond James Financial investor protection violation 2009 MO-SEC $52,300
Morgan Keegan & Company, Inc. Raymond James Financial investor protection violation 2016 MO-SEC $850,000
Morgan Keegan & Company, Inc. Raymond James Financial investor protection violation 2007 MS-SEC $12,500
Raymond James Financial Services Inc. Raymond James Financial investor protection violation 2017 PA-BKG $125,000
Morgan Keegan & Co. Inc. Raymond James Financial investor protection violation 2010 RI-FIN $20,000
Raymond James and Associates Inc. Raymond James Financial investor protection violation 2016 VT-FIN $4,200,000
Raymond James Financial Services, Inc. Raymond James Financial investor protection violation 2007 WI-FIN $50,000
Morgan Keegan & Company Raymond James Financial toxic securities abuses 2013 MULTI-FIN (*) $100,000,000
Raymond James & Associates, Inc. Raymond James Financial investor protection violation 2011 MULTI-FIN $1,750,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial investor protection violation 2019 FINRA $8,000,000
Raymond James Financial Services, Inc. Raymond James Financial investor protection violation 2017 FINRA $2,000,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)