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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$340,816,534,046
Number of Records: 7,081
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$83,354,221,356271
JPMorgan Chase$36,129,269,434222
Citigroup$25,740,655,365159
Wells Fargo$22,081,446,244228
Deutsche Bank$18,541,457,30278
UBS$17,082,743,334106
Goldman Sachs$16,599,475,84889
NatWest Group PLC$13,515,546,85731
Credit Suisse$10,932,400,12651
Morgan Stanley$10,167,765,234190

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
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2019CA-MHC$5,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2019CA-MHC$5,000
Oscar Garden State Insurance CorporationOscar Health Inc.insurance violation2018NJ-DBI$500,000
Oscar Insurance Corp.Oscar Health Inc.insurance violation2018NY-DFS$576,950
Oscar Insurance CompanyOscar Health Inc.insurance violation2018TX-INS$75,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2020CA-MHC$15,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2020CA-MHC$15,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2021CA-MHC$75,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2020CA-MHC$5,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2021CA-MHC$10,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2021CA-MHC$30,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2021CA-MHC$15,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2021CA-MHC$7,500
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2022CA-MHC$10,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2021CA-MHC$12,500
Oscar Insurance CorporationOscar Health Inc.insurance violation2021NY-DFS$1,465,800
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2022CA-MHC$40,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2022CA-MHC$10,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2022CA-MHC$10,000
Pacific LifePacific Lifeinsurance violation2015MULTI-AG$2,450,000
Pacific Life & Annuity Co.Pacific Lifeinsurance violation2006FL-OFR$38,000
Pacific Life Insurance Co.Pacific Lifeinsurance violation2012FL-OFR$10,500
Pacific Life Insurance Co.Pacific Lifeinsurance violation2017MD-INS$9,000
Pacific Life & Annuity CompanyPacific Lifeinsurance violation2020NY-DFS$425,533
PACIFIC LIFE & ANNUITY COMPANYPacific Lifeinsurance violation2001VA-INS$9,000
Pacific Life Insurance CompanyPacific Lifeinsurance violation2021NY-DFS$3,000,000
California United BankPacWest Bancorpeconomic sanction violation2004OFAC$7,250
THE RICHLAND TRUST COMPANYPark National Corp.banking violation2006FDIC$11,100
Park National CorporationPark National Corp.accounting fraud or deficiencies2016SEC$500,000
PayPal Inc.PayPal Holdingsconsumer protection violation2015CFPB$25,000,000
PayPal Inc.PayPal Holdingseconomic sanction violation2015OFAC$7,658,300
PayPalPayPal Holdingsconsumer protection violation2002NY-AG$200,000
PayPal Inc.PayPal Holdingsprivacy violation2016TX-AG$175,000
PayPalPayPal Holdingsconsumer protection violation2004NY-AG$150,000
PayPal, Inc.PayPal Holdingsconsumer protection violation2006MULTI-AG$1,700,000
PayPal, Inc.PayPal Holdingsconsumer protection violation2015FL-OFR$14,500
PayPal, Inc. dba VenmoPayPal Holdingsconsumer protection violation2020MN-FIN$20,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2011SEC$850,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2004SEC$875,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2016SEC$500,000
Janney Montgomery ScottPenn Mutualwage and hour violation2009private lawsuit-federal$2,880,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2000SEC$100,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2019SEC$241,227
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2005CO-SEC$259,227
Janney Montgomery Scott, Inc.Penn Mutualinvestor protection violation2001DE-SEC$210,909
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2015DE-SEC$105,000
Penn Mutual Life Insurance Co.Penn Mutualinsurance violation2018DE-INS$17,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2004IL-SEC$5,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2005IL-SEC$7,500
Penn Mutual Life Insurance Co.Penn Mutualinsurance violation2015MD-INS$10,400
Penn Mutual Life Insurance Co.Penn Mutualinsurance violation2017MD-INS$25,600
The Penn Mutual Life Insurance Co.Penn Mutualinsurance violation2019NY-DFS$455,584
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2016PA-BKG$10,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2006RI-FIN$10,250
Janney Montgomery Scott, LLCPenn Mutualinvestor protection violation2020CT-BKG$150,000
Janney Montgomery Scott, LLCPenn Mutualinvestor protection violation2015FINRA$1,200,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2009FINRA$200,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2005FINRA$2,200,000
Janney Montgomery Scott, LLCPenn Mutualinvestor protection violation2020CT-SEC$250,000
PennyMac Loan Services, LLCPennyMac Financial Servicesconsumer protection violation2015KY-FIN$20,000
BMO Capital Markets GKST Inc.Piper Sandlerinvestor protection violation2015SEC$250,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2015SEC$500,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2006SEC$125,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2003SEC$32,500,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerdata submission deficiencies2002SEC$1,650,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2013SEC$300,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2002SEC$100,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2003MT-SEC$2,625,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2006MT-SEC$345,000
US Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2001ND-SEC$23,250
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2004ND-SEC$20,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2004ND-SEC$17,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2005ND-SEC$30,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2006ND-SEC$17,204
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2006ND-SEC$229,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2002NE-DBF$5,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $12,500,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2010FINRA$700,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2008FINRA$100,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2005FINRA$280,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2005FINRA$275,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2004FINRA$2,400,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000
U.S. Bancorp Piper JaffrayPiper Sandlerinvestor protection violation2002FINRA$250,000
Piper Jaffray Inc.Piper Sandlerinvestor protection violation2000FINRA$933,000
National City Bank and its successor PNC BankPNC Financial Servicesbanking violation2013CFPB$35,000,000
PNC Bank, National AssociationPNC Financial Servicesbanking violation2014OCC$2,000,000
PNC Bank N.A.PNC Financial Servicesbanking violation2013OCC$180,526,382
PNC Bank N.APNC Financial ServicesFalse Claims Act and related2013DOJ_CIVIL$7,100,000
Compass BankPNC Financial Servicesbanking violation2009FED$70,625
National City Mortgage Inc.PNC Financial ServicesFalse Claims Act and related2008DOJ_CIVIL$4,600,000
Compass BankPNC Financial Servicesdiscriminatory practices (non-employment)2007DOJ_RIGHTS$1,750,000
PNC ICLC Corp.PNC Financial Servicesaccounting fraud or deficiencies2003DOJ_CRIMINAL$115,000,000
PNC BankPNC Financial Serviceseconomic sanction violation2005OFAC$8,200
National City BankPNC Financial Serviceseconomic sanction violation2003OFAC$5,500
National City BankPNC Financial Servicesbanking violation2009OCC$34,265
Riggs Bank National AssociationPNC Financial Servicesanti-money-laundering deficiencies2004OCC$25,000,000
National City BankPNC Financial Servicesbanking violation2003OCC$56,800
PNC MortgagePNC Financial Servicesdiscriminatory practices (non-employment)2013HUD$15,000
Compass BankPNC Financial Serviceswage and hour violation2005WHD$810,122
Compass BankPNC Financial Serviceswage and hour violation2005WHD$5,105
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.