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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
Compass BankPNC Financial Serviceswage and hour violation2005WHD$5,105
National City Mortgage, Co.PNC Financial Serviceswage and hour violation2004WHD$6,150
National City CorporationPNC Financial Serviceslabor relations violation2009NLRB$24,083
National City Corporation d/b/a National City BankPNC Financial Serviceslabor relations violation2008NLRB$49,597
PNC BankPNC Financial Serviceslabor relations violation2006NLRB$40,000
PNC Bank N.A.PNC Financial ServicesFalse Claims Act and related2016USAO$9,500,000
Riggs BankPNC Financial Servicesanti-money-laundering deficiencies2005USAO$16,000,000
PNC Financial Services GroupPNC Financial Servicesmortgage abuses2018FED$3,500,000
PNC Capital Markets LLCPNC Financial Servicesinvestor protection violation2015SEC$500,000
PNC Investments LLCPNC Financial Servicesinvestor protection violation2018SEC$7,307,770
National City Mortgage Co.PNC Financial Serviceswage and hour violation2007CA-LCO$76,000
PNC BankPNC Financial Serviceswage and hour violation2017private lawsuit-federal$16,000,000
PNC Financial ServicesPNC Financial Serviceswage and hour violation2016private lawsuit-federal$6,000,000
PNC BankPNC Financial Serviceswage and hour violation2016private lawsuit-federal$1,500,000
Compass BankPNC Financial Serviceswage and hour violation2015private lawsuit-federal$500,000
PNC BankPNC Financial Serviceswage and hour violation2014private lawsuit-federal$7,000,000
National City MortgagePNC Financial Serviceswage and hour violation2008private lawsuit-federal$27,500,000
PNC Bank, National AssociationPNC Financial Servicesbanking violation2018OCC$207,245
PNC Bank, National AssociationPNC Financial Servicesbanking violation2018OCC$15,000,000
National City Corp.PNC Financial Servicesbenefit plan administrator violation2010private lawsuit-federal$43,000,000
National City Commercial Capital Company LLCPNC Financial Servicesconsumer protection violation2008MULTI-AG$7,200,000
National City Commercial Capital CorporationPNC Financial Servicesconsumer protection violation2006NY-AG$817,700
PNC BankPNC Financial Servicesprivacy violation2002KY-AG$5,000
PNC Bank, National AssociationPNC Financial Servicesinvestor protection violation2019CFTC$300,000
Compass BankPNC Financial Serviceseconomic sanction violation2013OFAC$19,125
Compass BankPNC Financial Serviceseconomic sanction violation2010OFAC$607,500
PNC Financial Services Group, Inc.PNC Financial Serviceswage and hour violation2020private lawsuit-federal$2,750,000
PNC Investments LLCPNC Financial Servicesinvestor protection violation2010DE-SEC$250,000
PNC Bank, NAPNC Financial Servicesmortgage abuses2020DOJ_UTP$5,000,000
PNC Capital Markets LLCPNC Financial Servicesinvestor protection violation2016FINRA$50,000
PNC InvestmentsPNC Financial Servicesinvestor protection violation2009FINRA$250,000
PNC Bank, National AssociationPNC Financial Servicesbanking violation2022OCC$2,614,456
Popular Mortgage, Inc.Popular Inc.wage and hour violation2011WHD$153,736
Popular Mortgage, Inc.Popular Inc.wage and hour violation2011WHD$122,762
Banco Popular North America, Inc.Popular Inc.wage and hour violation2004WHD$17,363
Banco Popular de Puerto RicoPopular Inc.anti-money-laundering deficiencies2003DOJ_CRIMINAL$21,600,000
Banco PopularPopular Inc.wage and hour violation2016private lawsuit-federal$50,243
Banco PopularPopular Inc.wage and hour violation2009private lawsuit-federal$1,050,000
E-Loan Inc.Popular Inc.wage and hour violation2007private lawsuit-federal$13,600,000
Popular, Inc.Popular Inc.benefit plan administrator violation2012private lawsuit-federal$8,200,000
Banco Popular de Puerto RicoPopular Inc.economic sanction violation2022OFAC$255,938
Premera Blue CrossPremera Blue Crosswage and hour violation2011private lawsuit-federal$1,450,000
Premera Blue CrossPremera Blue Crossprivacy violation2019MULTI-AG$10,000,000
LifeWise, A Premera Health Plan, Inc.Premera Blue Crossinsurance violation2002OR-FIN$5,000
LifeWise Health Plan of Oregon Inc.Premera Blue Crossinsurance violation2006OR-FIN$20,000
LifeWise Health Plan of OregonPremera Blue Crossinsurance violation2018OR-FIN$788,000
Lifewise Health Plan Of WashingtonPremera Blue Crossinsurance violation2011WA-INS$10,000
Lifewise Health Plan Of WashingtonPremera Blue Crossinsurance violation2011WA-INS$20,000
Premera Blue CrossPremera Blue Crossinsurance violation2012WA-INS$10,000
Premera Blue CrossPremera Blue Crossinsurance violation2012WA-INS$10,000
Lifewise Health Plan Of WashingtonPremera Blue Crossinsurance violation2014WA-INS$50,000
Premera Blue CrossPremera Blue Crossinsurance violation2016WA-INS$5,000
Lifewise Health Plan Of WashingtonPremera Blue Crossinsurance violation2018WA-INS$40,000
Premera Blue CrossPremera Blue Crossinsurance violation2019WA-INS$50,000
Lifewise Health Plan Of WashingtonPremera Blue Crossinsurance violation2019WA-INS$25,000
Premera Blue CrossPremera Blue Crossinsurance violation2019WA-INS$50,000
Premera Blue CrossPremera Blue Crossinsurance violation2019WA-INS$5,000
Lifewise Health Plan Of WashingtonPremera Blue Crossinsurance violation2020WA-INS$50,000
Premera Blue CrossPremera Blue Crossinsurance violation2020WA-INS$100,000
Premera Blue CrossPremera Blue Crossinsurance violation2020WA-INS$25,000
Premera Blue CrossPremera Blue Crossprivacy violation2020HHSOCR$6,850,000
Premera Blue CrossPremera Blue Crossprivacy violation2020private lawsuit-federal$74,000,000
LIFEWISE HEALTH PLAN OF WASHINGTONPremera Blue Crossinsurance violation2021WA-INS$20,000
PREMERA BLUE CROSSPremera Blue Crossinsurance violation2021WA-INS$10,000
LIFEWISE HEALTH PLAN OF WASHINGTONPremera Blue Crossinsurance violation2021WA-INS$10,000
Premera Blue CrossPremera Blue Crossinsurance violation2021WA-INS$5,000
Lifewise Health Plan of Washington and Premera Blue CrossPremera Blue Crossinsurance violation2022WA-INS$100,000
PREMERA BLUE CROSSPremera Blue Crossinsurance violation2022WA-INS$5,000
Claritas Investments Ltd.Principal Financialinvestor protection violation2013SEC$144,819
Principal Life Insurance CompanyPrincipal Financialbenefit plan administrator violation2015private lawsuit-federal$3,000,000
Principal Securities, Inc.Principal Financialinvestor protection violation2019SEC$1,764,624
Principal Financial GroupPrincipal Financialkickbacks and bribery2007CT-AG$5,000,000
Principal Life Insurance Co.Principal Financialinsurance violation2002AK-INS$16,095
Principal Life Insurance Co.Principal Financialinsurance violation2008AK-INS$25,000
Principal Life Insurance Co.Principal Financialinsurance violation2018DE-INS$200,000
Principal Life Insurance Co.Principal Financialinsurance violation2002FL-OFR$6,500
Principal Life Insurance CompanyPrincipal Financialinvestor protection violation2004ND-SEC$30,000
PRINCIPAL LIFE INSURANCE CO.Principal Financialinsurance violation2002VA-INS$12,000
PRINCIPAL LIFE INSURANCE COPrincipal Financialinsurance violation2003VA-INS$10,000
Principal Life Insurance CompanyPrincipal Financialinsurance violation2019WA-INS$16,150
Principal Life Insurance Co.Principal Financialinsurance violation2000WA-INS$100,000
Principal Life Insurance CompanyPrincipal Financialinsurance violation2020MULTI-FIN$145,000
Principal Life Insurance CompanyPrincipal Financialinsurance violation2020NY-DFS$6,000,000
Principal Life Insurance CompanyPrincipal Financialinsurance violation2020CT-INS$10,000
Principal Life Insurance Co.Principal Financialinsurance violation2021DE-INS$23,000
Principal Life Insurance CompanyPrincipal Financialinsurance violation2021NY-DFS$1,997,866
ASI SERVICESProgressiveaviation safety violation2015FAA$17,000
ASI SERVICESProgressiveaviation safety violation2015FAA$27,000
Progressive Casualty Insurance Co. and Progressive Garden State Insurance Co.ProgressiveFalse Claims Act and related2017USAO$2,000,000
ProgressiveProgressivewage and hour violation2017private lawsuit-federal$46,000
ProgressiveProgressivewage and hour violation2004private lawsuit-federal$5,400,000
Progressive Direct Insurance Co.Progressiveconsumer protection violation2009MA-AG$120,000
Progressive Insurance Company of OhioProgressiveconsumer protection violation2001IA-AG$127,500
Progressive Casualty Insurance Co. et al.Progressiveinsurance violation2004CA-INS$100,000
Progressive Northern Insurance Co.Progressiveinsurance violation2016DE-INS$7,000
Progressive Express Insurance Co. et al.Progressiveinsurance violation2002FL-OFR$5,750,000
Progressive Northwestern Insurance Co. and Progressive Direct Insurance Co.Progressiveinsurance violation2010ID-INS$32,000
Progressive Casualty Insurance CompanyProgressiveinsurance violation2003IN-INS$8,000
Sagamore Insurance Co.Progressiveinsurance violation2001KS-INS$20,000
Progressive Casualty Insurance Co. et al.Progressiveinsurance violation2004KS-INS$19,800
Progressive Direct Insurance Co.Progressiveinsurance violation2009KS-INS$5,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.