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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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$87,286,650,890328
JPMorgan Chase$39,340,688,209275
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,780,502,443203
BNP Paribas$10,363,464,66623

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
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-FIN$2,625,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2006MT-FIN$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
Piper Jaffray & Co.Piper Sandlerprice-fixing or anti-competitive practices2016private lawsuit-federal$9,750,000
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
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
PNC Capital Markets LLCPNC Financial Servicesinvestor protection violation2022SEC$198,323
PNC Bank N.A.PNC Financial Servicesconsumer protection violation2020private lawsuit-federal$7,500,000
PNC Bank N.A.PNC Financial Servicesconsumer protection violation2016private lawsuit-federal$24,000,000
PNC Bank N.A.PNC Financial Servicesconsumer protection violation2016private lawsuit-federal$32,300,000
PNC Bank N.A.PNC Financial Servicesconsumer protection violation2013private lawsuit-federal$90,000,000
PNC Merchant Services Company, L.P.PNC Financial Servicesconsumer protection violation2022private lawsuit-federal$10,000,000
PNC BANK N APNC Financial Serviceswage and hour violation2022IL-DOL$7,600
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
Portigon Financial ServicesPortigon Financial Servicesprice-fixing or anti-competitive practices2023private lawsuit-federal$25,250,000
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
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.