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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $388,129,347,579
Number of Records: 7,728
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$39,688,888,209277
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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Company sort iconCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount
Praetorian Insurance CompanyQBE Insuranceinsurance violation2019VA-INS$183,819
Praetorian Insurance CompanyQBE Insuranceinsurance violation2020NY-DFS$20,000
Praetorian Insurance CompanyQBE Insuranceinsurance violation2021TX-INS$39,000
Praetorian Insurance CompanyQBE Insuranceinsurance violation2022TX-INS$5,000
Praetorian Insurance Co. and Stonington Insurance Co.QBE Insuranceinsurance violation2013MD-INS$10,000
Praetorian Insurance Co. and Redland Insurance Co.QBE Insuranceinsurance violation2011MD-INS$10,000
Praetorian Insurance Co. and QBE Insurance Corp. and QBE Speciality Insurance Co.QBE Insuranceinsurance violation2019DE-INS$70,100
Praetorian Insurance Co.QBE Insuranceinsurance violation2018MO-INS$28,120
Portigon Financial ServicesPortigon Financial Servicesprice-fixing or anti-competitive practices2023private lawsuit-federal$25,250,000
Popular, Inc.Popular Inc.benefit plan administrator violation2012private lawsuit-federal$8,200,000
Popular Mortgage, Inc.Popular Inc.wage and hour violation2011WHD$153,736
Popular Mortgage, Inc.Popular Inc.wage and hour violation2011WHD$122,762
PNC MortgagePNC Financial Servicesdiscriminatory practices (non-employment)2013HUD$15,000
PNC Merchant Services Company, L.P.PNC Financial Servicesconsumer protection violation2022private lawsuit-federal$10,000,000
PNC Investments LLCPNC Financial Servicesinvestor protection violation2018SEC$7,307,770
PNC Investments LLCPNC Financial Servicesinvestor protection violation2010DE-SEC$250,000
PNC InvestmentsPNC Financial Servicesinvestor protection violation2009FINRA$250,000
PNC ICLC Corp.PNC Financial Servicesaccounting fraud or deficiencies2003DOJ_CRIMINAL$115,000,000
PNC Financial Services Group, Inc.PNC Financial Serviceswage and hour violation2020private lawsuit-federal$2,750,000
PNC Financial Services GroupPNC Financial Servicesmortgage abuses2018FED$3,500,000
PNC Financial ServicesPNC Financial Serviceswage and hour violation2016private lawsuit-federal$6,000,000
PNC Capital Markets LLCPNC Financial Servicesinvestor protection violation2015SEC$500,000
PNC Capital Markets LLCPNC Financial Servicesinvestor protection violation2016FINRA$50,000
PNC Capital Markets LLCPNC Financial Servicesinvestor protection violation2022SEC$198,323
PNC Bank, National AssociationPNC Financial Servicesbanking violation2014OCC$2,000,000
PNC Bank, National AssociationPNC Financial Servicesbanking violation2018OCC$207,245
PNC Bank, National AssociationPNC Financial Servicesbanking violation2018OCC$15,000,000
PNC Bank, National AssociationPNC Financial Servicesinvestor protection violation2019CFTC$300,000
PNC Bank, National AssociationPNC Financial Servicesbanking violation2022OCC$2,614,456
PNC Bank, NAPNC Financial Servicesmortgage abuses2020DOJ_UTP$5,000,000
PNC Bank N.A.PNC Financial Servicesbanking violation2013OCC$180,526,382
PNC Bank N.A.PNC Financial ServicesFalse Claims Act and related2016USAO$9,500,000
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 Bank N.APNC Financial ServicesFalse Claims Act and related2013DOJ_CIVIL$7,100,000
PNC BANK N APNC Financial Serviceswage and hour violation2022IL-DOL$7,600
PNC BankPNC Financial Serviceseconomic sanction violation2005OFAC$8,200
PNC BankPNC Financial Serviceslabor relations violation2006NLRB$40,000
PNC BankPNC Financial Serviceswage and hour violation2017private lawsuit-federal$16,000,000
PNC BankPNC Financial Serviceswage and hour violation2016private lawsuit-federal$1,500,000
PNC BankPNC Financial Serviceswage and hour violation2014private lawsuit-federal$7,000,000
PNC BankPNC Financial Servicesprivacy violation2002KY-AG$5,000
PlainsCapital Bank and PrimeLendingHilltop Holdingsbanking violation2011FED$30,780
Piper Jaffray Inc.Piper Sandlerinvestor protection violation2000FINRA$933,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2015SEC$500,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2006SEC$125,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2013SEC$300,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2006MT-FIN$345,000
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
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
Piper Jaffray & Co.Piper Sandlerprice-fixing or anti-competitive practices2016private lawsuit-federal$9,750,000
Pioneer Credit Recovery, Inc.Navienttax violations2013CT-AG$12,255
Piccari Press, Inc.Chatham Asset Managementlabor relations violation2003NLRB$10,000
Phoenix Insurance CompanyTravelersinsurance violation2014TX-INS$5,750
Phoenix Insurance CompanyTravelersinsurance violation2023TX-INS$12,500
Phoenix Insurance Co. and Travelers Property Casualty Company of AmericaTravelersinsurance violation2013MD-INS$50,000
Phoenix Insurance Co.Travelersinsurance violation2016MO-INS$21,000
Philadelphia Indemnity Insurance CompanyTokio MarineFalse Claims Act and related2018USAO$30,508
Philadelphia Indemnity Insurance CompanyTokio Marineinsurance violation2000MA-INS$7,040
Philadelphia Indemnity Insurance CompanyTokio Marineinsurance violation2022TX-INS$40,000
Philadelphia Indemnity Insurance Co.Tokio Marineinsurance violation2005CA-INS$175,000
Philadelphia Indemnity Insurance Co.Tokio Marineinsurance violation2008CA-INS$60,000
Philadelphia Indemnity Insurance Co.Tokio Marineinsurance violation2014MD-INS$7,500
Philadelphia Indemnity Insurance Co.Tokio Marineinsurance violation2015MN-FIN$5,000
Philadelphia Indemnity Insurance Co.Tokio Marineinsurance violation2015MN-FIN$5,000
PHH Mortgage CorporationOcwen Financialconsumer protection violation2019DOJ_RIGHTS$750,000
PHH Mortgage CorporationOcwen Financialmortgage abuses2013NJ-AG$6,250,000
PHH Mortgage CorporationOcwen Financialconsumer protection violation2011NJ-DBI$9,000
PHH Mortgage CorporationOcwen Financialmortgage abuses2016NY-DFS$28,000,000
PHH Mortgage CorporationOcwen Financialconsumer protection violation2020CA-DFPI$62,000
PHH Mortgage Corp. dba Century MortgageOcwen Financialconsumer protection violation2009CT-BKG$6,000
PHH Mortgage Corp. dba Century MortgageOcwen Financialconsumer protection violation2013CT-BKG$29,000
PHH Mortgage Corp.Ocwen Financialmortgage abuses2018MULTI-AG$45,000,000
PHH Mortgage Corp.Ocwen Financialconsumer protection violation2018GA-AG$75,000
PHH Mortgage Corp.Ocwen Financialmortgage abuses2012IL-BKG$150,000
PHH Mortgage Corp.Ocwen Financialconsumer protection violation2010KY-FIN$8,000
PHH Mortgage Corp.Ocwen Financialconsumer protection violation2011KY-FIN$5,000
PHH Mortgage Corp.Ocwen Financialzoning violation2017NY-DFS$119,000
PHH Mortgage Corp.Ocwen Financialconsumer protection violation2023private lawsuit-federal$2,771,068
PHH CorporationOcwen Financialconsumer protection violation2018private lawsuit-federal$8,500,000
PHH Corp.Ocwen FinancialFalse Claims Act and related2017DOJ_CIVIL$74,453,802
Peter Cremer North AmericaCremerenvironmental violation2013EPA$98,000
Peter Cremer CompanyCremerrailroad safety violation2011FRA$5,000
Peter Cremer CompanyCremerrailroad safety violation2013FRA$8,000
Permanent General Assurance Corporation of OhioAmerican Family Insuranceinsurance violation2019CO-INS$50,974
Permanent General Assurance CorporationAmerican Family Insuranceinsurance violation2014NY-DFS$75,000
Permanent General Assurance CorporationAmerican Family Insuranceinsurance violation2018TX-INS$70,000
Permanent General Assurance CorporationAmerican Family Insuranceinsurance violation2019VT-FIN$11,000
Permanent General Assurance CorporationAmerican Family Insuranceinsurance violation2016WA-INS$5,000
Permanent General Assurance Corp.American Family Insuranceinsurance violation2011AZ-DIFI$70,000
Permanent General Assurance Corp.American Family Insuranceinsurance violation2009CO-INS$31,900
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.