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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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Company sort iconCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount
PNC Capital Markets LLCPNC Financial Servicesinvestor protection violation2022SEC$198,323
PNC Financial ServicesPNC Financial Serviceswage and hour violation2016private lawsuit-federal$6,000,000
PNC Financial Services GroupPNC Financial Servicesmortgage abuses2018FED$3,500,000
PNC Financial Services Group, Inc.PNC Financial Serviceswage and hour violation2020private lawsuit-federal$2,750,000
PNC ICLC Corp.PNC Financial Servicesaccounting fraud or deficiencies2003DOJ_CRIMINAL$115,000,000
PNC InvestmentsPNC Financial Servicesinvestor protection violation2009FINRA$250,000
PNC Investments LLCPNC Financial Servicesinvestor protection violation2018SEC$7,307,770
PNC Investments LLCPNC Financial Servicesinvestor protection violation2010DE-SEC$250,000
PNC Merchant Services Company, L.P.PNC Financial Servicesconsumer protection violation2022private lawsuit-federal$10,000,000
PNC MortgagePNC Financial Servicesdiscriminatory practices (non-employment)2013HUD$15,000
Popular Mortgage, Inc.Popular Inc.wage and hour violation2011WHD$153,736
Popular Mortgage, Inc.Popular Inc.wage and hour violation2011WHD$122,762
Popular, Inc.Popular Inc.benefit plan administrator violation2012private lawsuit-federal$8,200,000
Portigon Financial ServicesPortigon Financial Servicesprice-fixing or anti-competitive practices2023private lawsuit-federal$25,250,000
Praetorian Insurance Co.QBE Insuranceinsurance violation2018MO-INS$28,120
Praetorian Insurance Co. and QBE Insurance Corp. and QBE Speciality Insurance Co.QBE Insuranceinsurance violation2019DE-INS$70,100
Praetorian Insurance Co. and Redland Insurance Co.QBE Insuranceinsurance violation2011MD-INS$10,000
Praetorian Insurance Co. and Stonington Insurance Co.QBE Insuranceinsurance violation2013MD-INS$10,000
Praetorian Insurance CompanyQBE Insuranceinsurance violation2019MD-INS$5,920
Praetorian Insurance CompanyQBE Insuranceinsurance violation2012NJ-DBI$10,000
Praetorian Insurance CompanyQBE Insuranceinsurance violation2012TX-INS$14,000
Praetorian Insurance CompanyQBE Insuranceinsurance violation2012TX-INS$30,000
Praetorian Insurance CompanyQBE Insuranceinsurance violation2014TX-INS$20,000
Praetorian Insurance CompanyQBE Insuranceinsurance violation2015TX-INS$20,000
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
Premier Insurance Company of MassachusettsTravelersconsumer protection violation2011MA-AG$5,000,386
PrimeLendingHilltop Holdingsmortgage abuses2010DOJ_RIGHTS$2,000,000
PrimeLending, A PlainsCapital CompanyHilltop Holdingsconsumer protection violation2016CA-DFPI$1,619,523
Principal Financial GroupPrincipal Financialkickbacks and bribery2007CT-AG$5,000,000
PRINCIPAL LIFE INSURANCE COPrincipal Financialinsurance violation2003VA-INS$10,000
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 CO.Principal Financialinsurance violation2002VA-INS$12,000
Principal Life Insurance Co.Principal Financialinsurance violation2000WA-INS$100,000
Principal Life Insurance Co.Principal Financialinsurance violation2021DE-INS$23,000
Principal Life Insurance CompanyPrincipal Financialbenefit plan administrator violation2015private lawsuit-federal$3,000,000
Principal Life Insurance CompanyPrincipal Financialinvestor protection violation2004ND-SEC$30,000
Principal Life Insurance CompanyPrincipal Financialinsurance violation2019WA-INS$16,150
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 CompanyPrincipal Financialinsurance violation2021NY-DFS$1,997,866
Principal Life Insurance CompanyPrincipal Financialbenefit plan administrator violation2023EBSA$10,001
Principal Securities, Inc.Principal Financialinvestor protection violation2019SEC$1,764,624
Privilege Underwriters Reciprocal ExchangeTokio Marineinsurance violation2019MD-INS$15,300
Privilege Underwriters Reciprocal ExchangeTokio Marineinsurance violation2020WA-INS$20,000
Privilege Underwriters Reciprocal ExchangeTokio Marineinsurance violation2020WA-INS$5,000
Privilege Underwriters Reciprocal ExchangeTokio Marineinsurance violation2021VA-INS$19,295
Privilege Underwriters Reciprocal ExchangeTokio Marineeconomic sanction violation2023OFAC$466,200
Pro Line Printing, Inc.Chatham Asset Managementenvironmental violation2004CT-ENV$11,125
PRO LINE PRINTING, INC.Chatham Asset Managementworkplace safety or health violation2007OSHA$5,000
Producers Agriculture Insurance CompanyTokio Marineinsurance violation2019WA-INS$50,000
Producers Agriculture Insurance CompanyTokio Marineinsurance violation2022ND-INS$5,000
Producers Agriculture Insurance CompanyTokio Marineinsurance violation2022SD-INS$45,000
ProEquities, IncDai-ichi Lifeinvestor protection violation2012MULTI-FIN$435,000
ProEquities, Inc.Dai-ichi Lifeinvestor protection violation2019SEC$1,852,383
ProEquities, Inc.Dai-ichi Lifeinvestor protection violation2018CT-SEC$7,590
ProEquities, Inc.Dai-ichi Lifeinvestor protection violation2004FL-OFR$5,000
ProEquities, Inc.Dai-ichi Lifeinvestor protection violation2010IN-SEC$9,000
ProEquities, Inc.Dai-ichi Lifeinvestor protection violation2015MO-SEC$128,528
ProEquities, Inc.Dai-ichi Lifeinvestor protection violation2009FINRA$25,000
ProgressiveProgressivewage and hour violation2017private lawsuit-federal$46,000
ProgressiveProgressivewage and hour violation2004private lawsuit-federal$5,400,000
PROGRESSIVE ADVANCED INSURANCE CO.Progressiveinsurance violation2015VA-INS$263,479
Progressive Advanced Insurance Company et al.Progressiveinsurance violation2019VA-INS$4,876,344
PROGRESSIVE AMERICAN INSURANCE CO.Progressiveinsurance violation2001VA-INS$23,000
Progressive American Insurance CompanyProgressiveinsurance violation2011WA-INS$30,000
Progressive Casualty Insurance Co.Progressiveinsurance violation2018MD-INS$81,520
Progressive Casualty Insurance Co.Progressiveinsurance violation2014MN-FIN$5,000
Progressive Casualty Insurance Co. and Progressive Garden State Insurance Co.ProgressiveFalse Claims Act and related2017USAO$2,000,000
Progressive Casualty Insurance Co. et al.Progressiveinsurance violation2004CA-INS$100,000
Progressive Casualty Insurance Co. et al.Progressiveinsurance violation2004KS-INS$19,800
Progressive Casualty Insurance Co. et al.Progressiveinsurance violation2018MN-FIN$40,000
Progressive Casualty Insurance CompanyProgressiveinsurance violation2003IN-INS$8,000
Progressive Casualty Insurance CompanyProgressiveinsurance violation2020MN-FIN$5,000
Progressive Casualty Insurance CompanyProgressiveinsurance violation2009PA-INS$25,000
Progressive Casualty Insurance CompanyProgressiveinsurance violation2019RI-FIN$10,000
Progressive Casualty Insurance Company et al.Progressiveinsurance violation2022NY-DFS$189,000
Progressive Classic Insurance Co. et al.Progressiveinsurance violation2016MD-INS$17,500
Progressive Classic Insurance CompanyProgressiveinsurance violation2005OR-FIN$8,000
Progressive Classic Insurance CompanyProgressiveinsurance violation2013OR-FIN$6,000
PROGRESSIVE DIRECT INSURANCEProgressiveinsurance violation2017VA-INS$9,839,379
Progressive Direct Insurance Co.Progressiveconsumer protection violation2009MA-AG$120,000
Progressive Direct Insurance Co.Progressiveinsurance violation2009KS-INS$5,000
Progressive Direct Insurance Co.Progressiveinsurance violation2011MA-INS$125,000
Progressive Direct Insurance Co.Progressiveinsurance violation2018MD-INS$70,000
Progressive Direct Insurance CompanyProgressiveinsurance violation2020CT-INS$56,500
Progressive Direct Insurance CompanyProgressiveinsurance violation2021DE-INS$6,500
Progressive Direct Insurance CompanyProgressiveinsurance violation2022NY-DFS$2,000,000
Progressive Direct Insurance CompanyProgressiveconsumer protection violation2022private lawsuit-federal$19,228,696
Progressive Direct Insurance Company et al.Progressiveinsurance violation2022KS-INS$5,000
Progressive Express Insurance Co. et al.Progressiveinsurance violation2002FL-OFR$5,750,000
Progressive Insurance Company of OhioProgressiveconsumer protection violation2001IA-AG$127,500
Progressive Northern Ins Co.Progressiveinsurance violation2005WI-INS$5,000
PROGRESSIVE NORTHERN INSURANCEProgressiveinsurance violation2013VA-INS$221,905
PROGRESSIVE NORTHERN INSURANCEProgressiveinsurance violation2016VA-INS$52,619
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.