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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$343,567,149,199
Number of Records: 7,165
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$36,129,286,132223
Citigroup$25,740,655,365159
Wells Fargo$22,081,458,643229
Deutsche Bank$18,541,562,80279
UBS$17,082,743,334106
Goldman Sachs$16,603,475,84890
NatWest Group PLC$13,515,546,85731
Credit Suisse$11,427,400,12652
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 icon . Primary Offense TypeYearAgencyPenalty Amount
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
Progressive Paloverde Insurance Co.Progressiveinsurance violation2019LA-INS$5,000
Progressive Direct Insurance Co.Progressiveinsurance violation2011MA-INS$125,000
Progressive Select Insurance Co.Progressiveinsurance violation2016MD-INS$18,000
Progressive Specialty Insurance Co.Progressiveinsurance violation2016MD-INS$22,500
Progressive Classic Insurance Co. et al.Progressiveinsurance violation2016MD-INS$17,500
Progressive Direct Insurance Co.Progressiveinsurance violation2018MD-INS$70,000
Progressive Casualty Insurance Co.Progressiveinsurance violation2018MD-INS$81,520
Progressive Northwestern Insurance Co.Progressiveinsurance violation2011ME-INS$100,000
Progressive Casualty Insurance Co.Progressiveinsurance violation2014MN-FIN$5,000
Progressive Casualty Insurance Co. et al.Progressiveinsurance violation2018MN-FIN$40,000
Progressive Casualty Insurance CompanyProgressiveinsurance violation2020MN-FIN$5,000
Progressive Northern Insurance CompanyProgressiveinsurance violation2006NH-INS$5,000
Progressive Classic Insurance CompanyProgressiveinsurance violation2005OR-FIN$8,000
Progressive Northern Insurance CompanyProgressiveinsurance violation2006OR-FIN$10,000
Progressive Classic Insurance CompanyProgressiveinsurance violation2013OR-FIN$6,000
Progressive Universal Insurance Company et al.Progressiveinsurance violation2017OR-FIN$10,000
Progressive Casualty Insurance CompanyProgressiveinsurance violation2009PA-INS$25,000
Progressive Casualty Insurance CompanyProgressiveinsurance violation2019RI-FIN$10,000
Protective Insurance CompanyProgressiveinsurance violation2014SD-INS$7,500
Protective Insurance CompanyProgressiveinsurance violation2013TX-INS$30,000
Protective Insurance CompanyProgressiveinsurance violation2014TX-INS$10,965
Protective Insurance CompanyProgressiveinsurance violation2014TX-INS$9,000
Protective Insurance CompanyProgressiveinsurance violation2017TX-INS$10,000
PROGRESSIVE AMERICAN INSURANCE CO.Progressiveinsurance violation2001VA-INS$23,000
PROGRESSIVE NORTHERN INSURANCEProgressiveinsurance violation2013VA-INS$221,905
PROGRESSIVE ADVANCED INSURANCE CO.Progressiveinsurance violation2015VA-INS$263,479
PROGRESSIVE NORTHERN INSURANCEProgressiveinsurance violation2016VA-INS$52,619
AMERICAN STRATEGIC INSURANCEProgressiveinsurance violation2016VA-INS$15,147
AMERICAN STRATEGIC INSURANCEProgressiveinsurance violation2017VA-INS$41,962
PROGRESSIVE DIRECT INSURANCEProgressiveinsurance violation2017VA-INS$9,839,379
PROGRESSIVE NORTHERN INSURANCE CO.Progressiveinsurance violation2018VA-INS$1,818,318
Progressive Advanced Insurance Company et al.Progressiveinsurance violation2019VA-INS$4,876,344
Progressive American Insurance CompanyProgressiveinsurance violation2011WA-INS$30,000
American Strategic Insurance CorpProgressiveinsurance violation2018WA-INS$10,000
Progressive Northern Insurance Co.Progressiveinsurance violation2001WI-INS$70,000
Progressive Northern Ins Co.Progressiveinsurance violation2005WI-INS$5,000
Progressive Direct Insurance CompanyProgressiveinsurance violation2020CT-INS$56,500
Protective Insurance Co.Progressiveinsurance violation2021TX-INS$8,500
Sagamore Insurance Co.Progressiveinsurance violation2021TX-INS$20,000
Progressive Direct Insurance CompanyProgressiveinsurance violation2021DE-INS$6,500
Progressive Direct Insurance CompanyProgressiveinsurance violation2022NY-DFS$2,000,000
Progressive Universal Insurance CompanyProgressiveinsurance violation2022OR-FIN$11,000
PROGRESSIVE, INC.Progressiveworkplace safety or health violation2012OSHA$29,000
Prosper Marketplace, Inc.Prosper Marketplaceinvestor protection violation2009CT-SEC$12,602
Prosper Marketplace, Inc.Prosper Marketplaceinvestor protection violation2010CT-SEC$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.