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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
PayPalPayPal Holdingsconsumer protection violation2004NY-AG$150,000
PayPal Inc.PayPal Holdingsconsumer protection violation2015CFPB$25,000,000
PayPal Inc.PayPal Holdingseconomic sanction violation2015OFAC$7,658,300
PayPal Inc.PayPal Holdingsprivacy violation2016TX-AG$175,000
PayPal, Inc.PayPal Holdingsconsumer protection violation2006MULTI-AG$1,700,000
PayPal, Inc.PayPal Holdingsconsumer protection violation2015FL-OFR$14,500
PayPal, Inc.PayPal Holdingsconsumer protection violation2017private lawsuit-federal$4,000,000
PayPal, Inc. dba VenmoPayPal Holdingsconsumer protection violation2020MN-FIN$20,000
Peerless Indemnity Insurance Co. et al.Liberty Mutual Insuranceinsurance violation2013MD-INS$5,000
PEERLESS INDEMNITY INSURANCE CO. ET AL.Liberty Mutual Insuranceinsurance violation2011VA-INS$40,057
Peerless Insurance Co.Liberty Mutual Insuranceconsumer protection violation2010MA-AG$20,000
Peerless Insurance CompanyLiberty Mutual Insuranceinsurance violation2014RI-FIN$8,000
Peerless Insurance CompanyLiberty Mutual Insuranceinsurance violation2014TX-INS$15,500
PEERLESS INSURANCE COMPANYLiberty Mutual Insuranceinsurance violation2003VA-INS$28,100
PEERLESS INSURANCE COMPANYLiberty Mutual Insuranceinsurance violation2012VA-INS$8,000
Penn Mutual Life Insurance Co.Penn Mutualinsurance violation2018DE-INS$17,000
Penn Mutual Life Insurance Co.Penn Mutualinsurance violation2015MD-INS$10,400
Penn Mutual Life Insurance Co.Penn Mutualinsurance violation2017MD-INS$25,600
PennyMac Loan Services, LLCPennyMac Financial Servicesconsumer protection violation2015KY-FIN$20,000
Permanent General Assurance Corp.American Family Insuranceinsurance violation2011AZ-DIFI$70,000
Permanent General Assurance Corp.American Family Insuranceinsurance violation2009CO-INS$31,900
Permanent General Assurance Corp.American Family Insuranceinsurance violation2019CO-INS$56,494
Permanent General Assurance Corp.American Family Insuranceinsurance violation2020MO-INS$15,000
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 Corporation of OhioAmerican Family Insuranceinsurance violation2019CO-INS$50,974
Peter Cremer CompanyCremerrailroad safety violation2011FRA$5,000
Peter Cremer CompanyCremerrailroad safety violation2013FRA$8,000
Peter Cremer North AmericaCremerenvironmental violation2013EPA$98,000
PHH Corp.Ocwen FinancialFalse Claims Act and related2017DOJ_CIVIL$74,453,802
PHH CorporationOcwen Financialconsumer protection violation2018private lawsuit-federal$8,500,000
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 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 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
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
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
Phoenix Insurance Co.Travelersinsurance violation2016MO-INS$21,000
Phoenix Insurance Co. and Travelers Property Casualty Company of AmericaTravelersinsurance violation2013MD-INS$50,000
Phoenix Insurance CompanyTravelersinsurance violation2014TX-INS$5,750
Phoenix Insurance CompanyTravelersinsurance violation2023TX-INS$12,500
Piccari Press, Inc.Chatham Asset Managementlabor relations violation2003NLRB$10,000
Pioneer Credit Recovery, Inc.Navienttax violations2013CT-AG$12,255
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
Piper Jaffray Inc.Piper Sandlerinvestor protection violation2000FINRA$933,000
PlainsCapital Bank and PrimeLendingHilltop Holdingsbanking violation2011FED$30,780
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
PNC BANK N APNC Financial Serviceswage and hour violation2022IL-DOL$7,600
PNC Bank N.APNC Financial ServicesFalse Claims Act and related2013DOJ_CIVIL$7,100,000
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, NAPNC Financial Servicesmortgage abuses2020DOJ_UTP$5,000,000
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 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
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.