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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
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
Principal Life Insurance CompanyPrincipal Financialbenefit plan administrator violation2023EBSA$10,001
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 Direct Insurance Company et al.Progressiveinsurance violation2022KS-INS$5,000
Progressive Casualty Insurance Company et al.Progressiveinsurance violation2022NY-DFS$189,000
Progressive Direct Insurance CompanyProgressiveconsumer protection violation2022private lawsuit-federal$19,228,696
Progressive Specialty Insurance CompanyProgressiveconsumer protection violation2020private lawsuit-federal$2,000,000
Progressive Specialty Insurance CompanyProgressiveinsurance violation2023MD-INS$38,500
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
Prosper Marketplace, Inc.Prosper Marketplaceinvestor protection violation2012CT-SEC$40,000
Prosper MarketplaceProsper Marketplaceinvestor protection violation2015IN-SEC$13,957
Prosper Marketplace, Inc.Prosper Marketplaceinvestor protection violation2009MD-SEC$28,706
Prosper Marketplace, Inc.Prosper Marketplaceinvestor protection violation2011ME-SEC$5,000
Prosper Funding LLC and Prosper Marketplace, Inc.Prosper Marketplaceconsumer protection violation2016NH-BKG$39,000
Prosper Marketplace Inc.Prosper Marketplaceinvestor protection violation2009OR-FIN$15,000
Prosper Marketplace Inc.Prosper Marketplaceconsumer protection violation2016VT-FIN$60,000
Prosper Marketplace, Inc.Prosper Marketplaceinvestor protection violation2008MULTI-FIN$1,000,000
Prosper Marketplace, Inc.Prosper Marketplaceconsumer protection violation2024CO-AG$10,000
Provident Funding AssociatesProvident Funding Associatesconsumer protection violation2015CFPB$9,000,000
Provident Funding Associates, LPProvident Funding Associateswage and hour violation2008WHD$8,453
Provident Funding Associates, LPProvident Funding Associatesconsumer protection violation2011KY-FIN$66,000
Prudential Equity Group LLCPrudential Financialinvestor protection violation2006DOJ_CRIMINAL$600,000,000
Prudential Equity Group, LLC f/k/a Prudential Securities Inc.Prudential Financialinvestor protection violation2004SEC$375,000
Prudential FinancialPrudential Financialwage and hour violation2017private lawsuit-federal$12,500,000
Prudential InsurancePrudential Financialwage and hour violation2011private lawsuit-federal$1,016,500
Prudential FinancialPrudential Financialwage and hour violation2009private lawsuit-federal$11,000,000
American Skandia Investment Services, Inc.Prudential Financialinvestor protection violation2009SEC$68,000,000
Prudential Equity Group, LLCPrudential Financialinvestor protection violation2005SEC$125,000
Prudential InsurancePrudential Financialbenefit plan administrator violation2014private lawsuit-federal$39,100,000
Prudential Equity GroupPrudential Financialinvestor protection violation2006MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $270,000,000
Prudential Equity GroupPrudential Financialinvestor protection violation2006NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $270,000,000
Prudential Insurance Company Of AmericaPrudential Financialbenefit plan administrator violation2019private lawsuit-federal$9,000,000
Prudential Insurance Company of AmericaPrudential Financialinsurance violation2012MULTI-AG$17,000,000
Prudential Financial Inc.Prudential Financialinvestor protection violation2019SEC$32,600,000
Prudential Insurance Co.Prudential Financialkickbacks and bribery2008CA-MULTI$350,000
The Prudential Insurance Company of AmericaPrudential Financiallabor relations violation2018NLRB$17,842
Prudential Equity Group, Inc.Prudential Financialinvestor protection violation2005AL-SEC$45,000
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2006CA-INS$700,000
Pruco Life Insurance Co.Prudential Financialinsurance violation2015CA-INS$8,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.