Fiscal Year 2022

Enforcement Report
2

Table of Contents

I. Introduction

II. Summary of Inspections and Audits Performed, and Enforcement Actions Recommended 

in FY 2022

A. Railroad Safety and Hazmat Compliance Inspections and Audits

1. All Railroads and Other Entities (e.g., Hazmat Shippers) Except Individuals

2. Railroads Only

B. Summary of Railroad Safety Violations Cited by Inspectors, by Regulatory 

Oversight Discipline or Subdiscipline

1. Accident/Incident Reporting

2. Grade Crossing Signal System Safety

3. Hazardous Materials

4. Industrial Hygiene

5. Motive Power and Equipment

6. Railroad Operating Practices

7. Signal and Train Control

8. Track

9. Safety Management Systems

C. FRA and State Inspections of Railroads, Sorted by Railroad Type

1. Class I Railroads

2. Probable Class II Railroads

3. Probable Class III Railroads

D. Inspections and Recommended Enforcement Actions, Sorted by Class I Railroad

1. BNSF Railway Company

2. Canadian National Railway/Grand Trunk Corporation

3. Canadian Pacific Railway/Soo Line Railroad Company

4. CSX Transportation Inc.

5. The Kansas City Southern Railway Company

6. National Railroad Passenger Corporation

7. Norfolk Southern Railway Company

8. Union Pacific Railroad Company

III. Summaries of Civil Penalty Initial Assessments, Settlements, and Final Assessments in 

FY 2022

A. In General

B. Summary 1—Brief Summary, with Focus on Initial Assessments Transmitted

C. Breakdown of Initial Assessments in Summary 1

1. For Each Class I Railroad Individually in FY 2022

2. For Probable Class II Railroads in the Aggregate in FY 2022

3. For Probable Class III Railroads in the Aggregate in FY 2022

4. For Hazmat Shippers in the Aggregate in FY 2022

5. For Contractors in the Aggregate in FY 2022

6. For Other Cases in the Aggregate in FY 2022

D. Summary 2—More Detailed Summary of Settlements and Final Assessments of 

Civil Penalties in FY 2022

E. Breakdown of Settlements and Final Assessments in Summary 2

1. For Each Class I Railroad Individually in FY 2022

2. For Probable Class II Railroads in the Aggregate in FY 2022
3

3. For Probable Class III Railroads in the Aggregate in FY 2022

4. For Hazmat Shippers in the Aggregate in FY 2022

5. For Contractors in the Aggregate in FY 2022

6. For Other Cases in the Aggregate in FY 2022

IV. Enforcement Actions against Individuals in FY 2022

A. Civil Penalty Cases against Individuals in the Aggregate

B. Other Enforcement Actions against Individuals in the Aggregate

V. Discussion of Railroad Safety—The Relationship of Inspections, Enforcement, and 

Accidents or Incidents

VI. Summary and Analysis of Operating Crew Certification Cases

A. Operating Crew Review Board (OCRB)

B. Administrative Hearings

C. Appeals to the Administrator

VII. Summary and Analysis of Administrative Hearing Cases Related to Hazmat Violations or 

Enforcement Actions against Individuals

VIII. Number of Cases Referred to the Attorney General for Civil or Criminal Enforcement

IX. Number and Subject Matter of Compliance Orders, Emergency Orders, or Precursor 

Agreements

Appendix A—“Railroad Safety Civil Penalty Cases Closed during Fiscal Year 2022”
4 

Federal Railroad Administration

Fiscal Year 2022 Enforcement Report

I. INTRODUCTION

For several decades, the Federal Railroad Administration (FRA) has compiled an annual civil 

penalty report summarizing the civil penalty claims for violations of Federal railroad safety and 

hazardous materials (hazmat) statutes, regulations, and orders FRA has closed.1 As authorized 

by law, FRA issues orders assessing civil penalties for violations of the hazardous materials 

statutes, regulations, and orders.2 Also, as authorized by law, FRA negotiates settlements with 

railroads and other entities subject to its safety jurisdiction to resolve claims for civil penalties 

imposed for failures to comply with specific requirements that promote and ensure the safety of 

the Nation’s freight and passenger railroad operations.3

Pursuant to the Rail Safety Improvement Act of 2008, FRA expanded the enforcement report to 

include more information about FRA’s safety enforcement activities.4 FRA intends to make the 

enforcement report, with the additional information, available each year by December 31 for the 

preceding fiscal year (FY) (i.e., October 1 through September 30). 

This 2022 report includes the following: 

• A summary of rail safety and hazmat compliance inspections and audits FRA or State 

inspectors conducted and enforcement actions FRA recommended. 

• A summary of FRA civil penalty enforcement actions sorted by type of alleged violation 

and type of respondent, including railroads, hazmat shippers, contractors, and individuals. 

• A discussion of the relationship between inspections and enforcement actions, the 

number and rate of reportable accidents and incidents, and railroad safety. 

• An analysis of operating crew certification cases brought before FRA.

• A list of civil penalty cases FRA closed (at Appendix A to this report). 

1 See primarily title 49 of the United States Code, chapters 201-213 and 51, respectively (49 U.S.C. ch. 201-213 and 

51, respectively); title 49 of the Code of Federal Regulations (C.F.R.), subtitle B, chapter II (parts 209-244, 270-

272) and chapter I, subchapter A, Hazardous Materials and Oil Transportation, and subchapter C, Hazardous 

Materials Regulations; 49 U.S.C. § 103; and 49 C.F.R. § 1.89.

2 49 U.S.C. ch. 51; 49 C.F.R. § 1.89; and 49 C.F.R. part 209. 3 49 U.S.C. § 103; and 49 C.F.R. § 1.89.

4 This is consistent with Sections 303 and 307 of the Rail Safety Improvement Act of 2008 (RSIA), Public Law No. 

110-432, Division A (122 Stat. 4848), enacted October 16, 2008 (codified at 49 U.S.C. §§ 20120 and 103, note, 

respectively). See https://railroads.dot.gov/.
5

, II. SUMMARY OF INSPECTIONS AND AUDITS PERFORMED, 

AND ENFORCEMENT ACTIONS RECOMMENDED IN FY 2022

, 

, , 

 A. RAILROAD SAFETY AND HAZMAT COMPLIANCE INSPECTIONS AND 

AUDITS

1. All Railroads and Other Entities (e.g., Hazmat Shippers) Except Individuals , , , , , , , , , 

, ,Number Of Inspection Reports: 63,948

Defects: 233,057

Units: 2,509,694

Number of Observations: 289,511

Number of Reports with Recommended Violation Defects: 3,477

Number of Recommended Violation Defects: 8,876

Number of Inspection Days: 51,081

, , 

, , , , , , , , , 

, , 2. Railroads Only , , , , , , , , , , , 

, , , ,Number Of Inspection Reports: 57,223

Defects: 220,028

Units: 2,438,924

Number of Observations: 268,935

Number of Reports with Recommended Violation Defects: 2,771

Number of Recommended Violation Defects: 7,841

Number of Inspection Days: 47,558

B. SUMMARY OF RAILROAD SAFETY VIOLATIONS CITED BY INSPECTORS, 

BY REGULATORY OVERSIGHT DISCIPLINE OR SUBDISCIPLINE

1. Accident/Incident Reporting

Violation Type Number of Recommended Violations

Accident Reporting 21

2. Grade Crossing Signal System Safety

Violation Type Number of Recommended Violations

Grade Crossing Signal Safety 214

3. Hazardous Materials

Violation Type Number of Recommended Violations

Hazardous Materials 3,775
6

4. Industrial Hygiene

Violation Type Number of Recommended Violations

Occupational Noise Exposure 0

5. Motive Power and Equipment

Violation Type Number of Recommended Violations

Freight Car Safety Standards 374

Locomotive Safety Standards 495

Passenger Equipment Safety Standards 5

Passenger Train Emergency Preparedness 0

Rear End Marking Devices 2

Safety Appliance Statutes and Regulations 1,647

Safety Glazing Standards 1

Steam Locomotive Inspection and 

Maintenance

1

All 2,525

6. Railroad Operating Practices

Violation Type Number of Recommended Violations

Alcohol and Drug Use 243

Conductor Qualifications 27

Critical Incident Stress Plans 4

Engineer Qualifications 62

FRA Emergency Order(s) 0

Hours of Service Laws and Regulations 747

Hours of Service Recordkeeping 99

Railroad Communications 19
7

Railroad Operating Practices 316

Railroad Operating Rules 4

Railroad Safety Enforcement Procedures 18

Train Horn/Quiet Zone 89

All 1,628

7. Signal and Train Control

Violation Type Number of Recommended Violations

Signal Inspection Regulations 76

8. Track

Violation Type Number of Recommended Violations

Bridge Safety Standards 81

Bridge Worker Safety Standards 1

Roadway Worker Protection 131

Track Safety Standards 424

All 637

9. Safety Management Systems

Violation Type Number of Recommended Violations

System Safety Program 0
8 

C. FRA AND STATE INSPECTIONS OF RAILROADS,

SORTED BY RAILROAD TYPE

1. Class I Railroads

Number Of Inspection Reports: 41,465 

Defects: 163,025 

Units: 1,931,931 

Number of Observations: 200,492 

Number of Reports with Recommended Violation Defects: 2,411 

Number of Recommended Violation Defects: 7,176 

Number of Inspection Days:5

 35,346 

2. Probable Class II Railroads6

Number Of Inspection Reports: 2,044 

Defects: 8,124 

Units: 118,909 

Number of Observations: 10,114 

Number of Reports with Recommended Violation Defects: 59 

Number of Recommended Violation Defects: 84 

Number of Inspection Days: 1,824 

3. Probable Class III Railroads

Number Of Inspection Reports: 13,714 

Defects: 48,879 

Units: 388,084 

Number of Observations: 58,329 

Number of Reports with Recommended Violation Defects: 301 

Number of Recommended Violation Defects: 581 

Number of Inspection Days: 12,037 

5 The total number of inspection days for Class I Railroads in II.C.1 of this report is less than the sum of all the 

individual Class I railroads’ inspection days cited in II.D.1-8 of this report because FRA inspectors may visit more 

than one Class I railroad in a day. The same is true for the total number of inspection days for railroads FRA 

believes are Class II and Class III railroads. See note six for an explanation regarding FRA’s determination of Class 

I, Class II and Class III railroads. 6 FRA has identified seven of the eight Class I railroads based on information they filed with the Surface 

Transportation Board (STB) for calendar year 2021—the latest full year available—regarding their annual operating 

revenues. See STB Web site (http://www.stb.dot.gov) under https://prod.stb.gov/reports-data/economicdata/annual-report-financial-data/, which provides a list of railroads that have filed such information by year. STB 

requires such filings only from Class I railroads. See 49 C.F.R. § 1241.11 and Ex Parte No. 393 (Sub-No. 2), 

decided Oct. 28, 1988, 1988 WL 224990 (I.C.C.). Therefore, FRA identified the eighth Class I railroad, Amtrak, 

based on FRA research of other data. Generally, Class II and III railroads are not required to report their annual 

operating revenues to STB. As a result, FRA identified railroads that are probably Class II and Class III railroads 

based on its research of railroad revenues, which does not cover commuter railroads. FRA concludes that the 

following railroads are probably Class II railroads: Alaska Railroad Corp.; Buffalo & Pittsburgh Railroad, Inc.; 

Florida East Coast Railway Co.; Indiana Rail Road Co.; Iowa Interstate Railroad, Ltd.; Montana Rail Link; Paducah 

& Louisville Railway Co.; Springfield Terminal Railway Co. and other regional railroads (including Boston & 

Maine Corp., Maine Central Railroad Co., Pan Am Southern LLC, and Portland Terminal Co.); Rapid City, Pierre & 

Eastern Railroad, Inc.; Wheeling & Lake Erie Railway Co.; and Wisconsin & Southern Railroad Co. Note that 

switching and terminal railroads are, by definition, Class III railroads, without regard to their annual operating 

revenues. 49 C.F.R. § 1201.1-1(d).
9

 D. INSPECTIONS AND RECOMMENDED ENFORCEMENT ACTIONS,

SORTED BY CLASS I RAILROAD

1. BNSF Railway Company

Number of Inspection Reports: 8,515 

Defects: 31,241 

Units: 377,987 

Number of Observations: 39,358 

Number of Reports with Recommended Violation Defects: 467 

Number of Recommended Violation Defects: 919 

Number of Inspection Days: 7,452 

2. Canadian National Railway/Grand Trunk Corporation

Number of Inspection Reports: 1,775 

Defects: 8,522 

Units: 83,516 

Number of Observations: 8,880 

Number of Reports with Recommended Violation Defects: 91 

Number of Recommended Violation Defects: 241 

Number of Inspection Days: 1,590 

3. Canadian Pacific Railway/Soo Line Railroad Company

Number of Inspection Reports: 1,204 

Defects: 6,170 

Units: 70,306 

Number of Observations: 6,111 

Number of Reports with Recommended Violation Defects: 62 

Number of Recommended Violation Defects: 174 

Number of Inspection Days: 1,072 

4. CSX Transportation, Inc.

Number of Inspection Reports: 7,983 

Defects: 31,597 

Units: 402,813 

Number of Observations: 39,374 

Number of Reports with Recommended Violation Defects: 363 

Number of Recommended Violation Defects: 3,044 

Number of Inspection Days: 7,143 
10

5. The Kansas City Southern Railway Company

Number of Inspection Reports: 1,037 

Defects: 3,847 

Units: 63,888 

Number of Observations: 5,162 

Number of Reports with Recommended Violation Defects: 27 

Number of Recommended Violation Defects: 82 

Number of Inspection Days: 931 

6. National Railroad Passenger Corporation (Amtrak)

Number of Inspection Reports: 1,555 

Defects: 3,060 

Units: 18,831 

Number of Observations: 7,927 

Number of Reports with Recommended Violation Defects: 23 

Number of Recommended Violation Defects: 35 

Number of Inspection Days: 1,220 

7. Norfolk Southern Railway Company

Number of Inspection Reports: 8,011 

Defects: 38,180 

Units: 383,124 

Number of Observations: 39,623 

Number of Reports with Recommended Violation Defects: 606 

Number of Recommended Violation Defects: 1,229 

Number of Inspection Days: 7,124 

8. Union Pacific Railroad Company

Number of Inspection Reports: 11,385 

Defects: 40,408 

Units: 531,466 

Number of Observations: 54,057 

Number of Reports with Recommended Violation Defects: 772 

Number of Recommended Violation Defects: 1,452 

Number of Inspection Days: 10,055 
11

 III. SUMMARIES OF CIVIL PENALTY INITIAL ASSESSMENTS, 

SETTLEMENTS, AND FINAL ASSESSMENTS IN FY 2022

A. IN GENERAL7

Summary 1

Summary 1 provides a broad overview of penalties FRA initially assessed during FY 2022, the 

initial penalty assessment for cases closed during FY 2022 and the amount of the settlement or 

the final assessment of civil penalty. FRA has transitioned to a paperless enforcement system, 

and under that system, a case includes only one violation report, and not multiple reports, as in 

the past.

Summary 1, below, provides the following:

• The number of violations for which FRA assessed a civil penalty in FY 2022 (through 

demand letters or, in hazmat cases, notices of probable violation);

• The number of violation reports that FRA declined to enforce in FY 2022 after legal 

review;

• The initial amount of civil penalties assessed in FY 2022 (the amount of the civil penalty 

specified in FRA’s demand letter or, for hazmat cases, a notice of probable violation that

was transmitted to a respondent (i.e., railroad, hazmat shipper, contractor, or individual 

that received the penalty assessment)) regardless of whether FRA closed the cases during 

FY 2022;

• The civil penalties FRA initially assessed (the “potential collectible amount” or “POCA” 

listed in in Appendix A) in all cases FRA settled or otherwise closed during FY 2022; 

and

• The total amount of civil penalties assessed or settled during FY 2022.8

Summary 2

To provide more transparency, Summary 2, below, shows initial assessment information only for 

those cases closed during FY 2022. All numbers in Summary 2 reflect the initial assessments 

that resulted in FY 2022 settlements or final assessments even though the initial 

assessments may have occurred in a prior fiscal year. This summary shows (1) the difference 

between the initial amount of civil penalties assessed and the settlement or final assessment 

amount, and (2) the difference between the revised assessment amount (or what Appendix A 

describes as the “provable collectible amount” or “PRCA”) and the final assessment or 

settlement amount. The revised assessment amount is the amount FRA calculated it could 

legally collect after evaluating the facts of the violation. 

Caveat: The number of violation reports in a single case may range from one to five or more, 

depending on a number of factors, and a single violation report may allege one or more 

violations. Therefore, the number of cases with civil penalties initially assessed or settled or 

finally assessed during a specific period cannot be used for a realistic comparison. This report 

provides the information, as required by the statute, in Summary 1 and Summary 2. However, 

7 The totals in this section exclude civil penalties against individuals. Those are addressed in section IV.A. of this 

report.

8 In this report, FRA rounded settlement amounts to the nearest whole dollar.
12 

the number of violations provides a better opportunity for standardized review and comparison 

than does the number of cases. 

B. SUMMARY 1—BRIEF SUMMARY, WITH FOCUS ON INITIAL 

ASSESSMENTS TRANSMITTED

Total number of cases with civil penalties initially assessed in FY 2022: 4,530 

Total number of violations with civil penalties initially assessed in FY 2022: 4,777 

Total number of violation reports declined during legal review in FY 2022: 20 

Total amount of civil penalties initially assessed (POCA) for violations 

in cases transmitted in FY 2022: $21,592,126 

Total amount of civil penalties initially assessed (POCA) for violations 

in cases finally assessed or settled in FY 2022: $19,816,042 

\ 

Total final civil penalty assessment or settlement in FY 2022: $14,152,533 

C. BREAKDOWN OF INITIAL ASSESSMENTS IN SUMMARY 19

1. For Each Class I Railroad Individually in FY 2022

AMTRAK

Number of cases with civil penalties initially assessed: 12 

Number of violations with civil penalties initially assessed: 12 

Number of violation reports declined during legal review: 0 

Initial amount of civil penalty assessed: $38,000 

BNSF RAILWAY COMPANY

Number of cases with civil penalties initially assessed: 595 

Number of violations with civil penalties initially assessed: 611 

Number of violation reports declined during legal review: 4 

Initial amount of civil penalty assessed: $2,237,500 

9 The individual subtotals in this section may not correspond to the aggregate totals in Summary 1 due to nonspecific categorization of certain cases. 
13 

CANADIAN NATIONAL RAILWAY/GRAND TRUNK CORPORATION

Number of cases with civil penalties initially assessed: 116 

Number of violations with civil penalties initially assessed: 117 

Number of violation reports declined during legal review: 0 

Initial amount of civil penalty assessed: $416,500 

CANADIAN PACIFIC RAILWAY/SOO LINE RAILROAD COMPANY

Number of cases with civil penalties initially assessed: 80 

Number of violations with civil penalties initially assessed: 81 

Number of violation reports declined during legal review: 0 

Initial amount of civil penalty assessed: $559,000 

CSX TRANSPORTATION, INC.

Number of cases with civil penalties initially assessed: 420 

Number of violations with civil penalties initially assessed: 427 

Number of violation reports declined during legal review: 7 

Initial amount of civil penalty assessed: $2,103,818 

THE KANSAS CITY SOUTHERN RAILWAY COMPANY

Number of cases with civil penalties initially assessed: 57 

Number of violations with civil penalties initially assessed: 57 

Number of violation reports declined during legal review: 2 

Initial amount of civil penalty assessed: $224,000 
14 

NORFOLK SOUTHERN RAILWAY COMPANY

Number of cases with civil penalties initially assessed: 474 

Number of violations with civil penalties initially assessed: 493 

Number of violation reports declined during legal review: 2 

Initial amount of civil penalty assessed: $2,207,500 

UNION PACIFIC RAILROAD COMPANY

Number of cases with civil penalties initially assessed: 1,367 

Number of violations with civil penalties initially assessed: 1,403 

Number of violation reports declined during legal review: 2 

Initial amount of civil penalty assessed: $5,743,250 

2. For Probable Class II Railroads in the Aggregate in FY 2022

Number of cases with civil penalties initially assessed: 69 

Number of violations with civil penalties initially assessed: 70 

Number of violation reports declined during legal review: 0 

Initial amount of civil penalty assessed: $397,000 

3. For Probable Class III Railroads in the Aggregate in FY 202210 

Number of cases with civil penalties initially assessed: 394 

Number of violations with civil penalties initially assessed: 429 

Number of violation reports declined during legal review: 3 

Initial amount of civil penalty assessed: $1,915,000 

10 This category may be over-inclusive as STB jurisdiction may not extend to some of the commuter railroads that 

FRA has listed as Class III railroads. Regardless, the “Total final civil penalty assessment or settlement in FY 2022” 

amount remains correct as FRA includes data from enforcement actions against regulated entities that are otherwise 

not subject to STB jurisdiction.
15

4. For Hazmat Shippers in the Aggregate in FY 2022

Number of cases with civil penalties initially assessed: 796

Number of violations with civil penalties initially assessed: 890

Number of violation reports declined during legal review: 2

Initial amount of civil penalty assessed: $4,846,000

5. For Contractors in the Aggregate in FY 2022

Number of cases with civil penalties initially assessed: 57 5755

Number of violations with civil penalties initially assessed: 65

Number of violation reports declined during legal review: 1

Initial amount of civil penalty assessed: $346,500

6. For Other Cases in the Aggregate in FY 202211

Number of cases with civil penalties initially assessed: 38

Number of violations with civil penalties initially assessed: 47

Number of violation reports declined during legal review: 1

Initial amount of civil penalty assessed: $178,058

11 The category of “other cases” includes all hazardous materials civil penalty cases against respondents that are 

coded in FRA’s railroad enforcement system as contractors rather than shippers. Some entities have been classified 

as contractors based on criteria unrelated to the shipment of hazardous materials but perform functions under 

hazardous materials regulations that are associated with shippers.
16 

D. SUMMARY 2—MORE DETAILED SUMMARY OF SETTLEMENTS AND 

FINAL ASSESSMENTS OF CIVIL PENALTIES IN FY 2022

Number of cases closed: 4,107 

Number of violations in cases closed: 4,353 

Initial amount of civil penalty assessed for cases closed (POCA): $19,816,042 

Final amount of civil penalty assessed or settlement

for cases closed: $14,152,533 

Amount terminated (generally due to legal defenses presented 

during settlement negotiations): $940,955 

Amount of revised assessment after terminations (PRCA): $18,875,087 

Difference between initial civil penalty assessment (POCA) and 

final assessment or settlement amount for cases closed: $5,663,509 

Difference between revised assessment (PRCA) and 

final assessment or settlement amount for cases closed: $4,722,554 

E. BREAKDOWN OF SETTLEMENTS AND FINAL ASSESSMENTS

IN SUMMARY 212

1. For Each Class I Railroad Individually in FY 2022

AMTRAK

Number of cases closed: 13 

Number of violations in cases closed: 13 

Initial amount of civil penalty assessed for cases closed (POCA): $44,500 

Final amount of civil penalty assessed or settlement

for cases closed: $34,800 

Amount terminated (generally due to legal defenses 

presented during settlement negotiations): $0 

Amount of revised assessment after terminations (PRCA): $44,500 

Difference between initial civil penalty assessment (POCA) and 

final assessment or settlement amount for cases closed: $9,700 

12 The individual subtotals in this section may not correspond to the aggregate totals in Summary 2 due to nonspecific categorization of certain cases. 
17 

Difference between revised assessment (PRCA) and 

final assessment or settlement amount for cases closed: $9,700 

BNSF RAILWAY COMPANY

Number of cases closed: 544 

Number of violations in cases closed: 557 

Initial amount of civil penalty assessed for cases closed (POCA): $2,024,500 

Final amount of civil penalty assessed or settlement

for cases closed: $1,483,967 

Amount terminated (generally due to legal defenses

presented during settlement negotiations): $46,000 

Amount of revised assessment after terminations (PRCA): $1,978,500 

Difference between initial civil penalty assessment (POCA) and 

final assessment or settlement amount for cases closed: $540,533 

Difference between revised assessment (PRCA) and 

final assessment or settlement amount for cases closed: $494,533 

CANADIAN NATIONAL RAILWAY/GRAND TRUNK CORPORATION

Number of cases closed: 100 

Number of violations in cases closed: 101 

Initial amount of civil penalty assessed for cases closed (POCA): $368,500 

Final amount of civil penalty assessed or settlement

for cases closed: $266,262 

Amount terminated (generally due to legal defenses

presented during settlement negotiations): $6,000 

Amount of revised assessment after terminations (PRCA): $362,500 

Difference between initial civil penalty assessment (POCA) and 

final assessment or settlement amount for cases closed: $102,238 

Difference between revised assessment (PRCA) and final

assessment or settlement amount for cases closed: $96,238 
18 

CANADIAN PACIFIC RAILWAY/SOO LINE RAILROAD COMPANY

Number of cases closed: 64 

Number of violations in cases closed: 64 

Initial amount of civil penalty assessed for cases closed (POCA): $328,500 

Final amount of civil penalty assessed or settlement

for cases closed: $227,900 

Amount terminated (generally due to legal defenses

presented during settlement negotiations): $0 

Amount of revised assessment after terminations (PRCA): $328,500 

Difference between initial civil penalty assessment (POCA) and 

final assessment or settlement amount for cases closed: $100,600 

Difference between revised assessment (PRCA) and final

assessment or settlement amount for cases closed: $100,600 

CSX TRANSPORTATION, INC.

Number of cases closed: 395 

Number of violations in cases closed: 414 

Initial amount of civil penalty assessed for cases closed (POCA): $1,960,096 

Final amount of civil penalty assessed or settlement

for cases closed: $1,385,810 

Amount terminated (generally due to legal defenses

presented during settlement negotiations): $61,500 

Amount of revised assessment after terminations (PRCA): $1,898,596 

Difference between initial civil penalty assessment (POCA) and 

final assessment or settlement amount for cases closed: $574,286 

Difference between revised assessment (PRCA) and final

assessment or settlement amount for cases closed: $512,786 
19 

THE KANSAS CITY SOUTHERN RAILWAY COMPANY

Number of cases closed: 19 

Number of violations in cases closed: 20 

Initial amount of civil penalty assessed for cases closed (POCA): $75,500 

Final amount of civil penalty assessed or settlement

for cases closed: $54,025 

Amount terminated (generally due to legal defenses

presented during settlement negotiations): $5,000 

Amount of revised assessment after terminations (PRCA): $70,500 

Difference between initial civil penalty assessment (POCA) and 

final assessment or settlement amount for cases closed: $21,475 

Difference between revised assessment (PRCA) and final

assessment or settlement amount for cases closed: $16,475 

NORFOLK SOUTHERN RAILWAY COMPANY

Number of cases closed: 416 

Number of violations in cases closed: 423 

Initial amount of civil penalty assessed for cases closed (POCA): $1,995,500 

Final amount of civil penalty assessed or settlement

for cases closed: $1,420,785 

Amount terminated (generally due to legal defenses

presented during settlement negotiations): $21,000 

Amount of revised assessment after terminations (PRCA): $1,974,500 

Difference between initial civil penalty assessment (POCA) and 

final assessment or settlement amount for cases closed: $574,715 

Difference between revised assessment (PRCA) and final 

assessment or settlement amount for cases closed: $553,715 \ 
20 

UNION PACIFIC RAILROAD COMPANY

Number of cases closed: 1,288 

Number of violations in cases closed: 1,332 

Initial amount of civil penalty assessed for cases closed (POCA): $5,420,248 

Final amount of civil penalty assessed or settlement

for cases closed: $3,913,736 

Amount terminated (generally due to legal defenses

presented during settlement negotiations): $30,000 

Amount of revised assessment after terminations (PRCA): $5,390,248 

Difference between initial civil penalty assessment (POCA) and 

final assessment or settlement amount for cases closed: $1,506,512 

Difference between revised assessment (PRCA) and final 

assessment or settlement amount for cases closed: $1,476,512 

2. For Probable Class II Railroads in the Aggregate in FY 2022

Number of cases closed: 82 

Number of violations in cases closed: 83 

Initial amount of civil penalty assessed for cases closed (POCA): $410,500 

Final amount of civil penalty assessed or settlement

for cases closed: $280,390 

Amount terminated (generally due to legal defenses

presented during settlement negotiations): $39,000 

Amount of revised assessment after terminations (PRCA): $371,500 

Difference between initial civil penalty assessment (POCA) and 

final assessment or settlement amount for cases closed: $130,110 

Difference between revised assessment (PRCA) and final

assessment or settlement amount for cases closed: $91,110 

3. For Probable Class III Railroads in the Aggregate in FY 2022 

Number of cases closed: 402 

Number of violations in cases closed: 467 
21

Initial amount of civil penalty assessed for cases closed (POCA): $2,175,455

Final amount of civil penalty assessed or settlement

for cases closed: $1,225,145

Amount terminated (generally due to legal defenses

presented during settlement negotiations): $534,455

Amount of revised assessment after terminations (PRCA): $2,162,955

Difference between initial civil penalty assessment (POCA) and 

final assessment or settlement amount for cases closed: $950,310

Difference between revised assessment (PRCA) and final

assessment or settlement amount for cases closed: $415,895

4. For Hazmat Shippers in the Aggregate in FY 2022

Number of cases closed: 630

Number of violations in cases closed: 697

Initial amount of civil penalty assessed for cases closed (POCA): $3,992,743

Final amount of civil penalty assessed or settlement

for cases closed: $3,216,792

Amount terminated (generally due to legal defenses

presented during settlement negotiations): $145,000

Amount of revised assessment after terminations (PRCA): $3,847,743

Difference between initial civil penalty assessment (POCA) and 

final assessment or settlement amount for cases closed: $775,951

Difference between revised assessment (PRCA) and final

assessment or settlement amount for cases closed: $630,951

5. For Contractors in the Aggregate in FY 2022

Number of cases closed: 16

Number of violations in cases closed: 19

Initial amount of civil penalty assessed for cases closed (POCA): $51,500

Final amount of civil penalty assessed or settlement

for cases closed: $39,000

Amount terminated (generally due to legal defenses

presented during settlement negotiations): $3,000
22

Amount of revised assessment after terminations (PRCA): $48,500

Difference between initial civil penalty assessment (POCA) and 

final assessment or settlement amount for cases closed: $12,500

Difference between revised assessment (PRCA) and final

assessment or settlement amount for cases closed: $9,500

6. For Other Cases in the Aggregate in FY 202213

Number of cases closed: 61

Number of violations in cases closed: 76

Initial amount of civil penalty assessed for cases closed (POCA): $687,500

Final amount of civil penalty assessed or settlement

for cases closed: $420,650

Amount terminated (generally due to legal defenses

presented during settlement negotiations): $25,000

Amount of revised assessment after terminations (PRCA): $662,500

Difference between initial civil penalty assessment (POCA) and 

final assessment or settlement amount for cases closed: $266,850

Difference between revised assessment (PRCA) and final

assessment or settlement amount for cases closed: $241,850

13 The category of “other cases” includes all hazardous materials civil penalty cases against respondents that are 

coded in FRA’s railroad enforcement system as contractors rather than shippers. Some entities have been classified 

as contractors based on criteria unrelated to the shipment of hazardous materials but perform functions under 

hazardous materials regulations that are associated with shippers.
23

IV. ENFORCEMENT ACTIONS AGAINST INDIVIDUALS IN FY 2022

A. CIVIL PENALTY CASES AGAINST INDIVIDUALS IN THE AGGREGATE

Total number of civil penalty cases initially assessed in FY 2022: 0

Total number of violations with civil penalties initially

assessed in FY 2022: 0

Total initial amount of civil penalty assessed in FY 2022: $0

Number of civil penalty cases closed in FY 2022: 0

Total number of violations in cases closed in FY 2022: 0

Total initial amount of civil penalty assessed for cases

closed in FY 2022: $0

Total final amount of civil penalty assessed

(or settlement) for cases closed in FY 2022: $0

Amount terminated (generally due to legal defenses

presented during settlement negotiations) for cases

closed in FY 2022: $0

Amount of revised assessment (PRCA) after terminations: $0

Difference between revised civil penalty assessment (PRCA) and

final civil penalty assessment for cases closed in FY 2022: $0

Difference between initial amount of civil penalty

assessed (POCA) and final settlement amount for a

violation in a case closed in FY 2022: $0

B. OTHER ENFORCEMENT ACTIONS AGAINST INDIVIDUALS IN THE 

AGGREGATE

Number of notices of proposed disqualification

issued and served in FY 2022: 10

Number of proposed disqualification cases closed

in FY 2022: 8

Number of warning letters issued by Office of the

Chief Counsel in FY 2022: 1
24

V. DISCUSSION OF RAILROAD SAFETY—THE RELATIONSHIP

OF INSPECTIONS, ENFORCEMENT, AND ACCIDENTS OR INCIDENTS

In 2008, FRA was statutorily mandated to commission a report by an independent consultant 

examining FRA’s approach to achieving industry compliance with the Federal railroad safety 

laws and the hazmat transportation safety laws and their implementing regulations, and the role 

of civil penalties in that process.14 The final report, dated July 15, 2009, was entitled, “The 

Federal Railroad Administration’s Use of Civil Penalties in the Federal Railroad Safety 

Program.” This report concludes on page 13 that—

[t]he fair and professional conduct of an agency’s regulatory function requires the informed 

exercise of discretion beginning with the FRA inspector on the ground and continuing with 

FRA’s regional discipline specialist, the regional administrator, and headquarters officials 

in FRA’s Office of Railroad Safety and Office of Chief Counsel. This use of discretion 

helps ensure that the agency’s exercise of enforcement power is calibrated to achieve an 

effect that is proportional to the specific circumstances of a given violation. The final 

element of the agency’s discretion in the civil penalty context is the exercise of the power 

to compromise authorized and guided by law, directed by the Executive, and strongly 

encouraged the Judiciary.

FRA’s exercise of the statutory authority to compromise civil penalty assessments serves 

the purpose of encouraging compliance by ensuring that the enforcement process is 

proportional in those cases [in which FRA assesses penalties]. [Using] the enforcement 

hand, seen (as in the case of civil penalty assessments) or unseen (as during FRA 

inspectors’ daily interactions with railroad personnel regarding safety issues), as 

consistently as possible across the railroad industry . . . results in a rational, effective safety 

program.

As the independent consultant noted, FRA has long sought to determine whether enforcement 

actions measurably correlate with the imposition of civil penalties and with specific safety 

performance improvements. While the available data permits some measurement of safety 

improvements in a functional area covered by an entire rule or an entire safety program, the data 

cannot be used to determine whether detectable safety improvements are directly attributable to 

discrete civil penalties.15 Accordingly, FRA relies heavily upon the knowledge and expertise of 

its field inspectors who are most familiar with the unique attributes of specific railroad 

operations, geographic territories, facilities, and safety practices. Subjectively, their nuanced

perceptions and judgments indicate that issuing civil penalties yields observable improvements 

in safety practices and compliance with the law. However, it is important to note that civil 

penalties are not FRA’s only enforcement tool. 

Thus, while FRA cannot precisely quantify the impact of civil penalties, it carefully monitors 

railroad reactions and responses to enforcement activity, and adjusts the intensity and duration of 

focused oversight as necessary. FRA compiles and analyzes a vast amount of data derived from 

reports the regulated railroads prepare and file with FRA. However, the independent consultant’s 

report submitted to Congress found that the data FRA uses to identify and track safety trends is 

typically developed separately from regulatory provisions that ameliorate the conditions leading 

to particular accident causes that have civil penalties associated with them. Results of this 

14 Consolidated Appropriations Act, 2008 (H.R. 2764; Public Law 110-161), House Appropriations Committee 

Print, Division K—Transportation, Housing and Urban Development, and Related Agencies Appropriations Act, 

2008, Explanatory Statement, at 2367.

15 The Federal Railroad Administration’s Use of Civil Penalties in the Federal Railroad Safety Program (July 15, 

2009) at 40-41.
25

research found no meaningful correlation between specific accident cause codes and use of a 

civil penalty to enforce a specific regulatory provision, making statistically valid and reliable 

comparisons exceedingly difficult and statistically suspect or grossly inaccurate. 

In addition, examining FRA’s civil penalty enforcement in a vacuum, without considering the 

numerous other factors influencing positive safety outcomes, such as railroad management and 

individual rail worker behavior and activity, is not possible. One must consider FRA’s regulatory 

regime as a whole instead of as its component parts. Specific regulatory provisions can 

complement one another to minimize or prevent conditions that contribute to an accident. 

However, the complexity of the regulatory scheme may conceal the magnitude of any one 

regulatory provision’s contribution to the positive safety outcome. As stated in the independent 

consultant’s report on page 41—

[o]ne fruitful way to take a holistic view of the effects of the safety program is to look at 

accident rates over the long term. Rates, which are normalized by million train miles 

traveled, more reliably indicate the true state of railroad safety than do raw accident 

numbers. As FRA began to promulgate the first versions of major rules such as track safety 

standards and power brakes in the 1970’s, the adverse trend in railroad safety was slowed 

and then sharply reversed. There are few sharp lines of demarcation because railroads and 

shippers often began to modify their behavior during the rulemaking process; a new safety 

rule typically takes effect a considerable time after it is issued; and enforcement can occur 

only after the effective date of the rule.
26 

VI. SUMMARY AND ANALYSIS OF OPERATING CREW 

CERTIFICATION CASES

A. OPERATING CREW REVIEW BOARD (OCRB)

Petitions for relief filed with the OCRB in FY 2022: 35 

[16 Conductor + 19 Locomotive Engineer] 

Decisions issued by the OCRB in FY 2022: 18 

[8 Conductor + 10 Locomotive Engineer] 

[5 Conductor + 2 Locomotive Engineer petitions were withdrawn] 

Average length of time for decision in FY 2022: 317 days from the date petition filed16 

(184 days from the date of the railroad’s 

response to the appeal to the date that a 

decision was issued17) 

B. ADMINISTRATIVE HEARINGS

Number of pending cases before the 

Administrative Hearing Officer (AHO) as of October 1, 2021: 1 

Number of requests for review 

by the AHO received during FY 2022: 1 

Number of cases closed by the AHO during FY 2022:18 0 

Number of pending AHO cases as of October 1, 2022: 2 

Average length of time for decision or other disposition: N/A

C. APPEALS TO THE ADMINISTRATOR

Appeals to the Administrator from the AHO decisions filed in FY 2022: 0 

Number of Appeals Pending during FY 2022: 2 

(as of October 1, 2022, there were 2 cases pending) 

Decisions issued by the Administrator during FY 2022: 0 

Average length of time for decision issued in FY 2022: N/A

(from close of record to decision) 

16 The OCRB endeavors to render a decision on each petition within 180 days from the date that the railroad’s 

response is received or from the date upon which the railroad’s response period has lapsed, which equates to 240 

days from the date the petition is filed. This excludes any delay issuing an interim order may cause, where one or 

more of the parties initially provided incomplete information. Due to requests granted through emergency waivers, 

each railroad is allowed an additional 60 days to file its response, and thus the OCRB’s goals for rendering a 

decision during most of this period equate to 300 days from the date the petition is filed. 17 See preceding footnote. 18 The number of cases the AHO closed includes cases closed by decision, stipulation, or dismissal.
27

VII. SUMMARY AND ANALYSIS OF ADMINISTRATIVE HEARING 

CASES RELATED TO HAZMAT VIOLATIONS OR ENFORCEMENT 

ACTIONS AGAINST INDIVIDUALS

Number of hearings requested in FY 2022: 2

Number of hearing-request cases completed in FY 2022: 1

VIII. NUMBER OF CASES REFERRED TO THE ATTORNEY 

GENERAL FOR CIVIL OR CRIMINAL ENFORCEMENT

Number of cases referred to the Attorney General for civil enforcement in FY 2022: 0

Number of cases referred to the Attorney General for criminal enforcement in FY 2022: 0

IX. NUMBER AND SUBJECT MATTER OF COMPLIANCE 

ORDERS, EMERGENCY ORDERS, OR PRECURSOR AGREEMENTS

FRA issued no compliance orders, emergency orders, or precursor agreements in FY 2022.
APPENDIX A

“Railroad Safety Civil Penalty Cases Closed during Fiscal Year 

2022”
Federal Railroad Administration

OFFICE OF THE CHIEF COUNSEL

Office of Safety Law

RAILROAD SAFETY CIVIL PENALTY CASES

CLOSED DURING FISCAL YEAR 2022

 This report summarizes the disposition of all civil penalty cases for which the Federal 

Railroad Administration (FRA) reached an agreement to collect a civil penalty, issued an 

order requiring the payment of a civil penalty, or otherwise closed under the Federal railroad 

safety statutes and regulations the hazardous materials transportation laws (HMT) during 

fiscal year 2022. FRA closed cases under most of these statutes by settlement, and under the 

HMT generally by final orders of assessment. Total penalty settlements and final 

assessments against companies, summarized in this report, were as follows:

Railroad safety statutes (except HMT) $9,470,107

HMT $4,682,426

Total Civil Penalties $14,152,533

FRA collected no civil penalty settlements or final assessments from individuals for alleged 

violations of the railroad safety laws.

The Federal Railroad Safety Statutes and Regulations

 In the 1890s, Congress began regulating the railroad industry for safety purposes by 

enacting narrowly drawn laws to deal with discrete rail safety issues such as safety 

appliances and locomotive inspection. Having determined the need for more 

comprehensive regulation, Congress enacted the Federal Railroad Safety Act of 1970 

(FRSA), which granted rulemaking authority over "all areas of railroad safety . . . ." FRA 

has exercised this authority by issuing a wide variety of rail safety regulations. See Parts 

209 through 244, 270 through 272, and 299 of Title 49 of the Code of Federal Regulations. 

Civil penalties are an important means of enforcing those regulations and the safety 

statutes.

 In 1975, the Hazardous Materials Transportation Act (HMTA) added civil penalties to 

the criminal penalties already available for hazardous materials violations. HMTA 

regulations, although issued by the Department of Transportation's (DOT's) Pipeline and 

Hazardous Materials Safety Administration, are generally enforced by the DOT 

administration responsible for each mode of transportation, e.g., by FRA in cases involving 

the transportation or shipment of hazardous materials by rail. In 1994, Congress repealed 

the FRSA, HMTA, and other Federal railroad safety statutes and recodified them in title 49 

of the United States Code, chapters 51 and 201-213.

1
The Civil Penalty Process

 To promote safety compliance, FRA inspectors and participating States submit reports 

alleging violations of Federal safety and HMT laws and regulations to the Office of Safety 

Law of the Office of the Chief Counsel. This Office reviews the reports for legal 

sufficiency, aggregates those of one type containing one or more alleged violations into a 

single case, assesses a penalty for each alleged violation, and transmits the case to the 

railroad, shipper, individual, or other entity in a penalty demand letter or, if an HMT case, a 

Notice of Probable Violation. After a respondent in such a case has conducted its own 

investigation, and unless the respondent pays the full amount of the initial assessment, 

negotiations are held, during which the respondent presents defenses or arguments for 

mitigation and offers of settlement or final assessment are exchanged. In these negotiations, 

FRA focuses on applying the statutory assessment criteria to the facts of each case. When 

an agreement is reached, payment is generally due within 30 days of its execution. A more 

detailed statement of this process and FRA's enforcement policies are included in 49 CFR 

Part 209, Appendix A. Where settlement cannot be reached, FRA may refer cases to the 

Department of Justice for litigation. The Attorney General, with FRA's active participation, 

may bring suit to enforce the penalty assessed in the appropriate Federal court.

 HMT cases are normally concluded by FRA issuing an order of assessment predicated 

on a finding of a knowing violation. If an HMT case is not resolved informally, a 

respondent may request a formal hearing on FRA's allegations before a hearing officer 

designated by the Chief Counsel and then appeal an adverse decision to the Administrator 

of FRA before judicial litigation. 

 FRA ordinarily closes the vast majority of its civil penalty cases without need for 

litigation, consistent with the rail safety statutory scheme that promotes compromise based 

on specified settlement criteria. The negotiation process takes into account the strengths 

and weaknesses of each case and the overall goals of the safety program. We believe that 

collection of these penalties, while just one of many compliance tools FRA uses, 

contributes significantly to improving regulatory compliance and achieving safety program 

goals.

John T. Seguin

Assistant Chief Counsel for Safety

2
Abbreviations and Explanations of Terms Used in this Report

 The type of violation alleged in each civil penalty case can be identified using the 

following codes, one of which appears as a suffix to each case number:

AD Alcohol and Drug Use

AR Accident Reports Regulations

BSS Bridge Safety Standards

BW Bridge Worker Safety Standards

CC Conductor Certification Regulations

CIS Critical Incident Stress

EP Railroad Safety Enforcement

EQ Engineer Qualifications

FCS Freight Car Safety Standards

GC Grade Crossing Signal Safety

GS Safety Glazing Standards

HMT Hazardous Materials Regulations

HS Hours of Service Laws

HSR Hours of Service Record Keeping

LI Locomotive Safety Standards

PEP Passenger Train Emergency Preparedness

PEQ Passenger Equipment Safety Standards

RMM Roadway Maintenance Machines

ROP Railroad Operating Practices

ROR Railroad Operating Rules

RSP Railroad Standard Procedures

RW Roadway Worker Protection

SA Safety Appliance Statutes

SI Signal Inspection Regulations and Positive Train Control

TH Train Horn/Quiet Zone

TS Track Safety Standards

3
FRA identifies railroads and other respondents by a respondent code 

(see the legend provided at the end of this report), which appears as the 

letters in the case number after "FRA No.". FRA identifies hazardous 

materials and emergency order cases involving shippers by a respondent 

code beginning with the letter "Z". FRA identifies cases involving 

contractors by a respondent code beginning with the letter "X". 

The column labeled "POCA" shows the initial penalty assessed in the case. 

The column labeled "PRCA" shows the total amount of the initial 

assessment for alleged violations that FRA concluded it would be able to 

sustain if the case were litigated. There are two situations when PRCA does 

not equal POCA. The first would be if FRA concluded one or more of the 

violations initially alleged could likely not be sustained. FRA considers 

such violations "terminated." The second would be if FRA determined the 

violation could be sustained but the initial penalty assessment for the 

violation was incorrect. For such cases, FRA corrects the penalty amount 

and the violations are considered "partially terminated." 

Cases against individuals (who are liable for civil penalties for willful 

violations) are identified by the prefix "Indpen" and are listed separately. 

The "Comments" column shows the violation number of terminated or 

partially terminated violations.

4
FRA Civil Penalty Cases against Individuals

Closed in Fiscal Year 2022

FRA No. Initial Penalty Settlement Amount Settlement Date

None 

5
Federal Railroad Administration

Safety Cases Closed in FY 2022

FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

3MCZ 2020-001(HMT) 2 $4,000 $4,000 $3,000 3/8/2022

3MCZ 2020-002(HMT) 1 $2,000 $2,000 $1,500 3/8/2022

3MCZ 2021-001(HMT) 1 $2,000 $2,000 $900 3/10/2022

ABCX 2021-001(HMT) 1 $2,500 $2,500 $2,500 3/18/2022

AGR 2019-002(HSR) 1 $2,000 $2,000 $1,500 9/28/2022

AGR 2021-004(HMT) 1 $10,000 $10,000 $7,800 9/28/2022

AGR 2021-005(HMT) 1 $5,000 $5,000 $4,000 9/28/2022

AGR 2021-006(SA) 1 $2,500 $2,500 $1,800 9/28/2022

AKDN 2020-001(AD) 1 $2,500 $2,500 $2,500 11/19/2021

AKDN 2021-001(BSS) 1 $9,500 $9,500 $9,500 8/29/2022

ALE 2021-011(RSP) 1 $9,500 $9,500 $8,075 12/2/2021

ALE 2021-012(ROP) 1 $7,500 $7,500 $6,375 12/2/2021

ALE 2022-001(RW) 7 $20,000 $20,000 $15,000 4/8/2022

ALS 2020-017(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

ALS 2020-019(SA) 1 $5,000 $5,000 $3,600 9/30/2022

ALS 2020-021(HS) 1 $1,000 $1,000 $892 9/30/2022

ALS 2020-023(SA) 1 $2,500 $2,500 $1,800 9/30/2022

ALS 2020-024(SA) 1 $5,000 $5,000 $3,600 9/30/2022

ALS 2020-025(HS) 1 $1,000 $1,000 $892 9/30/2022

ALS 2020-026(SA) 1 $2,500 $2,500 $1,800 9/30/2022

ALS 2020-027(SA) 1 $5,000 $5,000 $3,600 9/30/2022

ALS 2020-028(SA) 1 $2,500 $2,500 $1,800 9/30/2022

ALS 2021-001(SA) 1 $2,500 $2,500 $1,800 9/30/2022

ALS 2021-002(SA) 1 $5,000 $5,000 $3,600 9/30/2022

ALS 2021-003(SA) 1 $2,500 $2,500 $1,800 9/30/2022

ALS 2021-004(SA) 1 $5,000 $5,000 $3,600 9/30/2022

6
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

ALS 2021-005(SA) 1 $5,000 $5,000 $3,600 9/30/2022

ALS 2021-006(SA) 1 $2,500 $2,500 $1,800 9/30/2022

ALS 2021-007(LI) 1 $1,500 $1,500 $1,080 9/30/2022

ALS 2021-009(AD) 1 $2,500 $2,500 $1,800 9/30/2022

ALS 2021-010(SA) 1 $2,500 $2,500 $1,800 9/30/2022

ALS 2021-012(SA) 1 $5,000 $5,000 $3,600 9/30/2022

ALS 2021-013(SA) 1 $5,000 $5,000 $3,600 9/30/2022

ALS 2022-004(SA) 1 $2,500 $2,500 $1,800 9/30/2022

ALS 2022-006(SA) 1 $2,500 $2,500 $1,800 9/30/2022

AM 2021-002(EQ) 1 $2,500 $2,500 $1,368 12/1/2021

AM 2021-003(EQ) 1 $2,500 $2,500 $1,368 12/1/2021

AM 2021-004(EQ) 1 $2,500 $2,500 $1,369 12/1/2021

AM 2021-005(EQ) 1 $1,000 $1,000 $920 12/1/2021

AM 2021-006(EQ) 1 $1,000 $1,000 $920 12/1/2021

AM 2021-007(CC) 1 $15,000 $15,000 $8,250 12/1/2021

AM 2021-008(CC) 1 $10,000 $10,000 $5,500 12/1/2021

AM 2021-009(FCS) 1 $5,000 $5,000 $2,500 11/9/2021

AM 2022-001(ROP) 1 $2,000 $2,000 $1,000 8/1/2022

AM 2022-002(ROP) 1 $7,500 $7,500 $3,750 8/1/2022

AR 2021-001(AD) 1 $2,500 $2,500 $2,500 12/9/2021

ATK 2021-004(RW) 1 $3,000 $3,000 $2,300 9/28/2022

ATK 2021-005(RW) 1 $2,000 $2,000 $1,600 9/28/2022

ATK 2021-006(ROP) 1 $7,500 $7,500 $5,850 9/28/2022

ATK 2021-007(HSR) 1 $1,000 $1,000 $950 9/28/2022

ATK 2021-008(HSR) 1 $1,000 $1,000 $950 9/28/2022

ATK 2021-009(RW) 1 $3,000 $3,000 $2,300 9/28/2022

ATK 2021-010(SA) 1 $2,500 $2,500 $1,950 9/28/2022

ATK 2021-011(ROP) 1 $7,500 $7,500 $5,800 9/28/2022

ATK 2022-001(ROP) 1 $7,500 $7,500 $5,800 9/28/2022

 7
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

ATK 2022-002(ROP) 1 $5,000 $5,000 $3,900 9/28/2022

ATK 2022-003(HS) 1 $1,500 $1,500 $1,200 9/28/2022

ATK 2022-004(HS) 1 $1,500 $1,500 $1,200 9/28/2022

ATK 2022-005(LI) 1 $1,500 $1,500 $1,000 9/28/2022

ATLQ 2022-001(HMT) 1 $2,000 $2,000 $2,000 9/9/2022

ATLR 2021-001(TS) 1 $7,000 $7,000 $908 1/17/2022

ATN 2021-001(RMM) 1 $10,000 $10,000 $6,500 5/9/2022

ATN 2022-001(TS) 1 $1,000 $1,000 $919 5/9/2022

ATN 2022-002(TS) 3 $3,000 $3,000 $2,757 4/4/2022

ATN 2022-003(TS) 1 $5,000 $5,000 $3,150 4/4/2022

ATN 2022-004(ROP) 1 $2,000 $2,000 $1,260 4/4/2022

AWRR 2021-001(TS) 2 $7,500 $7,500 $5,000 9/29/2022

AZCR 2020-001(SA) 1 $5,000 $5,000 $3,000 11/5/2021

AZER 2021-003(SA) 1 $2,500 $2,500 $1,750 9/28/2022

BB 2021-001(TS) 1 $2,500 $2,500 $1,500 2/15/2022

BDRV 2019-001(AD) 1 $2,500 $2,500 $1,900 4/18/2022

BDRV 2019-002(AD) 1 $3,000 $3,000 $2,250 4/18/2022

BDW 2021-001(HMT) 1 $5,000 $5,000 $3,500 2/23/2022

BHTQ 2020-001(HMT) 1 $10,000 $10,000 $10,000 4/29/2022

BIP 2021-001(HMT) 4 $33,500 $33,500 $20,000 3/23/2022

BIP 2021-002(HMT) 2 $9,000 $9,000 $7,500 3/23/2022

BJRY 2020-001(AD) 1 $5,000 $5,000 $5,000 3/8/2022

BLU 2021-002(GC) 1 $2,500 $2,500 $2,000 9/29/2022

BM 2021-001(GC) 1 $5,000 $5,000 $4,000 9/27/2022

BM 2021-002(TS) 1 $5,000 $5,000 $4,250 9/27/2022

BM 2022-001(TS) 1 $5,000 $5,000 $4,250 9/27/2022

BNSF 2017-639(HSR) 1 $1,000 $1,000 $853 9/30/2022

BNSF 2017-710(HSR) 1 $1,000 $1,000 $853 9/30/2022

BNSF 2018-439(ROP) 1 $2,000 $2,000 $1,460 9/30/2022

 8
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

BNSF 2018-647(AD) 1 $17,500 $17,500 $6,650 9/30/2022

BNSF 2018-654(AD) 1 $2,500 $2,500 $950 9/30/2022

BNSF 2018-655(AD) 1 $2,500 $2,500 $950 9/30/2022

BNSF 2018-659(AD) 1 $2,500 $2,500 $950 9/30/2022

BNSF 2019-061(AD) 1 $10,000 $10,000 $3,800 9/30/2022

BNSF 2019-065(AD) 1 $5,000 $5,000 $1,900 9/30/2022

BNSF 2019-081(AD) 1 $5,000 $5,000 $1,900 9/30/2022

BNSF 2019-085(AD) 1 $7,500 $7,500 $2,850 9/30/2022

BNSF 2019-089(AD) 1 $2,500 $2,500 $950 9/30/2022

BNSF 2019-093(AD) 1 $5,000 $5,000 $1,900 9/30/2022

BNSF 2019-378(HMT) 2 $10,000 $10,000 $7,300 9/30/2022

BNSF 2019-433(HMT) 1 $25,000 $25,000 $25,000 9/30/2022

BNSF 2019-483(AR) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2019-488(AR) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2019-512(AR) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2019-547(HMT) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2020-012(EP) 1 $1,000 $1,000 $892 9/30/2022

BNSF 2020-047(HMT) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2020-052(HMT) 1 $4,000 $4,000 $2,920 9/30/2022

BNSF 2020-057(HMT) 1 $7,500 $7,500 $5,475 9/30/2022

BNSF 2020-077(AR) 1 $1,000 $1,000 $1,000 9/30/2022

BNSF 2020-102(HMT) 1 $7,500 $7,500 $5,475 9/30/2022

BNSF 2020-142(HMT) 1 $5,000 $5,000 $3,825 9/30/2022

BNSF 2020-157(LI) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2020-167(ROP) 1 $2,000 $2,000 $1,460 9/30/2022

BNSF 2020-172(RW) 1 $6,000 $6,000 $4,380 9/30/2022

BNSF 2020-182(TS) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2020-192(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2020-197(TS) 1 $2,500 $2,500 $1,913 9/30/2022

9
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

BNSF 2020-202(LI) 2 $5,000 $5,000 $3,650 9/30/2022

BNSF 2020-207(ROP) 1 $9,500 $9,500 $6,935 9/30/2022

BNSF 2020-222(ROP) 1 $7,500 $7,500 $5,475 9/30/2022

BNSF 2020-227(LI) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2020-242(FCS) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2020-252(ROP) 1 $2,000 $2,000 $1,460 9/30/2022

BNSF 2020-267(TS) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2020-287(ROP) 1 $2,000 $2,000 $1,460 9/30/2022

BNSF 2020-307(TS) 1 $7,500 $7,500 $5,738 9/30/2022

BNSF 2020-318(HMT) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2020-322(HMT) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2020-327(RW) 1 $3,000 $3,000 $2,280 9/30/2022

BNSF 2020-328(RW) 1 $3,000 $3,000 $2,280 9/30/2022

BNSF 2020-337(ROP) 1 $9,500 $9,500 $6,935 9/30/2022

BNSF 2020-342(ROP) 1 $2,000 $2,000 $1,460 9/30/2022

BNSF 2020-361(FCS) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2020-371(AR) 1 $1,000 $1,000 $1,000 9/30/2022

BNSF 2020-374(ROP) 1 $7,500 $7,500 $5,475 9/30/2022

BNSF 2020-377(ROP) 1 $7,500 $7,500 $6,350 9/30/2022

BNSF 2020-389(HMT) 1 $3,500 $3,500 $2,555 9/30/2022

BNSF 2020-390(ROP) 1 $9,500 $9,500 $6,935 9/30/2022

BNSF 2020-391(ROP) 1 $5,000 $0 $0 9/30/2022 Case 

Terminated

BNSF 2020-393(FCS) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2020-396(HS) 1 $2,000 $2,000 $1,784 9/30/2022

BNSF 2020-399(ROP) 1 $9,500 $9,500 $6,935 9/30/2022

BNSF 2020-401(ROP) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2020-404(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2020-405(LI) 1 $1,000 $1,000 $892 9/30/2022

BNSF 2020-406(ROP) 1 $7,500 $7,500 $3,750 9/30/2022

10
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

BNSF 2020-410(LI) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2020-411(LI) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2020-420(ROP) 1 $2,000 $2,000 $1,460 9/30/2022

BNSF 2020-425(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2020-426(GC) 1 $5,000 $5,000 $4,000 9/30/2022

BNSF 2020-430(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2020-431(LI) 1 $1,500 $1,500 $1,095 9/30/2022

BNSF 2020-435(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2020-436(RW) 1 $2,000 $2,000 $1,460 9/30/2022

BNSF 2020-439(RSP) 1 $1,000 $1,000 $892 9/30/2022

BNSF 2020-443(CC) 1 $7,500 $7,500 $5,475 9/30/2022

BNSF 2020-444(TS) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2020-449(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2020-454(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2020-459(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2020-464(FCS) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2020-469(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2020-474(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2020-480(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-001(HMT) 1 $2,000 $2,000 $1,460 9/30/2022

BNSF 2021-005(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-006(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-010(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-011(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-015(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-016(LI) 1 $1,000 $1,000 $892 9/30/2022

BNSF 2021-020(ROP) 1 $2,000 $2,000 $1,460 9/30/2022

BNSF 2021-021(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-025(ROP) 1 $2,000 $2,000 $1,460 9/30/2022

11
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

BNSF 2021-026(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-030(HS) 1 $2,000 $2,000 $1,784 9/30/2022

BNSF 2021-031(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-034(TS) 2 $6,000 $6,000 $4,542 9/30/2022

BNSF 2021-035(TS) 1 $2,500 $2,500 $1,913 9/30/2022

BNSF 2021-036(FCS) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-040(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-041(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-044(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-046(LI) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-049(ROP) 1 $2,000 $2,000 $1,460 9/30/2022

BNSF 2021-050(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-051(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-054(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-055(LI) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-056(LI) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-059(ROP) 1 $2,000 $2,000 $1,460 9/30/2022

BNSF 2021-060(HS) 1 $1,000 $1,000 $908 9/30/2022

BNSF 2021-061(HS) 1 $2,000 $2,000 $1,816 9/30/2022

BNSF 2021-064(TS) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-065(HS) 1 $2,000 $2,000 $1,784 9/30/2022

BNSF 2021-066(HSR) 1 $2,000 $2,000 $1,784 9/30/2022

BNSF 2021-069(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-070(HMT) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-071(LI) 1 $1,000 $1,000 $892 9/30/2022

BNSF 2021-074(GC) 1 $5,000 $5,000 $4,000 9/30/2022

BNSF 2021-075(SI) 1 $5,000 $5,000 $4,000 9/30/2022

BNSF 2021-076(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-079(SA) 1 $5,000 $5,000 $3,650 9/30/2022

12
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

BNSF 2021-080(FCS) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-084(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-085(LI) 1 $1,000 $1,000 $892 9/30/2022

BNSF 2021-086(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-089(LI) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-090(LI) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-091(ROP) 1 $2,000 $2,000 $1,460 9/30/2022

BNSF 2021-093(LI) 1 $10,000 $5,000 $5,000 9/30/2022 Terminated 

Violations: 

1

BNSF 2021-094(TS) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-097(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-098(SA) 1 $10,000 $10,000 $7,300 9/30/2022

BNSF 2021-099(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-102(HS) 1 $2,000 $2,000 $1,784 9/30/2022

BNSF 2021-103(HS) 1 $2,000 $2,000 $1,784 9/30/2022

BNSF 2021-104(ROP) 1 $7,500 $7,500 $5,475 9/30/2022

BNSF 2021-107(LI) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-109(ROP) 1 $2,000 $2,000 $1,460 9/30/2022

BNSF 2021-110(FCS) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-112(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-113(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-115(HS) 1 $2,000 $2,000 $1,784 9/30/2022

BNSF 2021-118(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-119(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-121(HS) 1 $1,000 $1,000 $908 9/30/2022

BNSF 2021-123(HS) 1 $1,000 $1,000 $908 9/30/2022

BNSF 2021-125(HS) 1 $1,000 $1,000 $908 9/30/2022

BNSF 2021-126(HS) 1 $1,000 $1,000 $908 9/30/2022

BNSF 2021-127(HS) 1 $2,000 $2,000 $1,816 9/30/2022

13
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

BNSF 2021-128(HS) 1 $2,000 $2,000 $1,816 9/30/2022

BNSF 2021-129(HS) 1 $1,000 $1,000 $908 9/30/2022

BNSF 2021-130(HS) 1 $2,000 $2,000 $1,816 9/30/2022

BNSF 2021-131(HS) 2 $2,000 $2,000 $1,816 9/30/2022

BNSF 2021-132(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-133(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-135(HS) 1 $1,000 $1,000 $908 9/30/2022

BNSF 2021-136(HS) 1 $1,000 $1,000 $892 9/30/2022

BNSF 2021-137(HS) 1 $1,000 $1,000 $908 9/30/2022

BNSF 2021-140(HS) 1 $2,000 $2,000 $1,816 9/30/2022

BNSF 2021-141(HS) 1 $2,000 $2,000 $1,816 9/30/2022

BNSF 2021-142(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-145(HS) 1 $2,000 $2,000 $1,816 9/30/2022

BNSF 2021-146(HSR) 1 $2,000 $2,000 $1,784 9/30/2022

BNSF 2021-147(HS) 1 $1,000 $1,000 $908 9/30/2022

BNSF 2021-150(HS) 1 $1,000 $1,000 $908 9/30/2022

BNSF 2021-151(HS) 1 $1,000 $1,000 $892 9/30/2022

BNSF 2021-152(HS) 1 $2,000 $2,000 $1,816 9/30/2022

BNSF 2021-154(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-155(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-156(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-157(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-158(HS) 1 $2,000 $2,000 $1,816 9/30/2022

BNSF 2021-159(GC) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-160(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-161(ROP) 1 $7,500 $7,500 $5,475 9/30/2022

BNSF 2021-162(HS) 1 $2,000 $2,000 $1,784 9/30/2022

BNSF 2021-163(ROP) 1 $2,000 $2,000 $1,460 9/30/2022

BNSF 2021-164(ROP) 1 $7,500 $7,500 $5,475 9/30/2022

14
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

BNSF 2021-165(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-166(LI) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-167(LI) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-168(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-171(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-172(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-173(HS) 1 $1,000 $1,000 $908 9/30/2022

BNSF 2021-174(HS) 1 $2,000 $2,000 $1,816 9/30/2022

BNSF 2021-175(HS) 1 $2,000 $2,000 $1,816 9/30/2022

BNSF 2021-176(HSR) 1 $2,000 $2,000 $1,816 9/30/2022

BNSF 2021-177(LI) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-178(ROP) 1 $7,500 $7,500 $908 9/30/2022

BNSF 2021-179(ROP) 1 $7,500 $7,500 $5,475 9/30/2022

BNSF 2021-180(HS) 1 $2,000 $2,000 $1,816 9/30/2022

BNSF 2021-181(HMT) 1 $2,000 $2,000 $1,460 9/30/2022

BNSF 2021-182(TS) 1 $1,000 $1,000 $908 9/30/2022

BNSF 2021-183(ROP) 1 $2,000 $2,000 $1,460 9/30/2022

BNSF 2021-184(FCS) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-185(LI) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-186(LI) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-187(FCS) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-188(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-190(HS) 1 $2,000 $2,000 $1,816 9/30/2022

BNSF 2021-192(RSP) 1 $9,500 $5,500 $4,750 9/30/2022 Terminated 

Violations: 

1

BNSF 2021-193(ROP) 1 $9,500 $9,500 $6,935 9/30/2022

BNSF 2021-194(LI) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-195(HMT) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-196(SA) 1 $2,500 $2,500 $1,825 9/30/2022

15
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

BNSF 2021-197(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-198(HS) 1 $2,000 $2,000 $1,816 9/30/2022

BNSF 2021-199(HS) 1 $2,000 $2,000 $1,816 9/30/2022

BNSF 2021-200(HS) 1 $2,000 $2,000 $1,816 9/30/2022

BNSF 2021-201(HMT) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-202(FCS) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-203(SA) 1 $7,500 $7,500 $5,475 9/30/2022

BNSF 2021-204(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-205(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-206(RW) 1 $3,000 $3,000 $2,280 9/30/2022

BNSF 2021-207(TS) 1 $3,000 $3,000 $2,724 9/30/2022

BNSF 2021-209(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-210(HS) 1 $2,000 $2,000 $1,816 9/30/2022

BNSF 2021-211(HS) 1 $2,000 $2,000 $1,816 9/30/2022

BNSF 2021-212(HS) 1 $2,000 $2,000 $1,816 9/30/2022

BNSF 2021-213(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-214(TS) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-215(TS) 1 $2,000 $2,000 $1,816 9/30/2022

BNSF 2021-216(HS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2021-217(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-218(FCS) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-219(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-220(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-221(HS) 1 $2,000 $2,000 $1,816 9/30/2022

BNSF 2021-222(HS) 1 $2,000 $2,000 $1,816 9/30/2022

BNSF 2021-223(HSR) 1 $4,000 $4,000 $3,632 9/30/2022

BNSF 2021-224(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-225(HMT) 1 $2,000 $2,000 $1,460 9/30/2022

BNSF 2021-226(SA) 1 $5,000 $5,000 $3,650 9/30/2022

16
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

BNSF 2021-227(LI) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-228(ROP) 1 $4,000 $4,000 $2,920 9/30/2022

BNSF 2021-229(TH) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-230(HS) 1 $3,000 $3,000 $2,757 9/30/2022

BNSF 2021-231(ROP) 1 $7,500 $7,500 $5,475 9/30/2022

BNSF 2021-232(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-233(TS) 1 $2,500 $2,500 $1,913 9/30/2022

BNSF 2021-234(TS) 1 $2,500 $2,500 $1,913 9/30/2022

BNSF 2021-235(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-236(HS) 1 $3,000 $3,000 $2,757 9/30/2022

BNSF 2021-237(ROP) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-238(LI) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-239(FCS) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-240(HS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2021-241(HS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2021-242(TS) 1 $12,000 $12,000 $11,028 9/30/2022

BNSF 2021-243(ROP) 1 $7,500 $7,500 $5,475 9/30/2022

BNSF 2021-244(ROP) 1 $7,500 $7,500 $5,475 9/30/2022

BNSF 2021-245(TS) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-246(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-247(GC) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-248(TS) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-249(ROP) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-250(TS) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-251(FCS) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-252(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-254(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-255(ROP) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-256(LI) 1 $2,500 $2,500 $1,825 9/30/2022

 17
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

BNSF 2021-257(LI) 2 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-258(HS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2021-259(HS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2021-261(HS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2021-262(HS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2021-263(ROP) 1 $7,500 $7,500 $5,475 9/30/2022

BNSF 2021-264(ROP) 1 $9,500 $9,500 $6,935 9/30/2022

BNSF 2021-265(HS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2021-266(ROP) 1 $9,500 $9,500 $6,935 9/30/2022

BNSF 2021-267(HS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2021-268(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-269(TS) 1 $10,000 $10,000 $7,300 9/30/2022

BNSF 2021-270(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-271(ROP) 1 $2,000 $2,000 $1,460 9/30/2022

BNSF 2021-272(TS) 2 $7,500 $5,000 $3,650 9/30/2022

BNSF 2021-273(LI) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-274(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-275(HS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2021-276(HS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2021-277(TS) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-278(HS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2021-280(LI) 1 $1,500 $1,500 $1,095 9/30/2022

BNSF 2021-281(LI) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-282(LI) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-284(HS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2021-285(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-286(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-287(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-288(TS) 3 $12,500 $12,500 $9,125 9/30/2022

18
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

BNSF 2021-289(FCS) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-290(TS) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-291(TS) 1 $5,000 $5,000 $3,500 9/30/2022

BNSF 2021-292(TS) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-293(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-294(TS) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-295(TS) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-296(LI) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-297(LI) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-299(ROP) 1 $2,000 $2,000 $1,460 9/30/2022

BNSF 2021-300(SI) 1 $1,000 $1,000 $919 9/30/2022

BNSF 2021-301(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-302(ROP) 1 $9,500 $9,500 $6,935 9/30/2022

BNSF 2021-303(ROP) 1 $7,500 $7,500 $5,475 9/30/2022

BNSF 2021-304(HMT) 1 $2,000 $2,000 $1,460 9/30/2022

BNSF 2021-305(HS) 1 $2,000 $2,000 $1,816 9/30/2022

BNSF 2021-306(HS) 1 $2,000 $2,000 $1,816 9/30/2022

BNSF 2021-307(HS) 1 $2,000 $2,000 $1,816 9/30/2022

BNSF 2021-308(HS) 1 $2,000 $2,000 $1,784 9/30/2022

BNSF 2021-309(ROP) 1 $9,500 $9,500 $6,935 9/30/2022

BNSF 2021-310(ROP) 1 $7,500 $7,500 $5,475 9/30/2022

BNSF 2021-311(HS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2021-312(HSR) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2021-313(HS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2021-314(HS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2021-315(HS) 1 $2,000 $2,000 $1,816 9/30/2022

BNSF 2021-316(ROP) 1 $7,500 $7,500 $5,475 9/30/2022

BNSF 2021-317(HS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2021-318(ROP) 1 $7,500 $7,500 $5,475 9/30/2022

19
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

BNSF 2021-319(HS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2021-320(HS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2021-321(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-322(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-323(HS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2021-324(HS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2021-325(TS) 1 $10,000 $10,000 $7,300 9/30/2022

BNSF 2021-326(ROP) 1 $9,500 $9,500 $6,935 9/30/2022

BNSF 2021-327(TS) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-328(HS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2021-329(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-330(FCS) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-331(FCS) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-332(FCS) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-333(FCS) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-334(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-335(TS) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-336(TS) 1 $2,500 $2,500 $1,913 9/30/2022

BNSF 2021-337(HS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2021-338(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-339(HS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2021-340(HS) 1 $1,000 $1,000 $919 9/30/2022

BNSF 2021-341(HSR) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2021-342(HS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2021-343(LI) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-344(FCS) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-345(FCS) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-346(SA) 1 $2,500 $2,500 $1,825 9/30/2022

20
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

BNSF 2021-347(SA) 1 $5,000 $2,500 $2,500 9/30/2022 Terminated 

Violations: 

1

BNSF 2021-348(SA) 1 $9,500 $0 $0 9/30/2022 Case 

Terminated

BNSF 2021-349(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-350(ROP) 1 $9,500 $9,500 $6,935 9/30/2022

BNSF 2021-351(LI) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-352(HS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2021-354(HS) 1 $1,000 $0 $0 9/30/2022 Case 

Terminated

BNSF 2021-355(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-356(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-357(TS) 1 $1,000 $1,000 $919 9/30/2022

BNSF 2021-358(LI) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-359(ROP) 1 $7,500 $7,500 $5,475 9/30/2022

BNSF 2021-360(AR) 1 $1,000 $1,000 $1,000 9/30/2022

BNSF 2021-364(SA) 1 $5,000 $5,000 $5,000 9/30/2022

BNSF 2021-365(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-366(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-367(LI) 1 $2,000 $2,000 $1,460 9/30/2022

BNSF 2021-368(ROP) 1 $7,500 $7,500 $5,475 9/30/2022

BNSF 2021-369(ROP) 1 $7,500 $7,500 $5,475 9/30/2022

BNSF 2021-370(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-371(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-373(ROP) 1 $2,000 $2,000 $1,460 9/30/2022

BNSF 2021-374(ROP) 1 $2,000 $2,000 $1,460 9/30/2022

BNSF 2021-375(FCS) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-376(SA) 1 $5,000 $5,000 $3,825 9/30/2022

BNSF 2021-377(SA) 1 $5,000 $5,000 $3,825 9/30/2022

BNSF 2021-378(FCS) 1 $5,000 $5,000 $3,650 9/30/2022

21
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

BNSF 2021-379(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-380(FCS) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-381(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-382(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-383(TS) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-384(TS) 3 $8,500 $8,500 $6,205 9/30/2022

BNSF 2021-385(TS) 2 $7,500 $7,500 $5,475 9/30/2022

BNSF 2021-387(ROP) 1 $2,000 $2,000 $1,460 9/30/2022

BNSF 2021-388(ROP) 1 $2,000 $2,000 $1,460 9/30/2022

BNSF 2021-389(LI) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-390(LI) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-391(HS) 1 $1,000 $1,000 $919 9/30/2022

BNSF 2021-392(ROP) 1 $15,000 $15,000 $10,950 9/30/2022

BNSF 2021-393(HS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2021-394(HS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2021-395(HS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2021-396(HSR) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2021-397(HS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2021-398(HS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2021-399(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-400(HS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2021-401(HS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2021-403(FCS) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-404(FCS) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-405(FCS) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-406(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-407(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-408(FCS) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-409(FCS) 1 $2,500 $2,500 $1,825 9/30/2022

22
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

BNSF 2021-410(ROP) 1 $9,500 $9,500 $6,935 9/30/2022

BNSF 2021-411(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-412(HS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2021-413(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-414(SI) 1 $1,000 $1,000 $919 9/30/2022

BNSF 2021-415(HS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2021-416(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-417(ROP) 1 $2,000 $2,000 $1,460 9/30/2022

BNSF 2021-418(ROP) 1 $2,000 $2,000 $1,460 9/30/2022

BNSF 2021-419(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2021-422(ROP) 1 $7,500 $7,500 $5,475 9/30/2022

BNSF 2021-423(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2021-424(ROP) 1 $7,500 $7,500 $5,475 9/30/2022

BNSF 2022-001(ROP) 1 $2,000 $2,000 $1,460 9/30/2022

BNSF 2022-002(ROP) 1 $2,000 $2,000 $1,000 9/30/2022

BNSF 2022-003(SA) 1 $10,000 $10,000 $7,300 9/30/2022

BNSF 2022-004(HS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2022-005(TS) 1 $5,000 $5,000 $3,825 9/30/2022

BNSF 2022-006(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2022-007(TS) 1 $20,000 $20,000 $14,600 9/30/2022

BNSF 2022-008(HS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2022-009(RW) 1 $1,500 $1,500 $1,140 9/30/2022

BNSF 2022-010(TS) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2022-012(ROP) 1 $2,000 $2,000 $1,460 9/30/2022

BNSF 2022-013(SI) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2022-014(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2022-015(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2022-016(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2022-017(SA) 1 $2,500 $2,500 $1,825 9/30/2022

23
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

BNSF 2022-018(LI) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2022-019(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2022-020(FCS) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2022-021(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2022-022(RSP) 1 $9,500 $5,500 $4,750 9/30/2022 Terminated 

Violations: 

1

BNSF 2022-023(HS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2022-024(HS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2022-025(HS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2022-026(HSR) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2022-027(ROP) 1 $7,500 $7,500 $5,475 9/30/2022

BNSF 2022-028(HSR) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2022-029(HS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2022-030(TS) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2022-031(TS) 1 $1,000 $1,000 $919 9/30/2022

BNSF 2022-032(TS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2022-033(HS) 1 $1,000 $1,000 $919 9/30/2022

BNSF 2022-034(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2022-035(HS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2022-037(HS) 1 $3,000 $3,000 $2,757 9/30/2022

BNSF 2022-038(HS) 1 $1,000 $1,000 $919 9/30/2022

BNSF 2022-039(FCS) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2022-040(ROP) 1 $7,500 $7,500 $5,475 9/30/2022

BNSF 2022-042(AD) 1 $10,000 $10,000 $8,000 9/30/2022

BNSF 2022-043(HS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2022-044(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2022-045(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2022-046(HS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2022-047(SA) 1 $2,500 $2,500 $1,825 9/30/2022

24
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

BNSF 2022-049(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2022-050(FCS) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2022-051(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2022-052(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2022-053(LI) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2022-054(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2022-055(FCS) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2022-056(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2022-057(FCS) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2022-058(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2022-059(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2022-060(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2022-061(HS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2022-062(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2022-063(HS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2022-064(HS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2022-065(LI) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2022-066(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2022-067(HMT) 2 $13,500 $13,500 $9,855 9/30/2022

BNSF 2022-068(FCS) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2022-069(LI) 1 $2,000 $2,000 $1,460 9/30/2022

BNSF 2022-070(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2022-071(LI) 1 $2,000 $2,000 $1,460 9/30/2022

BNSF 2022-074(FCS) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2022-075(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2022-076(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2022-077(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2022-078(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2022-080(FCS) 1 $5,000 $5,000 $3,650 9/30/2022

25
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

BNSF 2022-081(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2022-082(FCS) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2022-083(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2022-084(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2022-085(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2022-086(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2022-087(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2022-088(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2022-089(FCS) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2022-090(RSP) 1 $9,500 $5,500 $4,750 9/30/2022 Terminated 

Violations: 

1

BNSF 2022-091(ROP) 1 $9,500 $9,500 $6,935 9/30/2022

BNSF 2022-092(LI) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2022-098(HS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2022-099(ROP) 1 $2,000 $2,000 $1,460 9/30/2022

BNSF 2022-100(ROP) 1 $2,000 $2,000 $1,460 9/30/2022

BNSF 2022-101(ROP) 1 $2,000 $2,000 $1,460 9/30/2022

BNSF 2022-102(ROP) 1 $2,000 $2,000 $1,460 9/30/2022

BNSF 2022-103(SA) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2022-105(HS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2022-106(FCS) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2022-107(ROP) 1 $2,000 $2,000 $1,460 9/30/2022

BNSF 2022-108(EQ) 1 $1,000 $0 $0 9/30/2022 Case 

Terminated

BNSF 2022-110(EQ) 1 $2,500 $2,500 $1,500 9/30/2022

BNSF 2022-111(EQ) 1 $7,500 $0 $0 9/30/2022 Case 

Terminated

BNSF 2022-112(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2022-114(TS) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2022-115(TS) 1 $4,000 $4,000 $2,920 9/30/2022

26
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

BNSF 2022-116(TS) 2 $10,000 $10,000 $7,650 9/30/2022

BNSF 2022-118(FCS) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2022-119(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2022-120(HS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2022-122(LI) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2022-124(TS) 1 $2,500 $2,500 $1,500 9/30/2022

BNSF 2022-126(LI) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2022-127(TS) 1 $2,000 $2,000 $1,835 9/30/2022

BNSF 2022-130(LI) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2022-131(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2022-134(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2022-136(TS) 1 $2,500 $2,500 $1,825 9/30/2022

BNSF 2022-137(HS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2022-138(HS) 1 $2,000 $2,000 $1,825 9/30/2022

BNSF 2022-139(HS) 1 $3,000 $3,000 $2,757 9/30/2022

BNSF 2022-141(HS) 1 $3,000 $3,000 $2,757 9/30/2022

BNSF 2022-142(HS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2022-143(HS) 1 $3,000 $3,000 $2,757 9/30/2022

BNSF 2022-144(HS) 1 $1,000 $1,000 $919 9/30/2022

BNSF 2022-145(ROP) 1 $2,000 $2,000 $2,000 9/30/2022

BNSF 2022-146(HS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2022-147(TS) 1 $1,000 $1,000 $919 9/30/2022

BNSF 2022-148(HS) 1 $2,000 $2,000 $1,838 9/30/2022

BNSF 2022-149(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2022-150(SA) 1 $5,000 $5,000 $3,650 9/30/2022

BNSF 2022-151(HS) 1 $3,000 $3,000 $2,757 9/30/2022

BNSF 2022-152(LI) 1 $2,500 $2,500 $1,825 9/30/2022

BNSO 2020-004(AD) 1 $10,000 $10,000 $8,000 9/30/2022

BOCH 2021-001(HMT) 1 $10,000 $10,000 $7,500 2/14/2022

 27
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

BPRR 2021-001(AD) 1 $10,000 $10,000 $8,000 9/28/2022

BRC 2019-024(AD) 1 $2,500 $2,500 $1,850 4/25/2022

BRC 2019-025(AD) 1 $2,500 $2,500 $1,850 4/25/2022

BRC 2019-026(AD) 1 $2,500 $2,500 $1,850 4/25/2022

BRC 2019-028(AD) 1 $2,500 $2,500 $1,850 4/25/2022

BRC 2020-016(FCS) 1 $2,500 $2,500 $1,850 4/25/2022

BRC 2020-017(SA) 1 $2,500 $2,500 $1,850 4/25/2022

BRC 2020-018(SA) 1 $2,500 $2,500 $1,850 4/25/2022

BRC 2020-019(FCS) 1 $2,500 $2,500 $1,850 4/25/2022

BRC 2020-020(SA) 1 $2,500 $2,500 $1,850 4/25/2022

BRC 2020-021(FCS) 1 $2,500 $2,500 $1,850 4/25/2022

BRC 2020-022(SA) 1 $2,500 $2,500 $1,850 4/25/2022

BRC 2020-023(SA) 1 $2,500 $2,500 $1,850 4/25/2022

BRC 2020-024(SA) 1 $2,500 $2,500 $1,850 4/25/2022

BRC 2020-025(HMT) 1 $5,000 $5,000 $4,500 4/25/2022

BRC 2020-026(FCS) 1 $2,500 $2,500 $1,850 4/25/2022

BRC 2020-027(SA) 1 $2,500 $2,500 $2,000 4/25/2022

BRC 2020-028(SA) 1 $2,500 $2,500 $2,000 4/25/2022

BRC 2020-029(SA) 1 $2,500 $2,500 $1,850 4/25/2022

BRC 2020-030(SA) 1 $2,500 $2,500 $1,850 4/25/2022

BRC 2020-034(SA) 1 $2,500 $2,500 $1,850 4/25/2022

BRC 2020-050(SA) 1 $2,500 $2,500 $1,850 4/25/2022

BRC 2020-051(SA) 1 $2,500 $2,500 $1,850 4/25/2022

BRC 2020-052(SA) 1 $2,500 $2,500 $1,850 4/25/2022

BRC 2020-053(SA) 1 $5,000 $5,000 $3,500 4/25/2022

BRC 2020-054(SA) 1 $2,500 $2,500 $1,850 4/25/2022

BRC 2020-055(SA) 1 $2,500 $2,500 $1,850 4/25/2022

BRC 2020-056(SA) 1 $5,000 $5,000 $3,500 4/25/2022

BRC 2020-057(SA) 1 $2,500 $2,500 $1,850 4/25/2022

28
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

BRC 2020-058(SA) 1 $5,000 $5,000 $3,700 4/25/2022

BRC 2020-059(SA) 1 $2,500 $2,500 $2,000 4/25/2022

BRC 2020-060(SA) 1 $2,500 $2,500 $1,850 4/25/2022

BRC 2020-061(SA) 1 $2,500 $2,500 $1,850 4/25/2022

BRC 2020-062(FCS) 1 $2,500 $2,500 $1,850 4/25/2022

BRC 2020-063(FCS) 1 $2,500 $2,500 $1,850 4/25/2022

BRC 2020-064(SA) 1 $2,500 $2,500 $1,850 4/25/2022

BRC 2020-065(SA) 1 $5,000 $5,000 $3,500 4/25/2022

BRC 2020-066(FCS) 1 $2,500 $2,500 $1,850 4/25/2022

BRC 2020-067(SA) 1 $2,500 $2,500 $2,000 4/25/2022

BRC 2020-068(SA) 1 $5,000 $5,000 $3,700 4/25/2022

BRC 2020-069(FCS) 1 $2,500 $2,500 $1,850 4/25/2022

BRC 2020-070(FCS) 1 $2,500 $2,500 $1,850 4/25/2022

BRC 2020-071(SA) 1 $2,500 $2,500 $1,850 4/25/2022

BRC 2020-072(SA) 1 $2,500 $2,500 $1,850 4/25/2022

BRC 2020-073(SA) 1 $2,500 $2,500 $1,850 4/25/2022

BRC 2020-074(SA) 1 $2,500 $2,500 $1,850 4/25/2022

BRC 2020-075(FCS) 1 $2,500 $2,500 $1,850 4/25/2022

BRC 2020-076(FCS) 1 $5,000 $5,000 $3,700 4/25/2022

BRC 2020-077(SA) 1 $2,500 $2,500 $1,850 4/25/2022

BRC 2020-078(SA) 1 $2,500 $2,500 $1,850 4/25/2022

BRC 2020-079(SA) 1 $2,500 $2,500 $1,850 4/25/2022

BRC 2020-080(SA) 1 $2,500 $2,500 $1,850 4/25/2022

BRC 2021-001(FCS) 1 $2,500 $2,500 $1,850 4/25/2022

BRC 2021-002(SA) 1 $5,000 $5,000 $3,600 4/25/2022

BRC 2021-003(HMT) 3 $14,500 $14,500 $11,000 4/25/2022

BRC 2021-004(ROP) 1 $9,500 $9,500 $7,000 4/25/2022

BRC 2021-005(ROP) 1 $9,500 $9,500 $7,000 4/25/2022

BRC 2021-006(SA) 1 $5,000 $5,000 $3,700 4/25/2022

29
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

BRC 2021-007(SA) 1 $2,500 $2,500 $1,850 4/25/2022

BRC 2021-008(SA) 1 $5,000 $5,000 $4,050 4/25/2022

BRC 2021-009(SA) 1 $2,500 $2,500 $1,850 4/25/2022

BRC 2021-010(SA) 1 $5,000 $5,000 $3,700 4/25/2022

BRC 2022-006(SA) 1 $2,500 $2,500 $1,900 8/30/2022

BRPZ 2020-001(HMT) 1 $10,000 $10,000 $8,500 3/2/2022

CA 2021-001(SI) 1 $5,000 $5,000 $3,900 9/28/2022

CAGY 2021-001(SA) 1 $5,000 $5,000 $3,850 9/28/2022

CAGY 2021-002(SA) 1 $5,000 $5,000 $3,850 9/28/2022

CAGY 2021-003(SA) 1 $5,000 $5,000 $3,850 9/28/2022

CAGY 2021-004(SA) 1 $5,000 $5,000 $3,850 9/28/2022

CAMD 2022-001(AD) 1 $2,500 $2,500 $2,000 3/23/2022

CBR 2022-001(SA) 1 $5,000 $0 $0 3/22/2022 Case 

Terminated

CBRW 2022-001(TS) 1 $2,500 $2,500 $2,000 9/7/2022

CCET 2022-001(GC) 1 $2,500 $2,500 $2,000 9/7/2022

CCT 2021-006(ROP) 1 $9,500 $9,500 $7,500 10/15/2021

CERA 2021-001(AD) 1 $5,000 $5,000 $3,750 9/28/2022

CFE 2007-002(EQ) 3 $7,500 $0 $0 5/1/2022 Case 

Terminated

CFI 2021-001(HMT) 1 $5,000 $5,000 $4,000 2/1/2022

CFI 2021-002(HMT) 1 $5,000 $5,000 $4,000 1/31/2022

CFI 2021-003(HMT) 1 $10,000 $10,000 $7,500 1/31/2022

CFI 2022-001(HMT) 1 $2,500 $2,500 $2,000 3/17/2022

CFNR 2021-001(ROP) 1 $9,500 $9,500 $7,300 9/28/2022

CFRC 2021-001(CIS) 1 $10,000 $10,000 $7,500 11/2/2021

CFRC 2021-002(AD) 1 $15,000 $15,000 $15,000 10/12/2021

CFRC 2021-003(AD) 1 $2,500 $2,500 $2,500 10/12/2021

CKIN 2021-001(TS) 1 $2,000 $2,000 $1,750 12/10/2021

CN 2021-001(SA) 1 $5,000 $5,000 $3,650 8/10/2022

30
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

CN 2021-002(LI) 1 $2,500 $2,500 $1,800 8/10/2022

CN 2021-003(SA) 1 $2,500 $2,500 $1,850 8/10/2022

CN 2021-004(SA) 1 $2,500 $2,500 $1,875 8/10/2022

CN 2021-005(SA) 1 $2,500 $2,500 $1,850 8/10/2022

CN 2021-006(SA) 1 $2,500 $2,500 $1,825 8/10/2022

CN 2021-007(SA) 1 $2,500 $2,500 $1,750 8/10/2022

CN 2021-008(FCS) 1 $2,500 $2,500 $1,650 8/10/2022

CN 2021-009(FCS) 1 $2,500 $2,500 $1,800 8/10/2022

CN 2021-010(SA) 1 $5,000 $5,000 $3,750 8/10/2022

CN 2021-011(FCS) 1 $2,500 $2,500 $1,800 8/10/2022

CN 2021-012(SA) 1 $2,500 $2,500 $1,825 8/10/2022

CN 2021-013(SA) 1 $2,500 $2,500 $1,800 8/10/2022

CN 2021-014(SA) 1 $2,500 $2,500 $1,825 8/10/2022

CN 2021-015(HMT) 1 $2,000 $2,000 $1,520 8/10/2022

CN 2021-016(TS) 1 $5,000 $5,000 $4,000 8/10/2022

CN 2021-017(SA) 1 $2,500 $2,500 $1,700 8/10/2022

CN 2021-018(SA) 1 $2,500 $2,500 $1,900 8/10/2022

CN 2021-019(SA) 1 $2,500 $2,500 $1,825 8/10/2022

CN 2021-020(LI) 1 $2,500 $2,500 $1,575 8/10/2022

CN 2021-021(SA) 1 $2,500 $2,500 $1,825 8/10/2022

CN 2021-022(FCS) 1 $2,500 $2,500 $1,775 8/10/2022

CN 2021-023(LI) 1 $2,500 $2,500 $1,850 8/10/2022

CN 2021-024(SA) 1 $5,000 $5,000 $3,350 8/10/2022

CN 2021-025(FCS) 1 $2,000 $2,000 $1,440 8/10/2022

CN 2021-026(SA) 1 $5,000 $5,000 $3,750 8/10/2022

CN 2021-027(SA) 1 $2,500 $2,500 $1,650 8/10/2022

CN 2021-028(SA) 1 $2,500 $2,500 $1,875 8/10/2022

CN 2021-029(LI) 1 $2,500 $2,500 $1,725 8/10/2022

CN 2021-030(LI) 1 $1,500 $1,500 $1,080 8/10/2022

31
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

CN 2021-031(ROP) 1 $7,500 $7,500 $6,000 8/10/2022

CN 2021-032(SA) 1 $5,000 $0 $0 8/10/2022 Case 

Terminated

CN 2021-033(SA) 1 $2,500 $2,500 $1,725 8/10/2022

CN 2021-034(LI) 1 $2,500 $2,500 $1,825 8/10/2022

CN 2021-035(ROP) 1 $7,500 $7,500 $5,700 8/10/2022

CN 2021-036(ROP) 1 $7,500 $7,500 $5,625 8/10/2022

CN 2021-037(SA) 1 $2,500 $2,500 $1,825 8/10/2022

CN 2021-038(SA) 1 $5,000 $5,000 $3,700 8/10/2022

CN 2021-039(SA) 1 $2,500 $2,500 $1,725 8/10/2022

CN 2021-040(SA) 1 $2,500 $2,500 $1,825 8/10/2022

CN 2021-041(SA) 1 $5,000 $5,000 $3,700 8/10/2022

CN 2021-042(LI) 1 $2,500 $2,500 $1,850 8/10/2022

CN 2021-043(SA) 1 $5,000 $5,000 $3,750 8/10/2022

CN 2021-044(ROP) 1 $7,500 $7,500 $5,475 8/10/2022

CN 2021-045(LI) 1 $2,500 $2,500 $1,725 8/10/2022

CN 2021-046(SA) 1 $2,500 $2,500 $1,875 8/10/2022

CN 2021-047(SA) 1 $2,500 $2,500 $1,675 8/10/2022

CN 2021-048(SA) 1 $5,000 $5,000 $3,350 8/10/2022

CN 2021-049(SA) 1 $2,500 $2,500 $1,825 8/10/2022

CN 2021-050(HMT) 2 $19,000 $19,000 $15,200 8/10/2022

CN 2021-051(HMT) 1 $1,000 $1,000 $750 8/10/2022

CN 2021-052(SA) 1 $5,000 $5,000 $3,750 8/10/2022

CN 2021-053(TS) 1 $2,500 $2,500 $1,725 8/10/2022

CN 2021-054(TS) 1 $2,500 $2,500 $1,725 8/10/2022

CN 2021-055(SA) 1 $5,000 $5,000 $3,750 8/10/2022

CN 2021-056(HSR) 1 $1,000 $0 $0 8/10/2022 Case 

Terminated

CN 2021-057(HMT) 1 $7,500 $7,500 $6,000 8/10/2022

CN 2021-058(FCS) 1 $2,500 $2,500 $1,750 8/10/2022

32
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

CN 2021-059(SA) 1 $5,000 $5,000 $3,700 8/10/2022

CN 2021-060(SA) 1 $2,500 $2,500 $1,825 8/10/2022

CN 2021-061(SA) 1 $5,000 $5,000 $3,750 8/10/2022

CN 2021-062(FCS) 1 $2,500 $2,500 $1,825 8/10/2022

CN 2021-063(SA) 1 $5,000 $5,000 $3,750 8/10/2022

CN 2021-064(TS) 1 $1,000 $1,000 $919 8/10/2022

CN 2021-065(AR) 1 $2,500 $2,500 $1,825 8/10/2022

CN 2021-066(AR) 1 $2,500 $2,500 $1,875 8/10/2022

CN 2021-067(FCS) 1 $2,500 $2,500 $1,800 8/10/2022

CN 2021-068(SA) 1 $2,500 $2,500 $1,825 8/10/2022

CN 2021-069(HMT) 1 $4,000 $4,000 $3,040 8/10/2022

CN 2021-070(AD) 1 $5,000 $5,000 $3,700 8/10/2022

CN 2021-071(AD) 1 $5,000 $5,000 $3,650 8/10/2022

CN 2021-072(SA) 1 $2,500 $2,500 $1,650 8/10/2022

CN 2021-073(SA) 1 $5,000 $5,000 $3,650 8/10/2022

CN 2021-074(SA) 1 $2,500 $2,500 $1,825 8/10/2022

CN 2021-075(SA) 1 $2,500 $2,500 $1,675 8/10/2022

CN 2021-076(SA) 1 $2,500 $2,500 $1,675 8/10/2022

CN 2021-077(FCS) 1 $2,500 $2,500 $1,800 8/10/2022

CN 2021-078(SA) 1 $2,500 $2,500 $1,725 8/10/2022

CN 2021-079(AD) 1 $5,000 $5,000 $3,800 8/10/2022

CN 2021-080(SA) 1 $2,500 $2,500 $1,725 8/10/2022

CN 2021-081(SA) 1 $5,000 $5,000 $3,350 8/10/2022

CN 2021-082(AD) 1 $5,000 $5,000 $3,800 8/10/2022

CN 2021-083(AD) 1 $5,000 $5,000 $3,650 8/10/2022

CN 2021-084(AD) 1 $15,000 $15,000 $11,100 8/10/2022

CN 2021-085(AD) 1 $2,500 $2,500 $1,825 8/10/2022

CN 2021-086(AD) 1 $5,000 $5,000 $3,250 8/10/2022

CN 2021-087(SA) 1 $5,000 $5,000 $3,350 8/10/2022

33
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

CN 2021-088(SA) 1 $2,500 $2,500 $1,650 8/10/2022

CN 2021-089(LI) 1 $2,500 $2,500 $1,825 8/10/2022

CN 2021-090(SA) 1 $2,500 $2,500 $1,725 8/10/2022

CN 2021-091(AD) 1 $2,500 $2,500 $1,900 8/10/2022

CN 2021-092(HSR) 1 $2,000 $2,000 $1,838 8/10/2022

CN 2021-093(ROP) 1 $7,500 $7,500 $5,700 8/10/2022

CN 2021-094(SA) 1 $2,500 $2,500 $1,825 8/10/2022

CN 2021-095(FCS) 1 $5,000 $5,000 $3,650 8/10/2022

CN 2021-096(SA) 1 $2,500 $2,500 $1,875 8/10/2022

CN 2021-097(SA) 1 $2,500 $2,500 $1,825 8/10/2022

CN 2021-098(SA) 1 $2,500 $2,500 $1,825 8/10/2022

CN 2021-099(SA) 1 $5,000 $5,000 $3,750 8/10/2022

CN 2021-100(LI) 1 $2,500 $2,500 $1,825 8/10/2022

CORP 2021-001(GC) 1 $1,000 $1,000 $950 9/28/2022

CP 2021-024(SA) 1 $2,500 $2,500 $1,650 9/30/2022

CP 2021-025(SA) 1 $2,500 $2,500 $1,800 9/30/2022

CP 2021-027(LI) 1 $2,500 $2,500 $1,800 9/30/2022

CP 2021-028(FCS) 1 $2,500 $2,500 $1,500 9/30/2022

CP 2021-029(SA) 1 $5,000 $5,000 $3,125 9/30/2022

CP 2021-030(SA) 1 $5,000 $5,000 $3,800 9/30/2022

CP 2021-031(SA) 1 $2,500 $2,500 $1,800 9/30/2022

CP 2021-032(SA) 1 $2,500 $2,500 $1,750 9/30/2022

CP 2021-033(SA) 1 $2,500 $2,500 $1,650 9/30/2022

CP 2021-034(SA) 1 $2,500 $2,500 $1,675 9/30/2022

CP 2021-035(SA) 1 $5,000 $5,000 $3,575 9/30/2022

CP 2021-036(SA) 1 $2,500 $2,500 $1,800 9/30/2022

CP 2021-037(SA) 1 $5,000 $5,000 $3,350 9/30/2022

CP 2021-038(SA) 1 $2,500 $2,500 $1,900 9/30/2022

CP 2021-039(SA) 1 $2,500 $2,500 $1,550 9/30/2022

34
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

CP 2021-040(SA) 1 $5,000 $5,000 $3,250 9/30/2022

CP 2021-041(SA) 1 $2,500 $2,500 $1,800 9/30/2022

CP 2021-043(RW) 1 $3,000 $3,000 $2,200 9/30/2022

CP 2021-044(SA) 1 $5,000 $5,000 $3,200 9/30/2022

CP 2021-045(SA) 1 $2,500 $2,500 $1,525 9/30/2022

CP 2021-046(SA) 1 $2,500 $2,500 $1,600 9/30/2022

CP 2021-047(SA) 1 $2,500 $2,500 $1,750 9/30/2022

CP 2021-048(FCS) 1 $2,500 $2,500 $1,950 9/30/2022

CP 2021-049(HMT) 1 $6,000 $6,000 $4,300 9/30/2022

CP 2021-050(HMT) 1 $5,000 $5,000 $3,050 9/30/2022

CP 2021-051(SA) 1 $2,500 $2,500 $1,625 9/30/2022

CP 2021-052(SA) 1 $2,500 $2,500 $1,775 9/30/2022

CP 2021-053(SA) 1 $5,000 $5,000 $3,500 9/30/2022

CP 2021-054(SA) 1 $2,500 $2,500 $1,725 9/30/2022

CP 2021-055(FCS) 1 $5,000 $5,000 $3,300 9/30/2022

CP 2021-056(SA) 1 $2,500 $2,500 $1,950 9/30/2022

CP 2021-057(SA) 1 $5,000 $5,000 $3,150 9/30/2022

CP 2021-058(SA) 1 $2,500 $2,500 $1,550 9/30/2022

CP 2021-059(SA) 1 $2,500 $2,500 $1,800 9/30/2022

CP 2021-060(AR) 1 $2,500 $2,500 $1,625 9/30/2022

CP 2021-061(FCS) 1 $2,500 $2,500 $1,950 9/30/2022

CP 2021-062(SA) 1 $5,000 $5,000 $3,300 9/30/2022

CP 2021-063(LI) 1 $2,500 $2,500 $1,700 9/30/2022

CP 2021-064(SA) 1 $2,500 $2,500 $1,825 9/30/2022

CP 2021-065(SA) 1 $2,500 $2,500 $1,900 9/30/2022

CP 2021-066(SA) 1 $2,500 $2,500 $1,650 9/30/2022

CP 2021-067(SA) 1 $2,500 $2,500 $1,550 9/30/2022

CP 2021-068(SA) 1 $5,000 $5,000 $3,500 9/30/2022

CP 2021-069(LI) 1 $2,500 $2,500 $1,550 9/30/2022

35
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

CP 2021-070(TS) 1 $2,500 $2,500 $1,725 9/30/2022

CP 2021-071(AD) 1 $10,000 $10,000 $7,000 9/30/2022

CP 2021-072(FCS) 1 $2,500 $2,500 $1,550 9/30/2022

CP 2021-073(SA) 1 $5,000 $5,000 $3,400 9/30/2022

CP 2021-074(FCS) 1 $5,000 $5,000 $3,250 9/30/2022

CP 2021-075(FCS) 1 $5,000 $5,000 $3,250 9/30/2022

CP 2021-076(FCS) 1 $5,000 $5,000 $3,300 9/30/2022

CP 2021-077(SA) 1 $2,500 $2,500 $1,550 9/30/2022

CP 2021-078(EQ) 1 $2,500 $2,500 $1,850 9/30/2022

CP 2021-079(SA) 1 $15,000 $15,000 $11,700 9/30/2022

CP 2022-001(TS) 1 $5,000 $5,000 $3,250 9/30/2022

CP 2022-002(FCS) 1 $5,000 $5,000 $3,350 9/30/2022

CP 2022-003(HMT) 1 $2,500 $2,500 $1,750 9/30/2022

CP 2022-004(SA) 1 $5,000 $5,000 $3,400 9/30/2022

CP 2022-005(HMT) 1 $20,000 $20,000 $14,200 9/30/2022

CP 2022-006(LI) 1 $1,000 $1,000 $950 9/30/2022

CP 2022-007(HMT) 1 $40,000 $40,000 $28,500 9/30/2022

CP 2022-008(HMT) 1 $40,000 $40,000 $28,500 9/30/2022

CP 2022-009(FCS) 1 $6,000 $6,000 $3,900 9/30/2022

CP 2022-010(SA) 1 $5,000 $5,000 $3,250 9/30/2022

CRL 2020-001(HMT) 1 $7,500 $7,500 $6,000 8/31/2022

CRL 2021-001(ROP) 1 $7,500 $7,500 $6,250 8/31/2022

CRSM 2021-007(LI) 1 $2,500 $2,500 $1,950 9/13/2022

CRSM 2021-011(SA) 1 $5,000 $5,000 $3,750 9/13/2022

CRSM 2021-012(SA) 1 $5,000 $5,000 $3,750 9/13/2022

CRSM 2021-013(SA) 1 $5,000 $5,000 $4,000 9/13/2022

CRSM 2021-014(SA) 1 $10,000 $10,000 $8,000 9/13/2022

CRSM 2021-015(ROP) 1 $7,500 $7,500 $5,200 9/13/2022

CRSM 2021-016(RW) 1 $3,000 $3,000 $2,340 9/13/2022

36
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

CRSM 2022-001(SA) 1 $5,000 $5,000 $3,000 9/13/2022

CRSM 2022-002(SA) 1 $5,000 $5,000 $4,250 9/13/2022

CRSM 2022-003(SA) 1 $5,000 $5,000 $4,250 9/13/2022

CRSM 2022-004(ROP) 1 $9,500 $9,500 $5,750 9/13/2022

CRSM 2022-005(SA) 1 $5,000 $5,000 $4,250 9/13/2022

CRSM 2022-006(SA) 1 $5,000 $5,000 $4,250 9/13/2022

CRSM 2022-007(SA) 1 $5,000 $5,000 $4,300 9/13/2022

CRSM 2022-008(SA) 1 $2,500 $2,500 $2,100 9/13/2022

CRSM 2022-009(HMT) 1 $2,000 $2,000 $1,800 9/13/2022

CRSM 2022-010(HSR) 1 $1,000 $1,000 $919 9/13/2022

CRSM 2022-011(HS) 1 $2,000 $2,000 $1,838 9/13/2022

CRSM 2022-012(HS) 1 $2,000 $2,000 $1,838 9/13/2022

CRSM 2022-013(ROP) 1 $9,500 $9,500 $7,500 9/13/2022

CRSM 2022-014(SA) 1 $5,000 $5,000 $4,250 9/13/2022

CSCD 2021-001(TS) 1 $1,500 $1,500 $1,100 9/28/2022

CSX 2017-323(LI) 1 $1,500 $0 $0 9/29/2022 Case 

Terminated

CSX 2018-179(SI) 1 $1,000 $1,000 $853 9/29/2022

CSX 2018-308(ROP) 1 $27,904 $27,904 $20,416 9/29/2022

CSX 2018-338(TS) 2 $5,000 $5,000 $3,650 9/29/2022

CSX 2019-202(SA) 1 $10,000 $10,000 $7,000 9/29/2022

CSX 2019-244(GC) 1 $5,000 $5,000 $3,650 9/29/2022

CSX 2020-043(CIS) 1 $5,000 $5,000 $3,650 9/29/2022

CSX 2020-231(SA) 1 $10,000 $10,000 $7,091 9/29/2022

CSX 2020-374(SA) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2020-448(RSP) 1 $9,500 $9,500 $6,900 9/29/2022

CSX 2020-449(SA) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-023(SA) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-026(TS) 1 $60,000 $60,000 $42,718 9/29/2022

CSX 2021-044(SA) 1 $5,000 $5,000 $3,560 9/29/2022

37
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

CSX 2021-048(SA) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-052(SA) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-053(ROP) 1 $7,500 $7,500 $5,500 9/29/2022

CSX 2021-054(SA) 1 $5,000 $5,000 $3,560 9/29/2022

CSX 2021-055(SA) 1 $5,000 $5,000 $3,560 9/29/2022

CSX 2021-056(SA) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-057(SA) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-058(SA) 1 $5,000 $5,000 $3,560 9/29/2022

CSX 2021-059(GC) 1 $5,000 $5,000 $3,650 9/29/2022

CSX 2021-060(HMT) 1 $2,000 $2,000 $1,460 9/29/2022

CSX 2021-061(SA) 1 $5,000 $5,000 $3,560 9/29/2022

CSX 2021-062(LI) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-063(SA) 1 $5,000 $5,000 $3,560 9/29/2022

CSX 2021-064(SI) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-065(SA) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-066(SA) 1 $5,000 $5,000 $3,560 9/29/2022

CSX 2021-067(SA) 1 $5,000 $5,000 $3,560 9/29/2022

CSX 2021-070(SA) 1 $5,000 $5,000 $3,560 9/29/2022

CSX 2021-071(SA) 1 $5,000 $5,000 $3,560 9/29/2022

CSX 2021-072(SI) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-073(SA) 1 $5,000 $5,000 $3,560 9/29/2022

CSX 2021-074(FCS) 1 $2,500 $2,500 $1,825 9/29/2022

CSX 2021-075(HMT) 1 $5,000 $5,000 $3,561 9/29/2022

CSX 2021-076(SA) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-077(HMT) 1 $7,000 $7,000 $5,100 9/29/2022

CSX 2021-079(SA) 1 $5,000 $5,000 $3,560 9/29/2022

CSX 2021-080(SA) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-081(TS) 1 $1,000 $1,000 $908 9/29/2022

CSX 2021-082(SI) 1 $5,000 $5,000 $3,600 9/29/2022

38
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

CSX 2021-083(TS) 1 $1,000 $1,000 $892 9/29/2022

CSX 2021-084(TS) 1 $29,192 $29,192 $22,478 9/29/2022

CSX 2021-085(SA) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-087(LI) 1 $2,000 $2,000 $1,440 9/29/2022

CSX 2021-088(ROP) 1 $15,000 $15,000 $11,000 9/29/2022

CSX 2021-089(ROP) 1 $9,500 $9,500 $6,900 9/29/2022

CSX 2021-090(ROP) 1 $9,500 $9,500 $6,900 9/29/2022

CSX 2021-091(SA) 1 $5,000 $5,000 $3,560 9/29/2022

CSX 2021-092(LI) 1 $1,000 $1,000 $908 9/29/2022

CSX 2021-093(SA) 1 $5,000 $5,000 $3,560 9/29/2022

CSX 2021-094(SA) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-095(SA) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-096(LI) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-097(LI) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-098(SA) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-099(SA) 1 $5,000 $5,000 $3,560 9/29/2022

CSX 2021-100(HMT) 1 $7,000 $7,000 $5,100 9/29/2022

CSX 2021-101(HMT) 1 $7,000 $7,000 $5,100 9/29/2022

CSX 2021-102(AR) 1 $1,000 $1,000 $892 9/29/2022

CSX 2021-103(ROP) 1 $9,500 $9,500 $6,900 9/29/2022

CSX 2021-105(GC) 1 $5,000 $5,000 $3,650 9/29/2022

CSX 2021-106(LI) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-107(TS) 1 $1,000 $1,000 $908 9/29/2022

CSX 2021-108(GC) 1 $5,000 $5,000 $3,650 9/29/2022

CSX 2021-109(FCS) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2021-110(TS) 2 $5,000 $5,000 $3,650 9/29/2022

CSX 2021-111(TS) 6 $6,000 $6,000 $5,448 9/29/2022

CSX 2021-112(ROP) 1 $9,500 $9,500 $6,900 9/29/2022

CSX 2021-122(SA) 1 $5,000 $5,000 $3,560 9/29/2022

39
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

CSX 2021-123(SA) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-124(SA) 1 $5,000 $5,000 $3,560 9/29/2022

CSX 2021-125(ROP) 1 $5,000 $5,000 $3,650 9/29/2022

CSX 2021-126(SA) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-127(LI) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-128(SA) 1 $10,000 $10,000 $7,300 9/29/2022

CSX 2021-129(FCS) 1 $2,500 $2,500 $1,825 9/29/2022

CSX 2021-130(FCS) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-131(SA) 1 $2,500 $2,500 $1,825 9/29/2022

CSX 2021-132(SA) 1 $2,500 $2,500 $1,825 9/29/2022

CSX 2021-133(LI) 1 $2,000 $2,000 $1,460 9/29/2022

CSX 2021-134(SA) 1 $2,500 $2,500 $1,825 9/29/2022

CSX 2021-137(SI) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-138(SA) 2 $10,000 $10,000 $7,300 9/29/2022

CSX 2021-139(SA) 1 $5,000 $5,000 $3,650 9/29/2022

CSX 2021-140(SA) 1 $5,000 $5,000 $3,650 9/29/2022

CSX 2021-141(SA) 1 $2,500 $2,500 $1,825 9/29/2022

CSX 2021-142(SA) 1 $2,500 $2,500 $1,825 9/29/2022

CSX 2021-143(HMT) 1 $6,000 $6,000 $4,380 9/29/2022

CSX 2021-144(SA) 1 $5,000 $5,000 $3,650 9/29/2022

CSX 2021-145(SA) 1 $5,000 $5,000 $3,650 9/29/2022

CSX 2021-146(GC) 1 $5,000 $5,000 $3,650 9/29/2022

CSX 2021-147(GC) 1 $1,000 $1,000 $919 9/29/2022

CSX 2021-148(GC) 1 $1,000 $1,000 $919 9/29/2022

CSX 2021-150(SA) 1 $5,000 $5,000 $3,650 9/29/2022

CSX 2021-151(HMT) 2 $13,000 $13,000 $9,490 9/29/2022

CSX 2021-152(HMT) 1 $5,000 $5,000 $3,560 9/29/2022

CSX 2021-153(GC) 1 $5,000 $5,000 $3,650 9/29/2022

CSX 2021-154(FCS) 1 $5,000 $5,000 $3,600 9/29/2022

40
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

CSX 2021-155(FCS) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-156(SA) 1 $2,500 $2,500 $1,825 9/29/2022

CSX 2021-157(LI) 1 $1,000 $1,000 $908 9/29/2022

CSX 2021-158(SA) 1 $10,000 $10,000 $7,300 9/29/2022

CSX 2021-159(FCS) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2021-161(SA) 1 $2,500 $2,500 $1,825 9/29/2022

CSX 2021-162(SA) 1 $2,500 $2,500 $1,825 9/29/2022

CSX 2021-163(SA) 1 $5,000 $5,000 $3,650 9/29/2022

CSX 2021-164(LI) 1 $2,000 $2,000 $1,460 9/29/2022

CSX 2021-165(AD) 1 $2,500 $2,500 $1,820 9/29/2022

CSX 2021-166(AD) 1 $2,500 $2,500 $1,820 9/29/2022

CSX 2021-167(AD) 1 $2,500 $2,500 $1,820 9/29/2022

CSX 2021-168(AD) 1 $2,500 $2,500 $1,820 9/29/2022

CSX 2021-169(AD) 1 $2,500 $2,500 $1,820 9/29/2022

CSX 2021-170(AD) 1 $2,500 $2,500 $1,820 9/29/2022

CSX 2021-171(AD) 1 $2,500 $2,500 $1,820 9/29/2022

CSX 2021-172(AD) 1 $2,500 $2,500 $1,820 9/29/2022

CSX 2021-173(AD) 1 $2,500 $2,500 $1,820 9/29/2022

CSX 2021-174(AD) 1 $5,000 $5,000 $3,610 9/29/2022

CSX 2021-175(AD) 1 $5,000 $5,000 $3,610 9/29/2022

CSX 2021-176(AD) 1 $5,000 $5,000 $3,610 9/29/2022

CSX 2021-177(AD) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2021-178(SA) 1 $5,000 $5,000 $3,650 9/29/2022

CSX 2021-181(GC) 1 $2,500 $2,500 $1,825 9/29/2022

CSX 2021-182(HMT) 1 $1,000 $1,000 $919 9/29/2022

CSX 2021-183(HMT) 1 $7,500 $7,500 $5,475 9/29/2022

CSX 2021-184(AD) 1 $2,500 $2,500 $1,820 9/29/2022

CSX 2021-185(AD) 1 $2,500 $2,500 $1,820 9/29/2022

CSX 2021-186(AD) 1 $2,500 $2,500 $1,820 9/29/2022

41
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

CSX 2021-187(AD) 1 $2,500 $2,500 $1,820 9/29/2022

CSX 2021-188(AD) 1 $2,500 $2,500 $1,820 9/29/2022

CSX 2021-189(AD) 1 $2,500 $2,500 $1,820 9/29/2022

CSX 2021-190(AD) 1 $2,500 $2,500 $1,820 9/29/2022

CSX 2021-191(AD) 1 $2,500 $2,500 $1,820 9/29/2022

CSX 2021-192(SA) 1 $2,500 $2,500 $1,825 9/29/2022

CSX 2021-193(AD) 1 $2,500 $2,500 $1,820 9/29/2022

CSX 2021-194(FCS) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-195(AD) 1 $2,500 $2,500 $1,820 9/29/2022

CSX 2021-196(AD) 1 $2,500 $2,500 $1,820 9/29/2022

CSX 2021-197(AD) 1 $2,500 $2,500 $1,820 9/29/2022

CSX 2021-198(AD) 1 $2,500 $2,500 $1,820 9/29/2022

CSX 2021-199(AD) 1 $2,500 $2,500 $1,820 9/29/2022

CSX 2021-200(SA) 1 $2,500 $2,500 $1,825 9/29/2022

CSX 2021-201(FCS) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2021-202(SA) 1 $5,000 $5,000 $3,650 9/29/2022

CSX 2021-203(SA) 1 $2,500 $2,500 $1,825 9/29/2022

CSX 2021-204(LI) 1 $3,000 $3,000 $2,190 9/29/2022

CSX 2021-205(SA) 1 $2,500 $2,500 $1,825 9/29/2022

CSX 2021-206(FCS) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-207(SA) 1 $5,000 $5,000 $3,650 9/29/2022

CSX 2021-208(HMT) 2 $7,500 $7,500 $5,475 9/29/2022

CSX 2021-209(AD) 1 $2,500 $2,500 $1,820 9/29/2022

CSX 2021-210(SA) 1 $5,000 $5,000 $3,650 9/29/2022

CSX 2021-211(AD) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-212(AD) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2021-213(AD) 1 $2,500 $0 $0 9/29/2022 Case 

Terminated

CSX 2021-214(AD) 1 $10,000 $10,000 $7,200 9/29/2022

CSX 2021-215(LI) 1 $2,500 $2,500 $1,825 9/29/2022

42
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

CSX 2021-216(SA) 1 $2,500 $2,500 $1,825 9/29/2022

CSX 2021-217(ROP) 1 $7,500 $7,500 $5,475 9/29/2022

CSX 2021-218(ROP) 1 $9,500 $9,500 $6,935 9/29/2022

CSX 2021-219(SA) 1 $2,500 $2,500 $1,825 9/29/2022

CSX 2021-220(LI) 1 $10,000 $10,000 $7,000 9/29/2022

CSX 2021-221(SA) 1 $5,000 $5,000 $3,650 9/29/2022

CSX 2021-222(GC) 1 $5,000 $5,000 $3,650 9/29/2022

CSX 2021-223(SA) 1 $5,000 $5,000 $3,650 9/29/2022

CSX 2021-224(SA) 1 $2,500 $2,500 $1,825 9/29/2022

CSX 2021-225(LI) 1 $2,000 $2,000 $1,460 9/29/2022

CSX 2021-226(AD) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-227(AD) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-229(EQ) 1 $7,500 $7,500 $5,435 9/29/2022

CSX 2021-230(CC) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2021-231(CC) 1 $7,500 $7,500 $5,435 9/29/2022

CSX 2021-232(LI) 1 $2,500 $2,500 $1,825 9/29/2022

CSX 2021-233(LI) 1 $2,500 $2,500 $1,825 9/29/2022

CSX 2021-234(SA) 1 $5,000 $5,000 $3,650 9/29/2022

CSX 2021-235(ROP) 1 $9,500 $9,500 $6,935 9/29/2022

CSX 2021-237(EQ) 1 $7,500 $7,500 $5,435 9/29/2022

CSX 2021-241(SA) 1 $5,000 $5,000 $3,650 9/29/2022

CSX 2021-242(TS) 1 $5,000 $5,000 $3,650 9/29/2022

CSX 2021-243(TS) 1 $5,000 $5,000 $3,650 9/29/2022

CSX 2021-244(AD) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-245(AD) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2021-246(AD) 1 $5,000 $0 $0 9/29/2022 Case 

Terminated

CSX 2021-247(AD) 1 $5,000 $0 $0 9/29/2022 Case 

Terminated

CSX 2021-248(AD) 1 $5,000 $5,000 $3,600 9/29/2022

43
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

CSX 2021-249(AD) 1 $20,000 $20,000 $14,400 9/29/2022

CSX 2021-250(AD) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-251(AD) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-252(AD) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2021-253(SA) 1 $2,500 $2,500 $1,825 9/29/2022

CSX 2021-254(SA) 1 $5,000 $5,000 $3,650 9/29/2022

CSX 2021-255(SA) 1 $10,000 $10,000 $7,200 9/29/2022

CSX 2021-256(FCS) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-258(ROP) 1 $9,500 $9,500 $6,935 9/29/2022

CSX 2021-259(GC) 1 $5,000 $5,000 $3,650 9/29/2022

CSX 2021-260(TS) 1 $2,500 $2,500 $1,825 9/29/2022

CSX 2021-262(SI) 1 $1,000 $1,000 $908 9/29/2022

CSX 2021-263(RW) 1 $3,000 $3,000 $2,190 9/29/2022

CSX 2021-264(ROP) 1 $7,500 $7,500 $5,475 9/29/2022

CSX 2021-265(SA) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-266(SA) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-267(SA) 1 $10,000 $10,000 $7,200 9/29/2022

CSX 2021-268(SA) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2021-269(SA) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-270(FCS) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-271(SA) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2021-272(SA) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-273(FCS) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-274(FCS) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-275(SA) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-276(SA) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2021-277(SA) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2021-278(AD) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-279(AD) 1 $2,500 $2,500 $1,800 9/29/2022

44
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

CSX 2021-280(AD) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-281(LI) 1 $2,000 $2,000 $1,460 9/29/2022

CSX 2021-282(SA) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-283(AD) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-284(AD) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-285(AD) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-286(SA) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-287(HMT) 1 $7,000 $7,000 $5,100 9/29/2022

CSX 2021-288(SA) 6 $37,500 $5,000 $4,600 9/29/2022 Terminated 

Violations: 

1

CSX 2021-289(SA) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2021-290(AD) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-291(AD) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-292(AD) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-293(AD) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2021-294(AD) 1 $10,000 $10,000 $7,200 9/29/2022

CSX 2021-295(SA) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-296(AD) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-297(ROP) 1 $9,500 $9,500 $6,935 9/29/2022

CSX 2021-299(ROP) 1 $9,500 $9,500 $6,935 9/29/2022

CSX 2021-300(AD) 1 $10,000 $10,000 $7,200 9/29/2022

CSX 2021-302(SA) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-303(SA) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-304(SA) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-305(TS) 1 $2,500 $2,500 $1,825 9/29/2022

CSX 2021-306(LI) 1 $1,000 $1,000 $919 9/29/2022

CSX 2021-307(LI) 1 $2,000 $2,000 $1,450 9/29/2022

CSX 2021-308(SA) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2021-309(GC) 1 $2,500 $2,500 $1,800 9/29/2022

45
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

CSX 2021-310(ROP) 1 $7,500 $7,500 $5,475 9/29/2022

CSX 2021-311(GC) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-312(SA) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2021-313(GC) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-314(GC) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-315(AD) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-316(GC) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2021-317(GC) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-318(GC) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-319(GC) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2021-320(GC) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2021-321(GC) 1 $2,500 $2,500 $1,825 9/29/2022

CSX 2021-322(GC) 1 $2,500 $2,500 $1,825 9/29/2022

CSX 2021-323(GC) 1 $2,500 $2,500 $1,825 9/29/2022

CSX 2021-324(GC) 1 $5,000 $5,000 $3,650 9/29/2022

CSX 2021-325(GC) 1 $2,500 $2,500 $1,825 9/29/2022

CSX 2021-326(GC) 1 $2,500 $2,500 $1,825 9/29/2022

CSX 2021-327(SA) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2021-328(FCS) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-329(SA) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-330(LI) 1 $2,500 $2,500 $1,825 9/29/2022

CSX 2021-331(SA) 1 $2,000 $2,000 $1,440 9/29/2022

CSX 2021-332(SA) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2021-333(SA) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2021-334(GC) 1 $2,500 $2,500 $1,825 9/29/2022

CSX 2021-335(GC) 1 $2,500 $2,500 $1,825 9/29/2022

CSX 2021-336(GC) 1 $2,500 $2,500 $1,825 9/29/2022

CSX 2021-337(GC) 1 $2,500 $2,500 $1,825 9/29/2022

CSX 2021-338(GC) 1 $2,500 $2,500 $1,825 9/29/2022

46
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

CSX 2021-339(GC) 1 $2,500 $2,500 $1,825 9/29/2022

CSX 2021-340(GC) 1 $7,500 $7,500 $5,475 9/29/2022

CSX 2021-341(GC) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-342(GC) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-343(GC) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-344(SI) 1 $5,000 $5,000 $4,524 9/29/2022

CSX 2021-345(SI) 1 $1,000 $1,000 $908 9/29/2022

CSX 2021-346(SI) 1 $1,000 $1,000 $919 9/29/2022

CSX 2021-347(SI) 1 $1,000 $1,000 $919 9/29/2022

CSX 2021-348(SI) 1 $3,000 $3,000 $2,757 9/29/2022

CSX 2021-349(SI) 1 $1,000 $1,000 $919 9/29/2022

CSX 2021-350(SI) 1 $1,000 $1,000 $908 9/29/2022

CSX 2021-351(SI) 1 $1,000 $1,000 $908 9/29/2022

CSX 2021-352(SI) 1 $3,000 $3,000 $2,724 9/29/2022

CSX 2021-353(ROP) 1 $5,000 $5,000 $3,650 9/29/2022

CSX 2021-354(AR) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-356(SA) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2021-358(GC) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2021-359(SA) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2021-360(EQ) 1 $18,000 $18,000 $16,542 9/29/2022

CSX 2021-361(SA) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2021-362(SA) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-364(HMT) 1 $7,500 $7,500 $5,475 9/29/2022

CSX 2021-365(HMT) 2 $28,500 $28,500 $20,805 9/29/2022

CSX 2021-366(ROP) 1 $7,500 $7,500 $5,475 9/29/2022

CSX 2021-367(SI) 1 $2,500 $2,500 $1,750 9/29/2022

CSX 2021-368(TS) 1 $2,500 $2,500 $1,825 9/29/2022

CSX 2021-369(SA) 1 $10,000 $5,000 $3,925 9/29/2022 Terminated 

Violations: 

1

47
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

CSX 2021-370(TS) 2 $3,500 $3,500 $2,555 9/29/2022

CSX 2021-372(LI) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2021-373(RSP) 1 $9,500 $9,500 $6,900 9/29/2022

CSX 2021-374(SA) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2021-375(FCS) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-376(ROP) 1 $9,500 $9,500 $6,935 9/29/2022

CSX 2021-377(HMT) 2 $43,500 $43,500 $31,755 9/29/2022

CSX 2021-379(GC) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2021-380(SA) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2021-382(LI) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-383(SA) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-384(SA) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-386(SA) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2021-387(SA) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2021-388(LI) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-389(SA) 1 $2,500 $2,500 $1,827 9/29/2022

CSX 2021-390(SA) 1 $2,500 $2,500 $1,825 9/29/2022

CSX 2021-391(ROR) 1 $7,500 $7,500 $5,025 9/29/2022

CSX 2021-392(ROP) 1 $9,500 $9,500 $6,935 9/29/2022

CSX 2021-394(ROP) 1 $7,500 $7,500 $5,475 9/29/2022

CSX 2021-396(ROP) 1 $7,500 $0 $0 9/29/2022 Case 

Terminated

CSX 2021-399(ROP) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2021-400(SA) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2021-402(RSP) 1 $5,500 $5,500 $4,000 9/29/2022

CSX 2021-403(TS) 1 $2,500 $2,500 $1,825 9/29/2022

CSX 2021-404(TS) 1 $2,500 $2,500 $1,825 9/29/2022

CSX 2021-405(SA) 1 $2,500 $2,500 $1,825 9/29/2022

CSX 2021-408(SA) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2021-410(ROR) 1 $19,000 $19,000 $13,870 9/29/2022

48
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

CSX 2021-411(ROR) 1 $19,000 $19,000 $13,750 9/29/2022

CSX 2021-412(SA) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2021-413(AR) 1 $2,500 $0 $0 9/29/2022 Case 

Terminated

CSX 2021-414(ROP) 1 $2,000 $2,000 $1,440 9/29/2022

CSX 2021-415(SA) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2021-416(LI) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-417(CC) 1 $22,500 $22,500 $16,500 9/29/2022

CSX 2021-418(ROP) 1 $9,500 $9,500 $6,840 9/29/2022

CSX 2021-419(SA) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2021-420(SA) 1 $15,000 $15,000 $11,000 9/29/2022

CSX 2021-422(SA) 1 $10,000 $10,000 $7,300 9/29/2022

CSX 2021-423(SI) 1 $2,500 $2,500 $1,750 9/29/2022

CSX 2021-424(GC) 1 $1,000 $1,000 $919 9/29/2022

CSX 2021-425(LI) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2021-426(FCS) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2022-002(SA) 1 $2,500 $2,500 $1,825 9/29/2022

CSX 2022-003(SA) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2022-004(SA) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2022-006(SA) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2022-011(SA) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2022-012(SA) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2022-013(SA) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2022-014(SA) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2022-016(HMT) 2 $5,000 $5,000 $3,560 9/29/2022

CSX 2022-017(SA) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2022-018(HMT) 1 $6,000 $6,000 $4,380 9/29/2022

CSX 2022-019(LI) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2022-021(SA) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2022-022(SA) 1 $2,500 $2,500 $1,800 9/29/2022

49
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

CSX 2022-023(SA) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2022-024(SA) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2022-026(ROP) 1 $7,500 $7,500 $5,435 9/29/2022

CSX 2022-027(SA) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2022-028(SA) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2022-029(ROR) 1 $15,000 $15,000 $11,000 9/29/2022

CSX 2022-031(ROP) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2022-032(ROP) 1 $9,500 $9,500 $6,840 9/29/2022

CSX 2022-033(EQ) 1 $7,500 $7,500 $5,435 9/29/2022

CSX 2022-036(SA) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2022-037(SA) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2022-038(SA) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2022-039(SA) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2022-041(SA) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2022-042(GC) 1 $1,000 $1,000 $919 9/29/2022

CSX 2022-043(GC) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2022-044(GC) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2022-046(GC) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2022-047(GC) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2022-048(SI) 1 $2,500 $2,500 $1,750 9/29/2022

CSX 2022-049(SA) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2022-050(CIS) 1 $10,000 $10,000 $6,800 9/29/2022

CSX 2022-051(CIS) 1 $10,000 $10,000 $6,800 9/29/2022

CSX 2022-052(SA) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2022-053(ROP) 1 $7,500 $7,500 $5,436 9/29/2022

CSX 2022-056(FCS) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2022-057(FCS) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2022-059(HMT) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2022-060(FCS) 1 $5,000 $5,000 $3,600 9/29/2022

 50
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

CSX 2022-061(HMT) 1 $6,000 $6,000 $4,380 9/29/2022

CSX 2022-062(ROP) 1 $7,500 $7,500 $5,436 9/29/2022

CSX 2022-064(SA) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2022-065(SA) 1 $5,000 $5,000 $3,600 9/29/2022

CSX 2022-066(SA) 1 $2,500 $2,500 $1,800 9/29/2022

CSX 2022-068(ROP) 1 $9,500 $9,500 $6,840 9/29/2022

CSX 2022-069(SA) 1 $5,000 $5,000 $3,600 9/29/2022

CUOH 2021-001(HMT) 1 $20,000 $20,000 $14,000 9/28/2022

CW 2021-001(CC) 1 $5,000 $5,000 $5,000 1/26/2022

CW 2021-002(AD) 1 $5,000 $5,000 $5,000 1/25/2022

CW 2021-003(CC) 1 $2,500 $2,500 $2,500 1/26/2022

DCR 2021-001(RSP) 1 $9,500 $0 $0 3/22/2022 Case 

Terminated

DCTA 2020-001(AD) 1 $5,000 $5,000 $3,750 11/23/2021

DCTA 2021-001(TS) 1 $5,000 $5,000 $3,750 11/23/2021

DENZ 2021-001(HMT) 1 $4,000 $4,000 $2,500 11/2/2021

DRIR 2021-001(AD) 1 $2,500 $2,500 $892 3/15/2022

EARY 2021-001(ROP) 1 $7,500 $7,500 $5,400 9/28/2022

ELWX 2021-001(LI) 1 $2,500 $2,500 $2,500 4/15/2022

EMRY 2021-002(EQ) 1 $2,500 $2,500 $1,750 8/17/2022

ERSZ 2021-001(HMT) 1 $5,000 $5,000 $3,400 9/6/2022

ERSZ 2021-002(HMT) 1 $6,000 $6,000 $4,380 9/6/2022

FCR 2022-001(RMM) 1 $5,000 $5,000 $3,500 8/31/2022

FEC 2016-004(GC) 1 $2,500 $0 $0 9/30/2022 Case 

Terminated

FEC 2016-005(GC) 1 $5,000 $0 $0 9/30/2022 Case 

Terminated

FEC 2016-008(AR) 1 $2,500 $0 $0 9/30/2022 Case 

Terminated

FEC 2016-009(AR) 1 $1,000 $0 $0 9/30/2022 Case 

Terminated

FEC 2020-009(ROP) 1 $9,500 $9,500 $7,000 4/7/2022

 51
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

FEC 2020-010(LI) 1 $1,500 $1,500 $1,200 4/7/2022

FEC 2021-001(HSR) 1 $1,000 $1,000 $920 4/7/2022

FEC 2021-002(HSR) 1 $2,500 $2,500 $1,500 4/7/2022

FEC 2021-003(SA) 1 $5,000 $5,000 $3,000 4/7/2022

FEC 2021-004(HS) 1 $1,000 $1,000 $920 4/7/2022

FEC 2021-005(HS) 1 $1,000 $1,000 $920 4/7/2022

FEC 2021-006(HS) 1 $1,000 $1,000 $920 4/7/2022

FEC 2021-007(HSR) 1 $1,000 $1,000 $920 4/7/2022

FEC 2021-008(HS) 1 $1,000 $1,000 $920 4/7/2022

FEC 2021-009(HSR) 1 $1,000 $1,000 $920 4/7/2022

FEC 2021-010(GC) 1 $1,000 $1,000 $920 4/7/2022

FEC 2021-011(GC) 1 $1,000 $1,000 $920 4/7/2022

FEC 2021-012(GC) 1 $1,000 $1,000 $920 4/7/2022

FEC 2021-013(GC) 1 $1,000 $1,000 $920 4/7/2022

FEC 2021-014(GC) 1 $1,000 $1,000 $920 4/7/2022

FEC 2021-015(GC) 1 $1,000 $1,000 $920 4/7/2022

FEC 2021-016(HSR) 1 $1,000 $1,000 $920 4/7/2022

FEC 2021-017(HSR) 1 $1,000 $1,000 $920 4/7/2022

FEC 2021-018(ROP) 1 $9,500 $9,500 $7,000 4/7/2022

FEC 2021-019(HSR) 1 $2,500 $2,500 $1,500 4/7/2022

FEC 2021-020(HSR) 1 $9,000 $9,000 $8,030 4/7/2022

FEC 2021-021(ROP) 1 $9,500 $9,500 $7,000 4/7/2022

FEC 2021-022(SA) 1 $5,000 $5,000 $2,750 4/7/2022

FEC 2021-023(AD) 1 $2,500 $2,500 $1,500 4/7/2022

FEC 2021-024(SA) 1 $5,000 $5,000 $2,800 4/7/2022

FEC 2021-025(SI) 1 $1,000 $1,000 $920 4/7/2022

FEC 2021-026(ROP) 1 $9,500 $9,500 $7,000 4/7/2022

FEC 2021-027(SA) 1 $5,000 $5,000 $3,900 9/30/2022

FEC 2021-028(ROP) 1 $9,500 $9,500 $7,000 9/30/2022

52
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

FEC 2021-029(SA) 1 $5,000 $5,000 $3,900 9/30/2022

FEC 2022-001(SA) 1 $5,000 $5,000 $3,900 9/30/2022

FEC 2022-002(SA) 1 $5,000 $5,000 $3,900 9/30/2022

FEC 2022-003(SA) 1 $5,000 $5,000 $3,900 9/30/2022

FEC 2022-004(HMT) 1 $25,000 $25,000 $12,250 9/30/2022

FEC 2022-005(HMT) 2 $8,000 $8,000 $7,000 9/30/2022

FEC 2022-006(ROP) 1 $5,000 $5,000 $3,900 9/30/2022

FEC 2022-007(HMT) 1 $2,000 $2,000 $1,700 9/30/2022

FEC 2022-008(SA) 1 $5,000 $5,000 $3,900 9/30/2022

FEC 2022-009(SA) 1 $5,000 $5,000 $3,900 9/30/2022

FEC 2022-010(GC) 1 $5,000 $5,000 $3,900 9/30/2022

FEC 2022-011(GC) 1 $5,000 $5,000 $4,000 9/30/2022

FGA 2020-002(LI) 1 $2,500 $2,500 $1,250 5/6/2022

FGA 2020-003(LI) 2 $3,500 $3,500 $2,142 5/6/2022

FGA 2020-004(LI) 1 $2,500 $2,500 $1,250 5/6/2022

FGA 2020-005(LI) 1 $2,500 $2,500 $1,250 5/6/2022

FGA 2020-007(LI) 1 $2,500 $2,500 $1,250 5/6/2022

FGA 2020-008(LI) 1 $2,500 $2,500 $1,250 5/6/2022

FGA 2020-009(LI) 1 $2,500 $2,500 $1,250 5/6/2022

FGA 2020-010(SA) 1 $5,000 $0 $0 5/6/2022 Case 

Terminated

FGA 2020-011(LI) 1 $2,500 $2,500 $1,250 5/6/2022

FGA 2020-013(LI) 1 $2,500 $2,500 $1,400 5/6/2022

FGA 2020-014(LI) 1 $2,500 $2,500 $1,400 5/6/2022

FGA 2020-015(LI) 1 $2,500 $2,500 $1,250 5/6/2022

FGA 2020-016(LI) 1 $2,500 $2,500 $1,250 5/6/2022

FGA 2020-017(LI) 1 $2,500 $2,500 $1,250 5/6/2022

FGA 2020-018(LI) 1 $2,500 $2,500 $1,250 5/6/2022

FGA 2021-002(ROP) 1 $5,000 $5,000 $2,500 5/6/2022

 53
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

FSR 2004-001(TS) 4 $12,500 $0 $0 6/29/2022 Case 

Terminated

FSR 2014-002(RW) 1 $3,000 $3,000 $2,250 6/29/2022

FSR 2015-001(TS) 1 $5,000 $5,000 $4,250 6/29/2022

FSR 2015-002(GC) 1 $5,000 $5,000 $4,500 6/19/2022

FSR 2016-001(TS) 2 $12,000 $12,000 $8,500 8/29/2022

FSR 2017-001(RW) 1 $2,000 $2,000 $1,400 6/29/2022

GC 2022-001(LI) 1 $2,500 $2,500 $1,800 9/28/2022

GFRR 2021-001(TS) 1 $5,000 $5,000 $4,000 8/31/2022

GLCT 2022-001(LI) 1 $2,500 $2,500 $2,500 6/16/2022

GNWR 2016-001(ROP) 1 $9,500 $0 $0 9/28/2022 Case 

Terminated

GRNW 2022-001(SA) 1 $2,500 $2,500 $2,000 9/29/2022

GRYY 2015-001(HMT) 1 $6,000 $0 $0 3/4/2022 Case 

Terminated

GS 2020-002(TS) 1 $5,000 $5,000 $4,250 8/29/2022

GSWY 2017-001(GC) 2 $10,000 $0 $0 9/28/2022 Case 

Terminated

GSWY 2017-002(LI) 1 $2,500 $0 $0 9/28/2022 Case 

Terminated

GSWY 2019-001(GC) 5 $5,000 $0 $0 9/28/2022 Case 

Terminated

GSWY 2019-002(GC) 1 $1,500 $0 $0 9/28/2022 Case 

Terminated

GWR 2019-002(TS) 1 $5,000 $5,000 $3,400 10/6/2021

GWR 2020-001(TS) 1 $5,000 $5,000 $3,400 10/6/2021

HAR 2021-001(HMT) 1 $4,000 $4,000 $4,000 7/21/2022

HRT 2020-002(RW) 3 $7,000 $7,000 $3,500 9/23/2022

IHB 2021-008(EQ) 2 $33,000 $33,000 $24,300 5/2/2022

IHB 2021-009(EQ) 1 $35,000 $30,000 $24,000 11/16/2021 Terminated 

Violations: 

1

IHB 2021-012(CC) 1 $2,000 $2,000 $1,816 11/16/2021

IHB 2021-015(EQ) 1 $2,000 $2,000 $1,800 11/8/2021

 54
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

IHB 2021-017(SA) 1 $2,500 $2,500 $1,875 11/5/2021

IHB 2021-019(EQ) 1 $5,000 $5,000 $3,700 5/2/2022

IHB 2021-020(FCS) 1 $2,500 $2,500 $1,800 5/2/2022

IHB 2022-001(SA) 1 $5,000 $5,000 $3,600 5/12/2022

IHB 2022-002(FCS) 1 $2,500 $2,500 $1,900 5/2/2022

IHB 2022-003(SA) 1 $2,500 $2,500 $1,900 5/2/2022

IHB 2022-004(SA) 1 $2,500 $2,500 $1,900 5/2/2022

IHB 2022-005(LI) 1 $1,500 $1,500 $1,100 5/2/2022

IHTR 2021-001(TS) 4 $8,000 $3,000 $3,000 10/28/2021

IMRR 2020-001(EQ) 1 $2,500 $0 $0 9/28/2022 Case 

Terminated

IMRR 2020-004(EQ) 1 $2,500 $0 $0 9/28/2022 Case 

Terminated

IN 2020-001(AD) 1 $7,500 $2,500 $2,500 11/19/2021 Terminated 

Violations: 

1

INPR 2021-001(SA) 1 $5,000 $5,000 $4,000 11/30/2021

INTD 2022-001(HMT) 1 $5,000 $5,000 $5,000 3/8/2022

IORY 2021-001(HSR) 1 $1,500 $1,500 $1,150 9/28/2022

IORY 2021-002(ROP) 1 $9,500 $9,500 $6,650 9/28/2022

IORY 2021-003(TS) 1 $1,000 $1,000 $950 9/28/2022

IR 2020-010(LI) 1 $2,500 $2,500 $1,500 8/31/2022

IR 2021-001(LI) 1 $2,500 $2,500 $1,500 8/31/2022

KCS 2020-036(SA) 1 $5,000 $5,000 $3,500 7/11/2022

KCS 2021-005(SA) 1 $5,000 $5,000 $3,750 7/11/2022

KCS 2021-019(HMT) 1 $2,500 $2,500 $1,625 7/11/2022

KCS 2021-020(SA) 1 $2,500 $0 $0 7/11/2022 Case 

Terminated

KCS 2021-021(SA) 1 $2,500 $0 $0 7/11/2022 Case 

Terminated

KCS 2021-022(SA) 1 $2,500 $2,500 $2,000 7/11/2022

KCS 2021-023(SA) 1 $2,500 $2,500 $2,000 7/11/2022

 55
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

KCS 2021-024(SA) 1 $2,500 $2,500 $1,700 7/11/2022

KCS 2021-025(SA) 1 $5,000 $5,000 $3,750 7/11/2022

KCS 2021-026(LI) 1 $2,500 $2,500 $2,000 7/11/2022

KCS 2021-027(HMT) 2 $6,000 $6,000 $4,500 7/11/2022

KCS 2021-028(SA) 1 $2,500 $2,500 $1,700 7/11/2022

KCS 2021-029(SA) 1 $2,500 $2,500 $2,000 7/11/2022

KCS 2021-030(SI) 1 $5,000 $5,000 $4,000 7/11/2022

KCS 2021-031(SA) 1 $2,500 $2,500 $2,000 7/11/2022

KCS 2021-033(SA) 1 $5,000 $5,000 $3,500 7/11/2022

KCS 2022-001(RW) 1 $1,500 $1,500 $1,500 7/11/2022

KCS 2022-002(ROP) 1 $13,000 $13,000 $11,000 7/11/2022

KCS 2022-003(SA) 1 $5,000 $5,000 $3,500 7/11/2022

KJRY 2020-001(SA) 1 $2,500 $2,500 $1,750 6/20/2022

KJRY 2021-001(ROP) 1 $5,000 $5,000 $4,250 6/29/2022

KJRY 2021-002(TS) 1 $5,000 $5,000 $4,250 6/29/2022

KJRY 2022-001(ROP) 1 $7,500 $7,500 $6,375 6/29/2022

KNWA 2021-001(AD) 1 $2,500 $2,500 $1,750 9/29/2022

KRR 2021-002(TS) 1 $5,000 $5,000 $3,000 9/28/2022

KRR 2021-003(TS) 3 $7,500 $7,500 $4,500 9/28/2022

KRR 2021-004(TS) 1 $2,500 $2,500 $1,500 9/28/2022

KRR 2021-005(TS) 2 $7,500 $7,500 $4,500 9/28/2022

KRR 2021-006(ROP) 1 $9,500 $9,500 $7,000 9/28/2022

KRR 2021-007(SA) 1 $5,000 $5,000 $3,900 9/28/2022

KRSV 2021-001(CC) 1 $1,000 $1,000 $1,000 1/31/2022

KYLE 2021-001(RW) 1 $5,000 $5,000 $3,800 9/28/2022

KYLE 2021-002(TS) 1 $1,000 $1,000 $950 9/28/2022

LECQ 2020-001(HMT) 2 $12,500 $12,500 $12,500 5/18/2022

LI 2019-001(RSP) 1 $5,000 $0 $0 1/31/2022 Case 

Terminated

LI 2019-002(SI) 1 $1,000 $1,000 $870 2/4/2022

 56
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

LI 2020-001(SI) 1 $2,500 $2,500 $1,625 2/4/2022

LRY 2016-001(TS) 5 $35,000 $0 $0 2/1/2022 Case 

Terminated

LRY 2016-002(TS) 6 $46,500 $0 $0 2/1/2022 Case 

Terminated

LRY 2016-003(GC) 1 $1,000 $0 $0 2/1/2022 Case 

Terminated

LRY 2016-004(GC) 1 $2,500 $0 $0 2/1/2022 Case 

Terminated

LRY 2016-005(ROP) 3 $28,500 $0 $0 2/1/2022 Case 

Terminated

LRY 2016-006(SA) 1 $5,000 $0 $0 2/1/2022 Case 

Terminated

LRY 2016-007(TS) 1 $5,000 $0 $0 2/1/2022 Case 

Terminated

LRY 2016-008(RW) 1 $1,000 $0 $0 2/1/2022 Case 

Terminated

LRY 2016-009(HMT) 1 $17,500 $0 $0 2/1/2022 Case 

Terminated

LRY 2017-001(GC) 1 $1,000 $0 $0 2/1/2022 Case 

Terminated

LRY 2017-002(SA) 1 $5,000 $0 $0 2/1/2022 Case 

Terminated

LRY 2017-003(ROP) 1 $7,500 $0 $0 2/1/2022 Case 

Terminated

LRY 2017-004(FCS) 1 $5,000 $0 $0 2/1/2022 Case 

Terminated

LRY 2017-006(LI) 1 $2,500 $0 $0 2/1/2022 Case 

Terminated

LRY 2017-007(TS) 2 $2,000 $0 $0 2/1/2022 Case 

Terminated

LRY 2017-008(RW) 1 $2,000 $0 $0 2/1/2022 Case 

Terminated

LRY 2017-009(RMM) 1 $2,500 $0 $0 2/1/2022 Case 

Terminated

LRY 2017-010(HSR) 1 $27,455 $0 $0 2/1/2022 Case 

Terminated

LRY 2017-011(FCS) 1 $5,000 $0 $0 2/1/2022 Case 

Terminated

LRY 2017-012(ROP) 2 $37,500 $0 $0 2/1/2022 Case 

Terminated

 57
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

LRY 2017-013(SA) 3 $15,000 $0 $0 2/1/2022 Case 

Terminated

LRY 2017-014(AR) 1 $2,500 $0 $0 2/1/2022 Case 

Terminated

LRY 2017-015(HMT) 1 $17,500 $0 $0 2/1/2022 Case 

Terminated

LRY 2018-001(AR) 1 $2,500 $0 $0 2/1/2022 Case 

Terminated

LS 2021-002(LI) 1 $2,500 $2,500 $1,800 9/30/2022

MACZ 2019-001(SA) 1 $2,500 $2,500 $2,000 3/7/2022

MACZ 2020-001(AR) 1 $2,500 $2,500 $2,300 3/7/2022

MACZ 2021-001(ROP) 1 $2,000 $2,000 $1,500 3/7/2022

MACZ 2021-002(PEQ) 1 $10,000 $10,000 $8,000 3/7/2022

MALI 2022-001(HMT) 1 $10,000 $10,000 $7,500 5/11/2022

MBTA 2018-056(ROR) 1 $9,500 $9,500 $8,075 10/15/2021

MBTA 2019-010(RW) 1 $3,000 $3,000 $2,400 10/15/2021

MBTA 2019-011(PEQ) 1 $5,000 $5,000 $4,000 10/15/2021

MBTA 2019-028(TS) 1 $5,000 $5,000 $4,250 10/15/2021

MBTA 2020-001(HSR) 1 $1,000 $1,000 $900 10/15/2021

MBTA 2020-002(PEQ) 1 $5,000 $5,000 $4,000 10/15/2021

MBTA 2020-003(AR) 1 $1,000 $1,000 $1,000 10/15/2021

MBTA 2020-004(RW) 1 $3,000 $3,000 $2,400 10/15/2021

MBTA 2020-005(PEQ) 1 $5,000 $5,000 $4,000 10/15/2021

MBTA 2020-006(HSR) 1 $1,000 $1,000 $900 10/15/2021

MBTA 2020-007(PEQ) 1 $5,000 $5,000 $4,000 10/15/2021

MBTA 2020-008(PEQ) 1 $5,000 $5,000 $4,250 10/15/2021

MBTA 2020-009(PEQ) 1 $5,000 $5,000 $4,000 10/15/2021

MBTA 2020-010(TS) 1 $5,000 $5,000 $4,250 10/15/2021

MBTA 2020-011(PEQ) 1 $15,000 $15,000 $7,500 10/15/2021

MBTA 2020-012(ROP) 1 $5,000 $5,000 $4,000 10/15/2021

MBTA 2020-013(PEQ) 1 $15,000 $15,000 $7,500 10/15/2021

 58
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

MBTA 2020-014(PEQ) 1 $15,000 $15,000 $7,500 10/15/2021

MBTA 2020-015(RSP) 1 $9,500 $9,500 $8,550 10/15/2021

MBTA 2020-016(HS) 1 $1,000 $1,000 $900 10/15/2021

MBTA 2020-017(TS) 1 $5,000 $5,000 $4,250 10/15/2021

MBTA 2020-018(HS) 1 $1,000 $1,000 $900 10/15/2021

MBTA 2020-019(PEQ) 1 $5,000 $5,000 $4,000 10/15/2021

MBTA 2020-020(PEQ) 1 $5,000 $5,000 $4,000 10/15/2021

MBTA 2021-001(PEQ) 1 $5,000 $5,000 $4,000 10/15/2021

MBTA 2021-002(RW) 1 $3,000 $3,000 $2,190 5/31/2022

MBTA 2021-003(RW) 1 $3,000 $3,000 $2,190 5/31/2022

MBTA 2021-004(RW) 1 $3,000 $3,000 $2,190 5/31/2022

MBTA 2021-005(TS) 1 $5,000 $5,000 $3,650 5/31/2022

MBTA 2021-006(TS) 1 $10,000 $10,000 $7,300 5/31/2022

MBTA 2022-001(RW) 1 $3,000 $3,000 $2,190 5/31/2022

MBTA 2022-002(AD) 1 $2,500 $2,500 $1,825 5/31/2022

MBTA 2022-003(AD) 1 $15,000 $15,000 $10,950 5/31/2022

MBTA 2022-004(AD) 1 $5,000 $5,000 $3,650 5/31/2022

MBTA 2022-005(AD) 1 $2,500 $2,500 $1,825 5/31/2022

MBTA 2022-006(AD) 1 $2,500 $2,500 $1,825 5/31/2022

MBTA 2022-007(CC) 1 $2,500 $2,500 $1,850 5/31/2022

MBTA 2022-008(AD) 1 $2,500 $2,500 $1,800 5/31/2022

MBTA 2022-009(AD) 1 $5,000 $5,000 $3,650 5/31/2022

MBTA 2022-010(AD) 1 $2,500 $2,500 $1,825 5/31/2022

MBTA 2022-011(AD) 1 $2,500 $2,500 $1,825 5/31/2022

MBTA 2022-012(AD) 1 $2,500 $2,500 $1,825 5/31/2022

MBTA 2022-013(AD) 1 $2,500 $2,500 $1,825 5/31/2022

MBTA 2022-014(AD) 1 $12,500 $12,500 $9,125 5/31/2022

MBTA 2022-015(ROP) 1 $5,000 $5,000 $3,650 5/31/2022

MBTA 2022-016(RW) 1 $1,500 $1,500 $1,095 5/31/2022

 59
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

MDDE 2020-001(GC) 1 $5,000 $5,000 $3,250 3/2/2022

MDS 2022-001(TS) 1 $5,000 $5,000 $3,500 8/29/2022

MEC 2022-001(TS) 1 $5,000 $5,000 $4,250 9/27/2022

MEC 2022-002(TS) 1 $5,000 $5,000 $4,250 9/27/2022

MMRR 2021-001(AD) 1 $5,000 $5,000 $3,800 9/28/2022

MNA 2021-004(CC) 1 $7,500 $0 $0 9/28/2022 Case 

Terminated

MNA 2021-005(EQ) 1 $7,500 $0 $0 9/28/2022 Case 

Terminated

MNCW 2020-001(TS) 1 $5,000 $5,000 $4,000 11/9/2021

MNCW 2020-002(TS) 1 $5,000 $5,000 $2,500 11/9/2021

MNCW 2020-003(TS) 1 $5,000 $5,000 $4,000 11/9/2021

MNCW 2020-004(ROP) 1 $7,500 $7,500 $6,375 11/9/2021

MNCW 2020-005(SA) 1 $5,000 $5,000 $4,000 11/9/2021

MNCW 2021-001(RSP) 1 $5,000 $5,000 $4,750 11/9/2021

MNCW 2021-002(PEQ) 1 $5,000 $5,000 $4,000 11/9/2021

MNCW 2021-003(PEQ) 1 $5,000 $5,000 $3,600 8/17/2022

MNCW 2021-004(ROP) 1 $7,500 $15,000 $5,475 8/17/2022

MNCW 2021-005(RSP) 1 $9,500 $9,500 $6,650 8/17/2022

MNCW 2021-006(ROP) 1 $7,500 $7,500 $5,475 8/17/2022

MNCW 2021-007(RW) 1 $3,000 $3,000 $2,100 8/17/2022

MNCW 2021-008(RW) 1 $5,000 $5,000 $3,650 8/17/2022

MNCW 2021-009(BW) 1 $5,000 $5,000 $3,650 8/17/2022

MNCW 2021-010(TS) 1 $5,000 $5,000 $3,500 8/17/2022

MNCW 2021-011(RSP) 1 $1,000 $1,000 $919 8/17/2022

MNCW 2021-012(ROP) 1 $7,500 $7,500 $5,475 8/17/2022

MNN 2020-001(SA) 1 $5,000 $5,000 $5,000 3/2/2022

MNN 2020-002(SA) 1 $2,500 $2,500 $2,500 3/2/2022

MNR 2021-001(EQ) 1 $5,000 $5,000 $3,500 5/20/2022

MRL 2021-003(TS) 1 $5,000 $5,000 $2,500 5/27/2022

60
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

MRL 2021-004(EQ) 1 $2,500 $2,500 $1,875 5/27/2022

MRL 2021-005(EQ) 1 $2,500 $2,500 $1,875 5/27/2022

MRL 2021-006(TS) 1 $5,000 $5,000 $2,500 5/27/2022

MRL 2021-007(TS) 1 $5,000 $5,000 $2,500 5/27/2022

MRL 2021-008(ROR) 1 $9,500 $0 $0 5/27/2022 Case 

Terminated

MRL 2021-009(ROR) 1 $9,500 $9,500 $7,125 5/27/2022

MRL 2021-010(ROR) 1 $9,500 $9,500 $7,125 5/27/2022

MRL 2021-011(EQ) 1 $12,000 $12,000 $8,880 5/27/2022

MRL 2021-012(EQ) 1 $3,000 $3,000 $2,250 5/27/2022

MRL 2021-013(CC) 1 $2,500 $2,500 $1,750 5/27/2022

MRL 2021-014(SA) 1 $5,000 $5,000 $3,750 5/27/2022

MRL 2021-015(SA) 1 $5,000 $5,000 $3,750 5/27/2022

MRL 2021-016(SA) 1 $2,500 $2,500 $1,875 5/27/2022

MRL 2021-017(SA) 1 $5,000 $5,000 $3,750 5/27/2022

MRL 2021-018(ROR) 1 $9,500 $9,500 $7,125 5/27/2022

MRL 2022-001(ROR) 1 $2,500 $2,500 $1,875 5/27/2022

NBER 2021-001(SA) 1 $5,000 $5,000 $919 12/10/2021

NCIQ 2020-001(HMT) 1 $2,000 $2,000 $2,000 1/21/2022

NCIR 2020-001(BSS) 1 $10,000 $10,000 $3,568 12/10/2021

NCTC 2020-001(EQ) 1 $2,000 $2,000 $2,000 1/27/2022

NCTC 2021-001(EQ) 1 $5,000 $5,000 $5,000 1/27/2022

NDW 2020-001(RW) 1 $3,000 $3,000 $3,000 10/5/2021

NERR 2020-002(GC) 1 $5,000 $5,000 $5,000 10/29/2021

NKCR 2019-001(TS) 1 $2,500 $2,500 $2,000 8/31/2022

NKCR 2019-002(TS) 1 $2,500 $2,500 $2,000 8/31/2022

NKCR 2019-003(ROP) 1 $7,500 $7,500 $6,250 8/31/2022

NKCR 2019-004(AD) 1 $5,000 $5,000 $3,000 8/31/2022

NKCR 2022-001(GC) 1 $2,500 $2,500 $2,000 8/31/2022

NMQQ 2019-001(HMT) 1 $2,000 $2,000 $2,000 10/5/2021

 61
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

NMQQ 2020-001(HMT) 1 $2,000 $2,000 $2,000 10/5/2021

NOPB 2020-001(TS) 2 $22,500 $12,500 $7,500 12/8/2021 Terminated 

Violations: 

1

NSR 2020-001(HSR) 1 $1,000 $1,000 $892 8/31/2022

NYSW 2019-001(AD) 1 $2,500 $2,500 $870 12/7/2021

NYSW 2020-001(SA) 1 $2,500 $2,500 $1,625 12/7/2021

NYSW 2020-002(SA) 1 $5,000 $5,000 $3,250 12/7/2021

OERR 2020-003(SA) 1 $5,000 $5,000 $2,500 9/27/2022

OPR 2013-001(TS) 1 $7,000 $0 $0 6/21/2022 Case 

Terminated

OPR 2013-002(TS) 1 $5,000 $0 $0 6/21/2022 Case 

Terminated

OPR 2017-001(BSS) 3 $7,500 $0 $0 6/21/2022 Case 

Terminated

OPR 2017-003(EQ) 1 $1,000 $0 $0 6/21/2022 Case 

Terminated

PAS 2021-002(ROP) 1 $7,500 $7,500 $6,900 9/27/2022

PCC 2021-001(AD) 1 $10,000 $10,000 $7,500 9/29/2022

PCN 2021-001(TS) 14 $34,500 $34,500 $19,000 9/28/2022

PNR 2022-003(TS) 1 $2,500 $2,500 $2,000 8/31/2022

PNWR 2021-004(SA) 1 $5,000 $5,000 $4,000 9/28/2022

PNWR 2021-005(GC) 1 $5,000 $5,000 $4,000 9/28/2022

PNWR 2021-006(TS) 1 $2,500 $2,500 $1,850 9/28/2022

PNWR 2022-001(TS) 1 $7,000 $7,000 $5,600 9/28/2022

PSAP 2021-002(TS) 1 $5,000 $5,000 $3,900 9/28/2022

PSAP 2021-003(TS) 1 $1,000 $1,000 $1,000 9/28/2022

PSAP 2022-001(TS) 1 $5,000 $5,000 $3,750 9/28/2022

PTO 2021-001(SA) 1 $5,000 $5,000 $3,600 9/30/2022

PTO 2021-002(TS) 2 $5,000 $5,000 $3,600 9/30/2022

PW 2021-002(AR) 1 $2,500 $2,500 $1,950 9/28/2022

PW 2021-003(AR) 1 $2,500 $2,500 $2,000 9/28/2022

 62
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

PW 2021-004(ROP) 1 $7,500 $7,500 $5,900 9/28/2022

RCPE 2021-001(TS) 1 $5,000 $5,000 $3,750 9/28/2022

RCPE 2021-002(AD) 1 $10,000 $10,000 $8,000 9/28/2022

RJCC 2021-001(AD) 1 $2,500 $2,500 $2,500 7/5/2022

RJCC 2021-002(AD) 1 $2,500 $2,500 $2,500 7/5/2022

RJCC 2022-001(AD) 1 $5,000 $5,000 $5,000 7/5/2022

SBG 2020-001(AD) 1 $2,500 $2,500 $1,875 5/13/2022

SCAX 2021-001(PEQ) 1 $5,000 $5,000 $3,250 4/4/2022

SJVR 2021-001(ROP) 1 $7,500 $7,500 $6,000 9/28/2022

SJVR 2021-002(TS) 1 $2,500 $2,500 $2,000 9/28/2022

SKOL 2021-001(TS) 1 $5,000 $5,000 $3,500 9/29/2022

SMRT 2018-001(GC) 1 $2,500 $2,500 $1,250 8/8/2022

SMRT 2018-003(SI) 1 $10,000 $0 $0 4/12/2022 Case 

Terminated

SMRT 2019-001(ROR) 1 $5,000 $5,000 $3,750 8/8/2022

SMRT 2019-003(PEP) 1 $2,500 $2,500 $1,800 8/8/2022

SMRT 2019-004(PEP) 1 $2,500 $0 $0 8/8/2022 Case 

Terminated

SMRT 2019-005(ROR) 1 $9,500 $9,500 $6,200 8/8/2022

SMRT 2019-006(GC) 1 $5,000 $5,000 $3,900 8/8/2022

SMRT 2019-007(SI) 1 $10,000 $0 $0 8/8/2022 Case 

Terminated

SNY 2021-002(TS) 1 $2,500 $2,500 $2,500 5/17/2022

SOU 2020-015(HSR) 1 $30,000 $30,000 $13,380 9/30/2022

SOU 2020-040(HSR) 1 $15,000 $15,000 $13,380 9/30/2022

SOU 2020-071(AD) 1 $10,000 $10,000 $7,200 9/30/2022

SOU 2020-085(HSR) 1 $12,000 $12,000 $10,704 9/30/2022

SOU 2020-092(AD) 1 $5,000 $5,000 $3,600 9/30/2022

SOU 2020-122(AD) 1 $2,500 $2,500 $1,800 9/30/2022

SOU 2020-137(AD) 1 $2,500 $2,500 $1,800 9/30/2022

SOU 2020-146(AD) 1 $2,500 $2,500 $1,800 9/30/2022

 63
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

SOU 2020-149(AD) 1 $2,500 $2,500 $1,800 9/30/2022

SOU 2020-170(AD) 1 $7,500 $7,500 $5,400 9/30/2022

SOU 2020-187(HSR) 1 $1,000 $1,000 $892 9/30/2022

SOU 2020-237(SA) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2020-242(HSR) 1 $6,000 $6,000 $2,676 9/30/2022

SOU 2020-422(AR) 1 $2,500 $2,500 $1,800 9/30/2022

SOU 2020-425(AR) 1 $2,500 $2,500 $1,800 9/30/2022

SOU 2020-436(TS) 1 $2,500 $2,500 $1,750 9/30/2022

SOU 2020-439(ROP) 1 $7,500 $7,500 $5,625 9/30/2022

SOU 2020-451(AR) 1 $2,500 $2,500 $1,800 9/30/2022

SOU 2020-454(AR) 1 $2,500 $2,500 $1,800 9/30/2022

SOU 2020-460(ROP) 1 $9,500 $9,500 $7,125 9/30/2022

SOU 2020-472(ROP) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2020-475(RW) 1 $1,000 $1,000 $892 9/30/2022

SOU 2020-484(HMT) 1 $5,000 $5,000 $3,575 9/30/2022

SOU 2020-495(SA) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2020-496(FCS) 1 $2,000 $2,000 $1,650 9/30/2022

SOU 2020-499(LI) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2020-502(SA) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2020-505(SA) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2020-507(SA) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2020-508(SA) 1 $5,000 $5,000 $3,750 9/30/2022

SOU 2020-511(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

SOU 2020-514(HMT) 1 $2,000 $2,000 $1,500 9/30/2022

SOU 2020-517(FCS) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2020-520(TS) 1 $5,000 $5,000 $3,750 9/30/2022

SOU 2020-523(SA) 1 $2,500 $2,500 $1,750 9/30/2022

SOU 2020-526(SA) 1 $2,500 $2,500 $1,750 9/30/2022

SOU 2020-529(SA) 1 $2,500 $2,500 $1,850 9/30/2022

 64
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

SOU 2020-532(LI) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2020-535(SA) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2020-538(SA) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2020-541(ROP) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2020-544(SA) 1 $5,000 $5,000 $3,600 9/30/2022

SOU 2020-547(SA) 1 $5,000 $5,000 $3,600 9/30/2022

SOU 2020-548(SA) 1 $5,000 $5,000 $3,600 9/30/2022

SOU 2020-550(SA) 1 $5,000 $5,000 $3,600 9/30/2022

SOU 2020-553(SA) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2020-559(FCS) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2020-562(CIS) 1 $10,000 $10,000 $7,100 9/30/2022

SOU 2020-565(FCS) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2020-568(ROP) 1 $2,000 $2,000 $1,450 9/30/2022

SOU 2020-573(AR) 1 $2,500 $2,500 $1,800 9/30/2022

SOU 2021-001(LI) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2021-004(SA) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2021-007(SA) 1 $5,000 $5,000 $3,600 9/30/2022

SOU 2021-010(SA) 1 $5,000 $5,000 $3,600 9/30/2022

SOU 2021-013(ROP) 1 $2,000 $2,000 $1,450 9/30/2022

SOU 2021-016(FCS) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-019(RW) 1 $2,000 $2,000 $1,600 9/30/2022

SOU 2021-022(SA) 1 $5,000 $5,000 $3,600 9/30/2022

SOU 2021-025(HMT) 1 $2,000 $2,000 $1,500 9/30/2022

SOU 2021-028(HMT) 1 $5,000 $5,000 $3,900 9/30/2022

SOU 2021-031(LI) 1 $4,000 $4,000 $2,900 9/30/2022

SOU 2021-034(SA) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2021-037(SA) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-040(SA) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-046(AR) 1 $2,500 $2,500 $1,800 9/30/2022

 65
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

SOU 2021-049(ROP) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2021-052(ROP) 1 $10,000 $10,000 $7,500 9/30/2022

SOU 2021-055(ROP) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2021-056(ROP) 1 $9,500 $9,500 $7,125 9/30/2022

SOU 2021-058(FCS) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-059(SA) 1 $5,000 $5,000 $3,600 9/30/2022

SOU 2021-061(ROP) 1 $9,500 $9,500 $7,125 9/30/2022

SOU 2021-062(ROP) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2021-064(SA) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-065(SA) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2021-067(ROP) 1 $2,000 $2,000 $1,500 9/30/2022

SOU 2021-068(ROP) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2021-070(FCS) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-071(LI) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-073(SA) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-074(SA) 1 $2,500 $2,500 $1,875 9/30/2022

SOU 2021-076(LI) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2021-077(ROP) 1 $7,500 $7,500 $5,625 9/30/2022

SOU 2021-079(SA) 1 $2,500 $2,500 $1,875 9/30/2022

SOU 2021-080(HMT) 3 $19,500 $19,500 $13,350 9/30/2022

SOU 2021-085(SA) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2021-086(SA) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2021-088(FCS) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-089(FCS) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-091(SA) 1 $10,000 $10,000 $7,500 9/30/2022

SOU 2021-092(SA) 1 $5,000 $5,000 $3,750 9/30/2022

SOU 2021-094(GC) 1 $5,000 $5,000 $3,750 9/30/2022

SOU 2021-095(SI) 1 $2,500 $2,500 $1,750 9/30/2022

SOU 2021-097(SA) 1 $2,500 $2,500 $1,850 9/30/2022

 66
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

SOU 2021-098(SA) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2021-099(SA) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2021-102(HS) 1 $2,000 $2,000 $1,784 9/30/2022

SOU 2021-103(ROP) 1 $2,000 $2,000 $1,450 9/30/2022

SOU 2021-104(HMT) 1 $10,000 $10,000 $7,100 9/30/2022

SOU 2021-105(HMT) 1 $6,000 $6,000 $4,375 9/30/2022

SOU 2021-107(ROP) 1 $2,000 $2,000 $1,575 9/30/2022

SOU 2021-108(CC) 1 $4,000 $4,000 $2,900 9/30/2022

SOU 2021-110(SA) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-111(SA) 1 $5,000 $5,000 $3,750 9/30/2022

SOU 2021-112(HSR) 1 $5,000 $5,000 $4,540 9/30/2022

SOU 2021-115(HSR) 1 $1,000 $1,000 $908 9/30/2022

SOU 2021-116(FCS) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-118(LI) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-119(SA) 1 $5,000 $5,000 $3,750 9/30/2022

SOU 2021-121(SA) 1 $5,000 $5,000 $3,750 9/30/2022

SOU 2021-122(GC) 1 $1,000 $1,000 $908 9/30/2022

SOU 2021-123(FCS) 1 $5,000 $5,000 $3,700 9/30/2022

SOU 2021-124(FCS) 1 $6,000 $2,500 $1,050 9/30/2022 Terminated 

Violations: 

1

SOU 2021-126(SA) 1 $5,000 $5,000 $3,750 9/30/2022

SOU 2021-127(SA) 1 $10,000 $10,000 $7,000 9/30/2022

SOU 2021-128(SA) 1 $5,000 $5,000 $3,800 9/30/2022

SOU 2021-129(SA) 1 $10,000 $10,000 $7,000 9/30/2022

SOU 2021-131(SA) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-132(HMT) 1 $4,000 $4,000 $2,850 9/30/2022

SOU 2021-134(FCS) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-135(SA) 1 $10,000 $10,000 $7,000 9/30/2022

SOU 2021-136(SA) 1 $2,500 $2,500 $1,850 9/30/2022

 67
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

SOU 2021-137(FCS) 1 $5,000 $5,000 $3,700 9/30/2022

SOU 2021-138(SA) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-139(SA) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-140(SA) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-141(SA) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-143(LI) 1 $2,500 $2,500 $1,800 9/30/2022

SOU 2021-144(LI) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-145(SA) 1 $5,000 $5,000 $3,600 9/30/2022

SOU 2021-146(ROP) 1 $7,500 $7,500 $5,625 9/30/2022

SOU 2021-147(ROP) 1 $7,500 $7,500 $5,500 9/30/2022

SOU 2021-148(TS) 1 $2,500 $2,500 $1,950 9/30/2022

SOU 2021-149(TS) 1 $10,000 $10,000 $7,800 9/30/2022

SOU 2021-150(TS) 1 $1,000 $1,000 $908 9/30/2022

SOU 2021-151(SA) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2021-152(SA) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2021-153(SA) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2021-154(SA) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2021-156(GC) 1 $3,000 $3,000 $2,724 9/30/2022

SOU 2021-157(SA) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-158(SA) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-159(SA) 1 $5,000 $5,000 $3,600 9/30/2022

SOU 2021-160(SA) 1 $5,000 $5,000 $3,600 9/30/2022

SOU 2021-161(SA) 1 $5,000 $5,000 $3,600 9/30/2022

SOU 2021-162(SA) 1 $5,000 $5,000 $3,600 9/30/2022

SOU 2021-164(SA) 1 $5,000 $5,000 $3,600 9/30/2022

SOU 2021-165(SA) 1 $5,000 $5,000 $3,600 9/30/2022

SOU 2021-166(SA) 1 $5,000 $5,000 $3,600 9/30/2022

SOU 2021-167(ROP) 1 $7,500 $7,500 $5,625 9/30/2022

SOU 2021-168(ROP) 1 $2,000 $2,000 $1,700 9/30/2022

 68
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

SOU 2021-169(SA) 1 $5,000 $5,000 $3,600 9/30/2022

SOU 2021-170(ROP) 1 $7,500 $7,500 $5,625 9/30/2022

SOU 2021-171(ROP) 1 $19,000 $19,000 $14,250 9/30/2022

SOU 2021-172(ROP) 1 $6,000 $6,000 $4,750 9/30/2022

SOU 2021-173(ROP) 1 $7,500 $7,500 $5,625 9/30/2022

SOU 2021-174(SA) 1 $5,000 $5,000 $3,600 9/30/2022

SOU 2021-175(SA) 1 $5,000 $5,000 $3,600 9/30/2022

SOU 2021-176(SA) 1 $5,000 $5,000 $3,600 9/30/2022

SOU 2021-177(LI) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-178(LI) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-179(HS) 1 $2,000 $2,000 $1,816 9/30/2022

SOU 2021-180(SA) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-181(TS) 1 $5,000 $5,000 $3,900 9/30/2022

SOU 2021-182(HMT) 2 $7,000 $7,000 $4,950 9/30/2022

SOU 2021-183(ROP) 1 $7,500 $7,500 $5,625 9/30/2022

SOU 2021-184(ROP) 1 $7,500 $7,500 $5,625 9/30/2022

SOU 2021-185(SA) 1 $2,500 $2,500 $1,875 9/30/2022

SOU 2021-186(ROP) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2021-187(SA) 1 $5,000 $5,000 $3,600 9/30/2022

SOU 2021-188(SA) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2021-189(ROP) 1 $9,500 $9,500 $7,125 9/30/2022

SOU 2021-191(SA) 1 $5,000 $5,000 $3,600 9/30/2022

SOU 2021-192(GC) 1 $1,000 $1,000 $908 9/30/2022

SOU 2021-194(GC) 1 $1,000 $1,000 $908 9/30/2022

SOU 2021-195(HS) 1 $1,000 $1,000 $892 9/30/2022

SOU 2021-196(SA) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-197(SA) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-198(GC) 1 $5,000 $5,000 $900 9/30/2022

SOU 2021-199(SA) 1 $2,500 $2,500 $1,850 9/30/2022

 69
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

SOU 2021-200(SA) 1 $2,500 $2,500 $1,750 9/30/2022

SOU 2021-201(SA) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-202(SA) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-203(SA) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-204(SA) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2021-205(GC) 1 $5,000 $5,000 $3,750 9/30/2022

SOU 2021-208(SA) 1 $5,000 $5,000 $3,600 9/30/2022

SOU 2021-209(LI) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-210(LI) 1 $1,500 $1,500 $1,150 9/30/2022

SOU 2021-211(SA) 1 $5,000 $5,000 $3,600 9/30/2022

SOU 2021-212(SA) 1 $5,000 $5,000 $3,600 9/30/2022

SOU 2021-213(SA) 1 $5,000 $5,000 $3,600 9/30/2022

SOU 2021-214(SA) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-216(SA) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2021-217(LI) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-219(SA) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-222(SA) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2021-223(ROP) 2 $19,000 $19,000 $14,250 9/30/2022

SOU 2021-225(LI) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-226(SA) 1 $5,000 $5,000 $3,600 9/30/2022

SOU 2021-228(FCS) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-229(SA) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2021-231(SA) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2021-232(SA) 1 $5,000 $5,000 $3,600 9/30/2022

SOU 2021-234(SA) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2021-235(LI) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-237(ROP) 1 $5,000 $0 $0 9/30/2022 Case 

Terminated

SOU 2021-238(ROP) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2021-240(ROP) 1 $5,000 $5,000 $3,500 9/30/2022

70
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

SOU 2021-243(CC) 1 $7,500 $7,500 $5,300 9/30/2022

SOU 2021-244(SA) 1 $5,000 $5,000 $3,600 9/30/2022

SOU 2021-246(HMT) 2 $7,000 $7,000 $4,950 9/30/2022

SOU 2021-247(HSR) 1 $1,000 $1,000 $908 9/30/2022

SOU 2021-249(SA) 1 $2,500 $2,500 $1,875 9/30/2022

SOU 2021-250(GC) 1 $5,000 $5,000 $3,750 9/30/2022

SOU 2021-252(GC) 1 $5,000 $0 $0 9/30/2022 Case 

Terminated

SOU 2021-253(SA) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2021-255(HMT) 1 $2,000 $2,000 $1,300 9/30/2022

SOU 2021-256(LI) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-258(SA) 1 $5,000 $5,000 $3,600 9/30/2022

SOU 2021-259(SA) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-261(SA) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-262(SA) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-264(SA) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-267(ROP) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2021-268(SA) 1 $5,000 $5,000 $3,600 9/30/2022

SOU 2021-270(ROP) 1 $9,500 $9,500 $7,125 9/30/2022

SOU 2021-271(ROP) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2021-273(SA) 1 $5,000 $5,000 $3,600 9/30/2022

SOU 2021-274(ROP) 1 $5,000 $5,000 $3,950 9/30/2022

SOU 2021-276(HS) 1 $1,000 $1,000 $892 9/30/2022

SOU 2021-279(HS) 1 $1,000 $1,000 $892 9/30/2022

SOU 2021-282(ROP) 1 $7,500 $7,500 $5,625 9/30/2022

SOU 2021-285(LI) 1 $3,000 $3,000 $2,300 9/30/2022

SOU 2021-286(SA) 1 $5,000 $5,000 $3,600 9/30/2022

SOU 2021-287(ROP) 1 $9,500 $9,500 $7,125 9/30/2022

SOU 2021-288(SA) 1 $5,000 $5,000 $3,600 9/30/2022

SOU 2021-289(SA) 1 $5,000 $5,000 $3,600 9/30/2022

 71
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

SOU 2021-290(SA) 1 $5,000 $5,000 $3,600 9/30/2022

SOU 2021-291(GC) 1 $5,000 $5,000 $3,750 9/30/2022

SOU 2021-294(HMT) 2 $12,500 $12,500 $8,850 9/30/2022

SOU 2021-297(HMT) 1 $5,000 $5,000 $3,650 9/30/2022

SOU 2021-298(LI) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2021-299(SA) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2021-300(SA) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2021-301(SA) 1 $5,000 $5,000 $3,600 9/30/2022

SOU 2021-303(SA) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2021-304(SA) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-305(SA) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-306(SA) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2021-307(ROP) 1 $7,500 $7,500 $5,625 9/30/2022

SOU 2021-308(SA) 1 $5,000 $5,000 $3,600 9/30/2022

SOU 2021-309(FCS) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-310(SA) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-311(FCS) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-312(FCS) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-313(LI) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2021-315(ROP) 1 $9,500 $9,500 $2,250 9/30/2022

SOU 2021-316(SA) 1 $10,000 $10,000 $7,200 9/30/2022

SOU 2021-318(CC) 1 $7,500 $7,500 $5,300 9/30/2022

SOU 2021-321(SI) 1 $1,000 $1,000 $908 9/30/2022

SOU 2021-323(ROP) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2021-324(ROP) 1 $5,000 $5,000 $3,800 9/30/2022

SOU 2021-327(RW) 1 $3,000 $3,000 $2,500 9/30/2022

SOU 2021-328(SA) 1 $2,500 $2,500 $1,250 9/30/2022

SOU 2021-330(ROP) 1 $2,000 $2,000 $1,450 9/30/2022

SOU 2021-331(HSR) 1 $5,000 $5,000 $4,460 9/30/2022

 72
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

SOU 2021-333(HS) 1 $1,000 $1,000 $892 9/30/2022

SOU 2021-334(HS) 1 $1,000 $1,000 $892 9/30/2022

SOU 2021-336(HS) 1 $1,000 $1,000 $892 9/30/2022

SOU 2021-339(SA) 1 $5,000 $5,000 $3,750 9/30/2022

SOU 2021-340(SA) 1 $5,000 $5,000 $3,600 9/30/2022

SOU 2021-342(ROP) 1 $7,500 $7,500 $5,400 9/30/2022

SOU 2021-343(GC) 1 $5,000 $5,000 $3,900 9/30/2022

SOU 2021-345(GC) 1 $5,000 $5,000 $3,900 9/30/2022

SOU 2021-346(GC) 1 $2,500 $2,500 $1,750 9/30/2022

SOU 2021-348(HSR) 1 $1,000 $1,000 $919 9/30/2022

SOU 2021-349(SA) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-351(HSR) 1 $1,000 $1,000 $908 9/30/2022

SOU 2021-352(SA) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-354(ROP) 1 $9,500 $9,500 $919 9/30/2022

SOU 2021-355(ROP) 1 $7,500 $7,500 $5,625 9/30/2022

SOU 2021-357(SA) 1 $5,000 $5,000 $3,600 9/30/2022

SOU 2021-358(SA) 1 $2,500 $2,500 $1,825 9/30/2022

SOU 2021-360(SA) 1 $2,500 $2,500 $1,825 9/30/2022

SOU 2021-362(SA) 1 $5,000 $5,000 $3,800 9/30/2022

SOU 2021-364(SA) 1 $5,000 $5,000 $3,800 9/30/2022

SOU 2021-365(FCS) 1 $6,000 $6,000 $4,000 9/30/2022

SOU 2021-368(TS) 1 $5,000 $5,000 $4,000 9/30/2022

SOU 2021-371(SA) 1 $5,000 $5,000 $3,600 9/30/2022

SOU 2021-374(SA) 1 $2,500 $2,500 $1,825 9/30/2022

SOU 2021-377(ROP) 1 $9,500 $9,500 $7,125 9/30/2022

SOU 2021-378(SA) 1 $2,500 $2,500 $1,825 9/30/2022

SOU 2021-380(SA) 1 $5,000 $5,000 $3,650 9/30/2022

SOU 2021-381(LI) 1 $2,000 $2,000 $1,600 9/30/2022

SOU 2021-383(ROP) 1 $2,000 $2,000 $1,550 9/30/2022

73
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

SOU 2021-384(ROP) 1 $7,500 $7,500 $5,625 9/30/2022

SOU 2021-386(ROP) 1 $7,500 $7,500 $5,625 9/30/2022

SOU 2021-387(SA) 1 $10,000 $10,000 $7,500 9/30/2022

SOU 2021-389(SA) 1 $15,000 $15,000 $10,850 9/30/2022

SOU 2021-390(SA) 1 $5,000 $5,000 $3,800 9/30/2022

SOU 2021-392(ROP) 1 $20,000 $20,000 $13,000 9/30/2022

SOU 2021-395(ROP) 1 $5,000 $0 $0 9/30/2022 Case 

Terminated

SOU 2021-396(SA) 1 $10,000 $10,000 $7,500 9/30/2022

SOU 2021-398(ROP) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2021-401(ROP) 1 $15,000 $15,000 $9,750 9/30/2022

SOU 2021-402(SA) 1 $5,000 $5,000 $3,600 9/30/2022

SOU 2021-404(SA) 1 $20,000 $20,000 $14,400 9/30/2022

SOU 2021-405(SA) 1 $5,000 $5,000 $3,800 9/30/2022

SOU 2021-407(HMT) 1 $3,000 $3,000 $2,175 9/30/2022

SOU 2021-408(ROP) 1 $7,500 $7,500 $5,625 9/30/2022

SOU 2021-410(SA) 1 $5,000 $5,000 $3,600 9/30/2022

SOU 2021-411(SA) 1 $2,500 $2,500 $1,825 9/30/2022

SOU 2021-413(SA) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2021-414(SA) 1 $2,500 $2,500 $1,825 9/30/2022

SOU 2021-416(SA) 1 $2,500 $2,500 $1,825 9/30/2022

SOU 2021-417(SA) 1 $2,500 $2,500 $1,825 9/30/2022

SOU 2021-419(FCS) 1 $2,500 $2,500 $1,825 9/30/2022

SOU 2021-422(SA) 1 $2,500 $2,500 $1,825 9/30/2022

SOU 2021-423(LI) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-425(SA) 1 $2,500 $2,500 $1,825 9/30/2022

SOU 2021-428(LI) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-429(SA) 1 $2,500 $2,500 $1,825 9/30/2022

SOU 2021-431(SA) 1 $2,500 $2,500 $1,825 9/30/2022

SOU 2021-432(HMT) 1 $7,500 $7,500 $5,150 9/30/2022

 74
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

SOU 2021-434(HSR) 1 $1,000 $1,000 $919 9/30/2022

SOU 2021-437(LI) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-438(TS) 1 $5,000 $2,500 $919 9/30/2022 Terminated 

Violations: 

1

SOU 2021-440(SA) 1 $2,500 $2,500 $1,825 9/30/2022

SOU 2021-441(SA) 1 $5,000 $5,000 $3,800 9/30/2022

SOU 2021-443(SA) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2021-444(ROP) 1 $8,000 $8,000 $5,500 9/30/2022

SOU 2021-446(ROP) 1 $5,000 $5,000 $3,750 9/30/2022

SOU 2021-447(HS) 1 $1,000 $1,000 $919 9/30/2022

SOU 2021-449(LI) 1 $7,500 $7,500 $5,250 9/30/2022

SOU 2021-450(SA) 1 $5,000 $5,000 $3,800 9/30/2022

SOU 2021-451(LI) 2 $7,500 $7,500 $5,250 9/30/2022

SOU 2021-452(SA) 1 $2,500 $2,500 $1,825 9/30/2022

SOU 2021-455(HMT) 1 $2,000 $2,000 $1,400 9/30/2022

SOU 2021-456(FCS) 1 $2,500 $2,500 $1,825 9/30/2022

SOU 2021-458(SA) 1 $5,000 $5,000 $3,800 9/30/2022

SOU 2021-461(RSP) 1 $9,500 $9,500 $7,125 9/30/2022

SOU 2021-462(SA) 1 $5,000 $5,000 $3,800 9/30/2022

SOU 2021-464(SA) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2021-465(SA) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2021-467(SA) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2021-468(SA) 1 $2,500 $2,500 $1,825 9/30/2022

SOU 2021-470(SA) 1 $2,500 $2,500 $1,825 9/30/2022

SOU 2021-473(ROP) 1 $9,500 $9,500 $7,125 9/30/2022

SOU 2021-474(ROP) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2021-476(SA) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2021-477(SA) 1 $5,000 $5,000 $3,800 9/30/2022

SOU 2021-479(HMT) 1 $2,000 $2,000 $1,500 9/30/2022

 75
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

SOU 2021-482(TS) 1 $5,000 $5,000 $4,100 9/30/2022

SOU 2021-486(SA) 1 $2,500 $2,500 $1,825 9/30/2022

SOU 2021-490(LI) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-494(LI) 1 $7,500 $7,500 $5,250 9/30/2022

SOU 2021-496(ROP) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2021-498(SA) 1 $5,000 $5,000 $3,600 9/30/2022

SOU 2021-499(SA) 1 $5,000 $5,000 $3,800 9/30/2022

SOU 2021-500(ROP) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2021-502(SA) 1 $5,000 $5,000 $3,800 9/30/2022

SOU 2021-506(ROP) 1 $7,500 $7,500 $5,625 9/30/2022

SOU 2021-510(LI) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-514(ROP) 1 $7,500 $7,500 $5,400 9/30/2022

SOU 2021-518(SA) 1 $5,000 $5,000 $3,800 9/30/2022

SOU 2021-522(ROP) 1 $7,500 $7,500 $5,400 9/30/2022

SOU 2021-534(SA) 1 $5,000 $5,000 $3,600 9/30/2022

SOU 2021-538(ROP) 1 $9,500 $9,500 $7,125 9/30/2022

SOU 2021-542(SA) 1 $25,000 $25,000 $17,750 9/30/2022

SOU 2021-543(ROP) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2021-546(ROP) 1 $11,000 $11,000 $8,250 9/30/2022

SOU 2021-550(SA) 1 $5,000 $5,000 $3,600 9/30/2022

SOU 2021-554(LI) 1 $7,500 $7,500 $5,250 9/30/2022

SOU 2021-555(SA) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2021-556(SA) 1 $2,500 $2,500 $1,825 9/30/2022

SOU 2021-558(HSR) 1 $1,000 $1,000 $919 9/30/2022

SOU 2021-560(GC) 1 $2,500 $2,500 $1,900 9/30/2022

SOU 2021-562(SA) 1 $5,000 $5,000 $3,600 9/30/2022

SOU 2021-564(LI) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2021-566(SA) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2022-001(SA) 1 $2,500 $2,500 $1,825 9/30/2022

 76
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

SOU 2022-004(ROP) 1 $7,500 $7,500 $5,625 9/30/2022

SOU 2022-006(SA) 1 $2,500 $2,500 $1,825 9/30/2022

SOU 2022-008(SA) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2022-009(SA) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2022-010(FCS) 1 $5,000 $5,000 $3,700 9/30/2022

SOU 2022-012(FCS) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2022-013(FCS) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2022-016(HS) 1 $2,000 $2,000 $1,838 9/30/2022

SOU 2022-025(SA) 1 $2,500 $2,500 $1,825 9/30/2022

SOU 2022-029(SA) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2022-032(LI) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2022-033(SA) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2022-036(SI) 1 $2,500 $2,500 $1,700 9/30/2022

SOU 2022-038(LI) 1 $20,000 $20,000 $12,850 9/30/2022

SOU 2022-040(ROP) 1 $9,500 $9,500 $7,125 9/30/2022

SOU 2022-044(ROP) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2022-045(ROP) 1 $5,000 $5,000 $3,500 9/30/2022

SOU 2022-048(ROP) 1 $7,500 $7,500 $5,625 9/30/2022

SOU 2022-052(SA) 1 $5,000 $5,000 $3,800 9/30/2022

SOU 2022-056(ROP) 1 $7,500 $7,500 $5,625 9/30/2022

SOU 2022-060(SA) 1 $5,000 $5,000 $3,800 9/30/2022

SOU 2022-061(ROP) 1 $2,000 $2,000 $1,550 9/30/2022

SOU 2022-064(SA) 1 $2,500 $2,500 $1,500 9/30/2022

SOU 2022-065(ROP) 1 $5,000 $5,000 $3,700 9/30/2022

SOU 2022-068(ROP) 1 $7,500 $7,500 $5,400 9/30/2022

SOU 2022-069(CC) 1 $1,000 $1,000 $919 9/30/2022

SOU 2022-072(SA) 1 $5,000 $5,000 $3,800 9/30/2022

SOU 2022-074(LI) 1 $2,500 $2,500 $1,850 9/30/2022

SOU 2022-076(GC) 1 $5,000 $5,000 $3,750 9/30/2022

 77
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

SOU 2022-080(SA) 1 $2,500 $2,500 $1,825 9/30/2022

SOU 2022-081(SA) 1 $2,500 $2,500 $1,825 9/30/2022

SOU 2022-084(RSP) 1 $5,500 $5,500 $4,300 9/30/2022

SOU 2022-091(SA) 1 $5,000 $5,000 $3,800 9/30/2022

ST 2021-003(RSP) 1 $17,000 $17,000 $12,000 9/27/2022

ST 2021-004(ROP) 1 $7,500 $7,500 $6,800 9/27/2022

ST 2021-005(ROP) 1 $9,500 $5,000 $5,000 9/27/2022 Terminated 

Violations: 

1

ST 2021-006(AR) 1 $2,500 $2,500 $2,000 9/27/2022

ST 2021-007(AR) 1 $2,500 $2,500 $2,000 9/27/2022

ST 2022-001(ROP) 1 $9,500 $5,000 $5,000 9/27/2022 Terminated 

Violations: 

1

ST 2022-002(RW) 1 $5,000 $5,000 $4,500 9/27/2022

ST 2022-003(RW) 1 $5,000 $5,000 $4,500 9/27/2022

ST 2022-004(HS) 1 $1,000 $1,000 $980 9/27/2022

ST 2022-005(HSR) 1 $1,000 $1,000 $980 9/27/2022

ST 2022-006(ROP) 1 $9,500 $5,000 $5,000 9/27/2022 Terminated 

Violations: 

1

ST 2022-007(ROP) 1 $9,500 $5,000 $5,000 9/27/2022 Terminated 

Violations: 

1

ST 2022-008(SA) 1 $5,000 $5,000 $4,200 9/27/2022

STE 2019-001(GC) 1 $1,000 $1,000 $870 8/31/2022

STE 2019-002(ROP) 1 $5,000 $5,000 $4,000 8/31/2022

STE 2019-003(SA) 1 $5,000 $5,000 $4,000 8/31/2022

SUOC 2022-001(HMT) 1 $2,000 $2,000 $2,000 3/7/2022

TCWR 2017-001(HMT) 2 $39,000 $0 $0 3/31/2022 Case 

Terminated

TMBL 2022-001(HMT) 1 $5,000 $5,000 $3,000 5/12/2022

TPW 2021-001(SA) 1 $2,500 $2,500 $2,000 9/28/2022

TRRA 2019-001(TS) 1 $5,000 $5,000 $5,000 5/2/2022

78
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

TRRA 2019-002(HMT) 1 $5,000 $5,000 $5,000 5/2/2022

TRRA 2019-003(SA) 1 $2,500 $2,500 $2,500 5/2/2022

TRRA 2020-001(TS) 1 $5,000 $5,000 $5,000 5/2/2022

TRRA 2020-002(ROP) 1 $7,500 $7,500 $7,500 5/2/2022

TRRA 2020-003(FCS) 1 $5,000 $5,000 $5,000 5/2/2022

TRRA 2020-004(SA) 1 $2,500 $2,500 $2,500 5/2/2022

TRRA 2020-005(SA) 1 $5,000 $5,000 $5,000 5/2/2022

TRRA 2021-001(RW) 1 $1,500 $1,500 $1,500 5/2/2022

TRRA 2021-002(AD) 1 $2,500 $2,500 $2,500 5/2/2022

TRRA 2022-001(SA) 1 $5,000 $5,000 $5,000 5/2/2022

TTXJ 2021-002(SA) 1 $2,500 $2,500 $2,500 4/18/2022

TXPF 2019-001(TS) 1 $5,000 $5,000 $3,750 6/28/2022

TXPF 2019-002(TS) 1 $5,000 $5,000 $3,750 6/28/2022

TXPF 2019-003(TS) 1 $5,000 $5,000 $3,750 6/28/2022

TXPF 2019-004(AD) 1 $2,500 $2,500 $1,875 6/28/2022

TXPF 2019-005(AD) 1 $2,500 $2,500 $1,875 6/28/2022

UMP 2021-001(GC) 1 $2,500 $2,500 $2,500 2/23/2022

UMP 2021-002(GC) 1 $5,000 $5,000 $5,000 2/23/2022

UP 2017-050(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2017-210(SI) 1 $1,000 $1,000 $853 9/30/2022

UP 2017-593(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2019-1093(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2019-1138(ROP) 1 $7,500 $7,500 $5,400 9/30/2022

UP 2019-126(GC) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2019-403(AR) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2019-408(AR) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2019-635(HS) 1 $1,000 $1,000 $870 9/30/2022

UP 2019-705(GS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2019-794(HSR) 1 $1,000 $1,000 $870 9/30/2022

 79
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

UP 2019-855(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2019-973(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-1002(RW) 2 $8,000 $8,000 $5,760 9/30/2022

UP 2020-1003(TS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-1004(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-1005(HMT) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-1008(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-1009(HMT) 1 $7,000 $7,000 $5,040 9/30/2022

UP 2020-1010(GC) 1 $1,000 $1,000 $892 9/30/2022

UP 2020-1013(GC) 1 $1,000 $1,000 $892 9/30/2022

UP 2020-1017(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-1018(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-1019(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-1022(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-1023(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-1024(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-1027(ROP) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-1028(HMT) 1 $7,500 $7,500 $5,400 9/30/2022

UP 2020-1029(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-1032(ROP) 1 $7,500 $7,500 $5,400 9/30/2022

UP 2020-1033(HS) 1 $3,000 $3,000 $2,676 9/30/2022

UP 2020-1034(ROP) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2020-1037(SA) 1 $20,000 $20,000 $14,400 9/30/2022

UP 2020-1038(ROP) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2020-1039(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-1042(ROP) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2020-1043(ROP) 1 $7,500 $7,500 $5,400 9/30/2022

UP 2020-1044(HSR) 1 $1,000 $1,000 $892 9/30/2022

UP 2020-1047(HMT) 1 $4,000 $4,000 $2,880 9/30/2022

 80
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

UP 2020-1048(GC) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-1049(FCS) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-1052(ROP) 1 $6,000 $6,000 $4,320 9/30/2022

UP 2020-1053(ROP) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2020-1054(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-1056(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-1057(ROP) 1 $9,500 $9,500 $6,840 9/30/2022

UP 2020-1058(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-1060(HSR) 2 $2,000 $2,000 $1,784 9/30/2022

UP 2020-1061(HSR) 1 $3,000 $3,000 $2,676 9/30/2022

UP 2020-1062(HSR) 1 $2,000 $2,000 $1,784 9/30/2022

UP 2020-1063(HSR) 1 $1,000 $1,000 $892 9/30/2022

UP 2020-1066(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-1067(ROP) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-1068(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-1071(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-1072(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-1073(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-1076(SA) 5 $25,000 $25,000 $18,000 9/30/2022

UP 2020-1077(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-1078(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-108(GC) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-1081(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-1082(LI) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2020-1083(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-1086(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-1087(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-1088(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-1091(SA) 1 $2,500 $2,500 $1,800 9/30/2022

 81
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

UP 2020-1092(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-1093(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-1096(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-1097(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-1098(SA) 2 $10,000 $10,000 $7,200 9/30/2022

UP 2020-1101(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-1102(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-1103(ROP) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2020-1106(ROP) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-1107(ROP) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2020-1108(TS) 1 $1,000 $1,000 $892 9/30/2022

UP 2020-1111(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-1115(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-1116(EP) 1 $1,000 $1,000 $892 9/30/2022

UP 2020-1120(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-1121(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-1122(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-1125(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-1126(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-1127(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-1128(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-1129(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-1130(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-1132(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-1133(EP) 1 $1,000 $1,000 $892 9/30/2022

UP 2020-1134(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-1137(EP) 1 $1,000 $1,000 $892 9/30/2022

UP 2020-1138(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-1141(HMT) 1 $1,000 $1,000 $705 9/30/2022

 82
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

UP 2020-1142(HMT) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2020-1143(HMT) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2020-1146(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-1147(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-1148(TS) 3 $15,000 $15,000 $10,800 9/30/2022

UP 2020-1151(SA) 1 $15,000 $15,000 $10,800 9/30/2022

UP 2020-1152(TS) 2 $7,000 $7,000 $5,040 9/30/2022

UP 2020-1153(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-1156(ROP) 1 $7,500 $7,500 $5,400 9/30/2022

UP 2020-1157(ROP) 1 $7,500 $7,500 $5,400 9/30/2022

UP 2020-1158(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-1161(ROP) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2020-1162(HSR) 1 $1,000 $1,000 $892 9/30/2022

UP 2020-1163(ROP) 1 $7,500 $7,500 $5,400 9/30/2022

UP 2020-1166(ROP) 1 $9,500 $9,500 $6,840 9/30/2022

UP 2020-1167(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-1168(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-1171(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-1172(TS) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-1173(LI) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2020-1175(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-1176(TS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-1177(HMT) 1 $10,000 $10,000 $7,200 9/30/2022

UP 2020-1178(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-1180(HS) 1 $3,000 $3,000 $2,676 9/30/2022

UP 2020-1181(ROP) 1 $4,000 $4,000 $2,880 9/30/2022

UP 2020-1182(HMT) 2 $12,500 $12,500 $9,000 9/30/2022

UP 2020-1185(HMT) 1 $4,000 $4,000 $2,880 9/30/2022

UP 2020-1186(HS) 1 $2,000 $2,000 $1,784 9/30/2022

 83
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

UP 2020-1189(HMT) 1 $7,500 $7,500 $5,400 9/30/2022

UP 2020-1190(HMT) 1 $15,000 $15,000 $10,800 9/30/2022

UP 2020-1191(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-1194(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-1195(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-1196(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-1199(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-1200(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-1201(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-1204(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-1205(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-1206(FCS) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-1209(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-1210(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-1211(HMT) 1 $1,000 $1,000 $600 9/30/2022

UP 2020-1215(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-1216(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-1221(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-1222(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-1223(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-1226(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-1227(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-1228(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-1234(GC) 1 $1,000 $1,000 $892 9/30/2022

UP 2020-174(GC) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-241(GC) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-245(GC) 1 $5,000 $5,000 $3,000 9/30/2022

UP 2020-246(GC) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-250(GC) 1 $5,000 $5,000 $3,600 9/30/2022

 84
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

UP 2020-251(GC) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-255(ROR) 1 $7,500 $7,500 $5,400 9/30/2022

UP 2020-260(ROR) 1 $9,500 $9,500 $5,700 9/30/2022

UP 2020-262(ROR) 1 $7,500 $7,500 $5,400 9/30/2022

UP 2020-265(HS) 1 $2,000 $2,000 $1,784 9/30/2022

UP 2020-270(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-271(GC) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-272(GC) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-275(GC) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-276(GC) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-280(GC) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-281(GC) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-289(LI) 1 $15,000 $15,000 $9,750 9/30/2022

UP 2020-294(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-299(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-304(FCS) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-313(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-318(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-323(ROP) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-328(LI) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2020-333(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-337(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-389(SI) 1 $1,000 $1,000 $893 9/30/2022

UP 2020-392(HS) 1 $1,000 $1,000 $892 9/30/2022

UP 2020-397(RSP) 1 $9,500 $9,500 $6,840 9/30/2022

UP 2020-402(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-407(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-412(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-417(HS) 1 $1,000 $1,000 $892 9/30/2022

 85
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

UP 2020-422(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-427(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-437(FCS) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-442(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-451(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-456(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-461(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-466(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-477(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-482(HS) 1 $2,000 $2,000 $1,784 9/30/2022

UP 2020-487(RW) 1 $3,000 $3,000 $2,160 9/30/2022

UP 2020-489(ROP) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-492(ROP) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2020-499(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-504(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-509(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-514(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-519(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-524(ROP) 1 $9,500 $9,500 $6,840 9/30/2022

UP 2020-529(ROP) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-534(ROP) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2020-539(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-544(ROP) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2020-549(TS) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-554(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-559(LI) 1 $25,000 $25,000 $16,250 9/30/2022

UP 2020-567(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-572(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-577(ROP) 1 $9,500 $9,500 $6,840 9/30/2022

 86
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

UP 2020-582(ROP) 1 $7,500 $7,500 $5,400 9/30/2022

UP 2020-587(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-592(TS) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-597(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-602(ROP) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-607(LI) 1 $1,000 $1,000 $892 9/30/2022

UP 2020-612(TS) 1 $2,500 $0 $0 9/30/2022 Case 

Terminated

UP 2020-614(HMT) 1 $4,000 $4,000 $2,880 9/30/2022

UP 2020-617(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-622(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-624(LI) 1 $1,000 $1,000 $892 9/30/2022

UP 2020-627(FCS) 5 $25,000 $25,000 $18,000 9/30/2022

UP 2020-629(FCS) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-630(ROP) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2020-632(ROP) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2020-637(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-639(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-644(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-649(FCS) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-654(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-659(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-674(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-689(ROP) 1 $7,500 $7,500 $5,400 9/30/2022

UP 2020-692(TS) 1 $1,000 $1,000 $892 9/30/2022

UP 2020-697(TS) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-699(HS) 1 $2,000 $2,000 $1,784 9/30/2022

UP 2020-700(HS) 2 $2,000 $2,000 $1,784 9/30/2022

UP 2020-702(HS) 1 $2,000 $2,000 $1,784 9/30/2022

UP 2020-707(ROP) 1 $7,500 $7,500 $5,400 9/30/2022

 87
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

UP 2020-712(ROP) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2020-717(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-722(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-724(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-729(ROP) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2020-846(HS) 1 $1,000 $1,000 $892 9/30/2022

UP 2020-874(HS) 1 $1,000 $1,000 $892 9/30/2022

UP 2020-882(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-887(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-892(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-897(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-902(ROP) 1 $7,500 $7,500 $5,400 9/30/2022

UP 2020-907(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-912(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-917(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-926(SA) 5 $25,000 $25,000 $16,890 9/30/2022

UP 2020-931(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-936(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-941(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-946(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-950(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-955(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-960(ROP) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2020-965(LI) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2020-970(SA) 1 $10,000 $10,000 $7,200 9/30/2022

UP 2020-973(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2020-978(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-983(ROP) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2020-988(FCS) 1 $5,000 $5,000 $3,600 9/30/2022

 88
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

UP 2020-993(ROP) 1 $7,500 $7,500 $5,400 9/30/2022

UP 2020-998(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2020-999(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-001(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-002(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-003(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-006(ROP) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2021-007(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-010(ROP) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2021-011(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-012(ROP) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2021-015(ROP) 1 $7,500 $7,500 $5,400 9/30/2022

UP 2021-016(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-017(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-020(HMT) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-021(HMT) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2021-022(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-025(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-026(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-027(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-030(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-031(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-032(HMT) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-035(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-036(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-037(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-040(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-041(SA) 1 $2,500 $2,500 $1,500 9/30/2022

UP 2021-042(SA) 1 $2,500 $2,500 $1,250 9/30/2022

 89
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

UP 2021-045(FCS) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-046(SA) 1 $2,500 $2,500 $1,500 9/30/2022

UP 2021-047(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-050(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-051(RW) 1 $15,000 $15,000 $10,800 9/30/2022

UP 2021-052(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-055(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-056(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-057(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-060(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-061(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-062(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-063(LI) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2021-066(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-067(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-068(ROP) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2021-072(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-073(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-076(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-077(ROP) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-078(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-081(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-082(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-083(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-086(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-087(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-088(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-089(GC) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-092(TS) 1 $5,000 $5,000 $3,600 9/30/2022

90
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

UP 2021-093(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-096(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-097(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-098(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-1000(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-1002(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-1003(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-1004(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-1006(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-1008(HS) 1 $1,000 $1,000 $919 9/30/2022

UP 2021-1009(HS) 1 $1,000 $1,000 $919 9/30/2022

UP 2021-101(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-1010(HS) 1 $1,000 $1,000 $919 9/30/2022

UP 2021-1012(HS) 1 $2,000 $2,000 $1,838 9/30/2022

UP 2021-1013(HS) 1 $2,000 $2,000 $1,840 9/30/2022

UP 2021-1014(HS) 1 $2,000 $2,000 $1,840 9/30/2022

UP 2021-1015(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-1016(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-1018(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-1019(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-102(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-1020(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-1022(EP) 1 $1,000 $1,000 $919 9/30/2022

UP 2021-1023(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-1024(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-1026(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-1027(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-1028(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-103(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

 91
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

UP 2021-1030(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-1032(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-1033(HS) 1 $1,000 $1,000 $920 9/30/2022

UP 2021-1034(HS) 1 $1,000 $1,000 $920 9/30/2022

UP 2021-1036(HS) 1 $2,000 $2,000 $1,840 9/30/2022

UP 2021-1037(HS) 1 $2,000 $2,000 $1,840 9/30/2022

UP 2021-1038(HS) 1 $3,000 $3,000 $2,760 9/30/2022

UP 2021-1040(HS) 1 $2,000 $2,000 $1,840 9/30/2022

UP 2021-1041(HS) 1 $2,000 $2,000 $1,840 9/30/2022

UP 2021-1042(HS) 1 $2,000 $2,000 $1,840 9/30/2022

UP 2021-1044(GC) 1 $20,000 $20,000 $13,000 9/30/2022

UP 2021-1046(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-1047(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-1048(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-1050(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-1052(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-1054(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-1055(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-1056(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-1058(FCS) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-106(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-1060(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-1062(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-1064(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-1066(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-107(FCS) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-108(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-111(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-112(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

 92
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

UP 2021-113(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-116(REM) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-117(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-118(LI) 1 $1,000 $1,000 $908 9/30/2022

UP 2021-121(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-122(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-123(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-126(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-127(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-128(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-131(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-132(ROP) 1 $7,500 $7,500 $5,400 9/30/2022

UP 2021-133(ROP) 1 $9,500 $9,500 $6,840 9/30/2022

UP 2021-134(HS) 1 $2,000 $2,000 $1,784 9/30/2022

UP 2021-135(EP) 1 $1,000 $1,000 $892 9/30/2022

UP 2021-136(EP) 1 $1,000 $1,000 $892 9/30/2022

UP 2021-139(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-140(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-141(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-144(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-145(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-146(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-149(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-150(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-151(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-155(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-156(GC) 1 $15,000 $15,000 $9,000 9/30/2022

UP 2021-159(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-160(GC) 1 $1,000 $1,000 $892 9/30/2022

 93
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

UP 2021-161(SA) 1 $7,500 $7,500 $5,400 9/30/2022

UP 2021-165(GC) 1 $10,000 $10,000 $7,200 9/30/2022

UP 2021-166(GC) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-169(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-170(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-171(SA) 1 $7,500 $7,500 $5,400 9/30/2022

UP 2021-174(GC) 1 $20,000 $20,000 $13,000 9/30/2022

UP 2021-175(GC) 1 $10,000 $10,000 $7,200 9/30/2022

UP 2021-178(GC) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-179(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-180(GC) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-181(GC) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-184(GC) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-185(HMT) 2 $22,500 $22,500 $16,200 9/30/2022

UP 2021-188(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-189(FCS) 1 $2,500 $2,500 $1,500 9/30/2022

UP 2021-190(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-194(TS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-195(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-198(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-199(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-200(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-203(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-204(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-205(SA) 1 $20,000 $20,000 $14,400 9/30/2022

UP 2021-208(ROP) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2021-209(ROP) 1 $9,500 $9,500 $6,840 9/30/2022

UP 2021-210(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-213(ROP) 1 $4,000 $4,000 $2,880 9/30/2022

94
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

UP 2021-215(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-218(ROR) 1 $9,500 $9,500 $6,840 9/30/2022

UP 2021-220(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-222(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-223(ROP) 1 $9,500 $9,500 $6,840 9/30/2022

UP 2021-224(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-226(HS) 1 $2,000 $2,000 $1,816 9/30/2022

UP 2021-228(HS) 1 $2,000 $2,000 $1,816 9/30/2022

UP 2021-230(HS) 1 $2,000 $2,000 $1,816 9/30/2022

UP 2021-231(HS) 1 $2,000 $2,000 $1,816 9/30/2022

UP 2021-233(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-235(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-237(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-238(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-240(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-242(TS) 1 $1,000 $1,000 $908 9/30/2022

UP 2021-243(GC) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-245(GC) 1 $20,000 $20,000 $13,000 9/30/2022

UP 2021-246(GC) 1 $15,000 $15,000 $10,800 9/30/2022

UP 2021-247(GC) 1 $10,000 $10,000 $7,200 9/30/2022

UP 2021-248(GC) 1 $25,000 $25,000 $16,250 9/30/2022

UP 2021-250(HS) 1 $1,000 $1,000 $908 9/30/2022

UP 2021-252(HSR) 1 $1,000 $1,000 $908 9/30/2022

UP 2021-253(HMT) 2 $5,000 $5,000 $3,600 9/30/2022

UP 2021-256(GC) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-258(HS) 1 $1,000 $1,000 $908 9/30/2022

UP 2021-260(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-262(ROP) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2021-263(LI) 1 $2,500 $2,500 $1,800 9/30/2022

95
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

UP 2021-265(HS) 1 $1,000 $1,000 $892 9/30/2022

UP 2021-266(HS) 1 $1,000 $1,000 $892 9/30/2022

UP 2021-267(HS) 1 $1,000 $1,000 $892 9/30/2022

UP 2021-268(HS) 1 $1,000 $1,000 $892 9/30/2022

UP 2021-270(HS) 1 $1,000 $1,000 $892 9/30/2022

UP 2021-272(CC) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-273(HMT) 2 $78,000 $78,000 $56,160 9/30/2022

UP 2021-274(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-275(HS) 1 $2,000 $2,000 $1,816 9/30/2022

UP 2021-278(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-279(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-280(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-283(HS) 1 $1,000 $1,000 $908 9/30/2022

UP 2021-284(TS) 1 $1,000 $1,000 $908 9/30/2022

UP 2021-285(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-286(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-289(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-290(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-291(HS) 1 $2,000 $2,000 $1,816 9/30/2022

UP 2021-292(HS) 1 $2,000 $2,000 $1,816 9/30/2022

UP 2021-293(HS) 1 $2,000 $2,000 $1,816 9/30/2022

UP 2021-294(HS) 1 $2,000 $2,000 $1,816 9/30/2022

UP 2021-295(HS) 1 $2,000 $2,000 $1,816 9/30/2022

UP 2021-297(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-298(SI) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-299(HS) 1 $2,000 $2,000 $1,816 9/30/2022

UP 2021-300(HS) 1 $2,000 $2,000 $1,816 9/30/2022

UP 2021-301(HMT) 1 $7,500 $7,500 $5,400 9/30/2022

UP 2021-302(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

 96
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

UP 2021-303(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-304(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-305(HMT) 1 $4,000 $4,000 $2,880 9/30/2022

UP 2021-306(SA) 1 $10,000 $10,000 $7,200 9/30/2022

UP 2021-307(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-308(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-309(ROP) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2021-310(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-311(ROP) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2021-312(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-313(ROP) 1 $6,000 $6,000 $4,320 9/30/2022

UP 2021-314(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-315(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-316(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-317(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-318(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-319(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-320(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-321(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-322(HS) 1 $2,000 $2,000 $1,816 9/30/2022

UP 2021-323(TS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-324(HMT) 1 $7,500 $7,500 $5,400 9/30/2022

UP 2021-325(HS) 1 $2,000 $2,000 $1,816 9/30/2022

UP 2021-326(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-327(SA) 1 $10,000 $10,000 $7,200 9/30/2022

UP 2021-328(ROP) 1 $9,500 $9,500 $6,840 9/30/2022

UP 2021-329(ROP) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2021-330(ROP) 1 $7,500 $7,500 $5,400 9/30/2022

UP 2021-331(HS) 1 $2,000 $2,000 $1,816 9/30/2022

97
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

UP 2021-332(HMT) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-333(HS) 1 $2,000 $2,000 $1,816 9/30/2022

UP 2021-334(HS) 1 $2,000 $2,000 $1,816 9/30/2022

UP 2021-335(HMT) 1 $7,500 $7,500 $5,400 9/30/2022

UP 2021-336(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-337(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-338(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-339(SA) 1 $10,000 $10,000 $7,200 9/30/2022

UP 2021-340(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-341(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-342(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-343(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-344(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-345(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-346(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-347(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-348(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-349(FCS) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-350(LI) 1 $1,500 $1,500 $1,080 9/30/2022

UP 2021-351(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-352(SA) 1 $1,000 $1,000 $908 9/30/2022

UP 2021-353(EP) 1 $1,000 $1,000 $892 9/30/2022

UP 2021-354(EP) 1 $1,000 $1,000 $892 9/30/2022

UP 2021-355(EP) 1 $1,000 $1,000 $892 9/30/2022

UP 2021-356(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-357(ROP) 1 $10,000 $10,000 $7,200 9/30/2022

UP 2021-358(HS) 1 $2,000 $2,000 $1,816 9/30/2022

UP 2021-359(HS) 1 $2,000 $2,000 $1,816 9/30/2022

UP 2021-360(FCS) 1 $5,000 $5,000 $3,600 9/30/2022

98
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

UP 2021-361(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-362(HS) 1 $2,000 $2,000 $1,816 9/30/2022

UP 2021-363(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-364(FCS) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-365(SI) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-366(FCS) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-367(SI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-368(HMT) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2021-369(HMT) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2021-370(HMT) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-371(HS) 1 $2,000 $2,000 $1,816 9/30/2022

UP 2021-372(ROP) 1 $7,500 $7,500 $5,400 9/30/2022

UP 2021-373(HS) 1 $2,000 $2,000 $1,816 9/30/2022

UP 2021-374(ROP) 1 $7,500 $7,500 $5,400 9/30/2022

UP 2021-375(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-377(HMT) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2021-378(TS) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-379(HS) 1 $2,000 $2,000 $1,816 9/30/2022

UP 2021-380(HSR) 1 $1,000 $1,000 $908 9/30/2022

UP 2021-381(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-382(HSR) 1 $1,000 $1,000 $908 9/30/2022

UP 2021-383(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-384(HMT) 2 $13,500 $13,500 $9,720 9/30/2022

UP 2021-385(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-386(EP) 1 $1,000 $1,000 $892 9/30/2022

UP 2021-387(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-388(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-389(FCS) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-390(SA) 1 $2,500 $2,500 $1,800 9/30/2022

99
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

UP 2021-391(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-392(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-393(LI) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2021-394(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-395(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-396(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-397(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-398(HMT) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2021-399(ROP) 1 $7,500 $7,500 $5,400 9/30/2022

UP 2021-401(HSR) 1 $1,000 $1,000 $908 9/30/2022

UP 2021-402(TS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-403(HS) 1 $2,000 $2,000 $1,816 9/30/2022

UP 2021-404(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-405(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-406(LI) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2021-407(LI) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2021-408(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-410(HS) 1 $2,000 $2,000 $1,816 9/30/2022

UP 2021-411(HSR) 1 $1,000 $1,000 $908 9/30/2022

UP 2021-413(HMT) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-414(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-415(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-416(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-417(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-418(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-419(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-420(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-421(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-422(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

 100
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

UP 2021-423(SI) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-424(SI) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-425(SI) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-426(ROP) 1 $7,500 $7,500 $5,400 9/30/2022

UP 2021-427(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-428(ROP) 1 $7,500 $7,500 $5,400 9/30/2022

UP 2021-429(HS) 1 $2,000 $2,000 $1,816 9/30/2022

UP 2021-430(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-431(LI) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-432(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-433(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-434(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-435(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-436(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-437(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-438(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-440(TS) 1 $1,000 $1,000 $908 9/30/2022

UP 2021-441(ROP) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2021-442(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-443(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-444(FCS) 1 $2,500 $2,500 $1,500 9/30/2022

UP 2021-445(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-446(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-447(ROP) 1 $7,500 $7,500 $5,400 9/30/2022

UP 2021-448(ROP) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2021-449(ROP) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2021-450(TS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-451(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-452(HSR) 1 $1,000 $1,000 $908 9/30/2022

101
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

UP 2021-453(HMT) 1 $7,500 $7,500 $5,400 9/30/2022

UP 2021-454(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-455(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-456(HMT) 1 $40,000 $40,000 $28,800 9/30/2022

UP 2021-457(HMT) 1 $10,000 $10,000 $6,000 9/30/2022

UP 2021-458(HMT) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2021-459(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-460(HMT) 2 $71,000 $71,000 $51,120 9/30/2022

UP 2021-461(TS) 1 $1,000 $1,000 $908 9/30/2022

UP 2021-462(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-463(ROP) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2021-464(HS) 1 $2,000 $2,000 $1,838 9/30/2022

UP 2021-465(HS) 1 $2,000 $2,000 $1,838 9/30/2022

UP 2021-466(HS) 2 $2,000 $2,000 $1,816 9/30/2022

UP 2021-467(HS) 1 $2,000 $2,000 $1,838 9/30/2022

UP 2021-468(SA) 1 $10,000 $10,000 $7,200 9/30/2022

UP 2021-469(HSR) 1 $4,000 $4,000 $3,632 9/30/2022

UP 2021-470(ROP) 1 $7,500 $7,500 $4,000 9/30/2022

UP 2021-471(HS) 1 $2,000 $2,000 $1,838 9/30/2022

UP 2021-472(HMT) 1 $6,000 $6,000 $4,320 9/30/2022

UP 2021-473(HMT) 1 $3,000 $3,000 $2,160 9/30/2022

UP 2021-474(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-475(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-476(TS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-477(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-478(ROP) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2021-479(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-480(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-481(SA) 1 $2,500 $2,500 $1,800 9/30/2022

102
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

UP 2021-482(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-483(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-484(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-485(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-486(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-487(FCS) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-488(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-489(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-490(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-491(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-492(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-493(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-494(HMT) 3 $18,500 $18,500 $13,320 9/30/2022

UP 2021-495(ROP) 1 $7,500 $7,500 $5,400 9/30/2022

UP 2021-496(TS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-497(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-498(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-499(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-500(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-502(LI) 1 $1,500 $1,500 $1,080 9/30/2022

UP 2021-503(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-504(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-505(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-506(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-507(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-508(SA) 1 $2,500 $2,500 $1,500 9/30/2022

UP 2021-509(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-510(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-511(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

103
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

UP 2021-512(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-513(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-514(ROP) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-515(ROP) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2021-516(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-517(ROP) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2021-518(HSR) 1 $15,000 $15,000 $13,620 9/30/2022

UP 2021-519(HSR) 1 $5,000 $5,000 $4,540 9/30/2022

UP 2021-520(HSR) 1 $6,000 $6,000 $5,448 9/30/2022

UP 2021-522(HS) 1 $2,000 $2,000 $1,816 9/30/2022

UP 2021-523(HS) 1 $2,000 $2,000 $1,816 9/30/2022

UP 2021-526(ROP) 1 $7,500 $7,500 $5,400 9/30/2022

UP 2021-527(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-528(ROP) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2021-529(ROP) 1 $7,500 $7,500 $5,400 9/30/2022

UP 2021-530(GC) 1 $5,000 $5,000 $3,000 9/30/2022

UP 2021-531(TS) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-532(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-533(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-534(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-535(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-536(TS) 1 $1,000 $1,000 $919 9/30/2022

UP 2021-537(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-538(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-539(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-540(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-541(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-542(TS) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-543(AR) 1 $2,500 $2,500 $1,800 9/30/2022

104
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

UP 2021-544(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-546(HMT) 2 $19,000 $19,000 $13,680 9/30/2022

UP 2021-547(HMT) 1 $6,000 $6,000 $4,320 9/30/2022

UP 2021-548(HMT) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2021-549(SI) 1 $1,000 $1,000 $908 9/30/2022

UP 2021-550(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-551(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-552(SI) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-553(HMT) 1 $7,500 $7,500 $5,400 9/30/2022

UP 2021-554(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-555(SA) 1 $2,500 $2,500 $1,500 9/30/2022

UP 2021-556(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-557(HMT) 1 $999 $999 $999 9/30/2022

UP 2021-558(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-559(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-560(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-561(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-562(ROP) 1 $7,500 $7,500 $5,400 9/30/2022

UP 2021-563(SA) 1 $5,000 $5,000 $3,000 9/30/2022

UP 2021-564(TS) 1 $1,000 $1,000 $908 9/30/2022

UP 2021-565(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-566(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-567(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-568(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-569(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-570(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-571(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-572(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-573(SA) 1 $5,000 $5,000 $3,600 9/30/2022

105
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

UP 2021-574(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-575(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-576(SA) 1 $10,000 $10,000 $7,200 9/30/2022

UP 2021-577(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-578(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-579(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-580(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-581(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-582(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-583(SA) 1 $2,500 $2,500 $1,500 9/30/2022

UP 2021-584(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-585(ROP) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2021-586(ROP) 1 $7,500 $7,500 $5,400 9/30/2022

UP 2021-587(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-588(HS) 1 $2,000 $2,000 $1,838 9/30/2022

UP 2021-589(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-590(SA) 1 $10,000 $10,000 $7,200 9/30/2022

UP 2021-591(HS) 1 $2,000 $2,000 $1,838 9/30/2022

UP 2021-592(ROP) 1 $9,500 $9,500 $6,840 9/30/2022

UP 2021-593(HS) 1 $2,000 $2,000 $1,838 9/30/2022

UP 2021-594(HS) 1 $2,000 $2,000 $1,816 9/30/2022

UP 2021-595(EQ) 1 $7,500 $0 $0 9/30/2022 Case 

Terminated

UP 2021-596(RW) 1 $3,000 $3,000 $2,160 9/30/2022

UP 2021-597(HS) 1 $2,000 $2,000 $1,838 9/30/2022

UP 2021-598(SA) 1 $20,000 $20,000 $14,400 9/30/2022

UP 2021-600(HSR) 1 $3,000 $3,000 $2,724 9/30/2022

UP 2021-601(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-602(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-603(HS) 1 $2,000 $2,000 $1,816 9/30/2022

106
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

UP 2021-604(HSR) 1 $1,000 $1,000 $919 9/30/2022

UP 2021-605(SA) 1 $5,000 $5,000 $3,000 9/30/2022

UP 2021-606(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-608(ROP) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2021-610(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-611(HMT) 1 $6,000 $6,000 $4,320 9/30/2022

UP 2021-612(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-613(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-614(FCS) 1 $2,500 $2,500 $1,500 9/30/2022

UP 2021-615(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-616(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-617(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-618(HS) 1 $2,000 $2,000 $1,838 9/30/2022

UP 2021-619(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-620(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-621(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-622(TS) 2 $5,999 $5,999 $4,320 9/30/2022

UP 2021-623(TS) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-625(FCS) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-626(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-627(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-628(TS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-629(TS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-630(ROP) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2021-631(ROP) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-632(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-633(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-634(FCS) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-635(SA) 1 $5,000 $5,000 $3,600 9/30/2022

107
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

UP 2021-636(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-637(SA) 2 $15,000 $15,000 $9,000 9/30/2022

UP 2021-638(SA) 1 $10,000 $10,000 $7,200 9/30/2022

UP 2021-639(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-640(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-641(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-643(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-645(HMT) 1 $7,500 $7,500 $5,400 9/30/2022

UP 2021-646(SI) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-647(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-648(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-649(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-650(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-651(HMT) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-652(HMT) 1 $7,500 $7,500 $5,400 9/30/2022

UP 2021-654(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-655(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-656(SA) 1 $10,000 $10,000 $6,000 9/30/2022

UP 2021-657(LI) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2021-659(LI) 1 $4,000 $4,000 $2,880 9/30/2022

UP 2021-660(TS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-661(AR) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-662(HMT) 1 $7,500 $7,500 $5,400 9/30/2022

UP 2021-665(AR) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-666(AR) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-667(AR) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-669(HMT) 1 $4,000 $4,000 $2,880 9/30/2022

UP 2021-670(HMT) 1 $4,000 $4,000 $2,880 9/30/2022

UP 2021-671(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

108
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

UP 2021-672(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-673(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-674(FCS) 1 $2,500 $2,500 $1,500 9/30/2022

UP 2021-675(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-676(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-677(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-678(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-679(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-680(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-681(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-682(HMT) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2021-683(HMT) 1 $4,000 $4,000 $2,880 9/30/2022

UP 2021-685(HMT) 1 $20,000 $20,000 $14,400 9/30/2022

UP 2021-686(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-687(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-688(HMT) 1 $4,000 $4,000 $2,880 9/30/2022

UP 2021-689(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-690(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-691(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-692(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-693(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-694(FCS) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-695(HMT) 1 $6,000 $6,000 $4,320 9/30/2022

UP 2021-696(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-697(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-698(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-699(HMT) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-701(RW) 1 $4,500 $4,500 $3,240 9/30/2022

UP 2021-703(HMT) 1 $7,500 $7,500 $5,400 9/30/2022

109
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

UP 2021-706(SA) 1 $10,000 $10,000 $7,200 9/30/2022

UP 2021-708(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-709(HMT) 2 $51,000 $51,000 $36,720 9/30/2022

UP 2021-710(TS) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-711(TS) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-712(TS) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-714(FCS) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-715(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-716(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-718(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-719(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-720(HMT) 2 $12,500 $12,500 $9,000 9/30/2022

UP 2021-722(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-723(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-724(HMT) 1 $4,000 $4,000 $2,880 9/30/2022

UP 2021-726(LI) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2021-727(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-728(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-731(HMT) 1 $6,000 $6,000 $4,320 9/30/2022

UP 2021-732(HMT) 1 $3,000 $3,000 $2,160 9/30/2022

UP 2021-734(TS) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-735(HMT) 1 $6,000 $6,000 $4,320 9/30/2022

UP 2021-736(HS) 1 $1,000 $1,000 $919 9/30/2022

UP 2021-738(GC) 1 $25,000 $25,000 $16,250 9/30/2022

UP 2021-739(TS) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2021-741(GC) 1 $20,000 $20,000 $13,000 9/30/2022

UP 2021-742(GC) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-743(GC) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-745(LI) 1 $2,500 $2,500 $1,800 9/30/2022

110
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

UP 2021-746(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-747(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-749(HSR) 1 $2,000 $2,000 $1,838 9/30/2022

UP 2021-750(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-751(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-753(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-754(HS) 1 $2,000 $2,000 $1,838 9/30/2022

UP 2021-755(SA) 1 $15,000 $15,000 $10,800 9/30/2022

UP 2021-757(HMT) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2021-758(SI) 1 $1,000 $1,000 $908 9/30/2022

UP 2021-759(GC) 1 $10,000 $10,000 $7,200 9/30/2022

UP 2021-761(TS) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-762(TS) 1 $8,000 $8,000 $4,800 9/30/2022

UP 2021-763(GC) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-765(SI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-766(GC) 1 $15,000 $10,000 $9,750 9/30/2022 Terminated 

Violations: 

1

UP 2021-767(GC) 1 $10,000 $10,000 $7,200 9/30/2022

UP 2021-769(GC) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-770(ROP) 1 $7,500 $7,500 $5,400 9/30/2022

UP 2021-771(TS) 3 $7,500 $7,500 $5,400 9/30/2022

UP 2021-773(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-774(SA) 1 $2,500 $2,500 $1,500 9/30/2022

UP 2021-775(HS) 1 $2,000 $2,000 $1,838 9/30/2022

UP 2021-777(HS) 1 $1,000 $1,000 $919 9/30/2022

UP 2021-778(HMT) 1 $6,000 $6,000 $4,320 9/30/2022

UP 2021-779(HMT) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-781(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-782(SA) 1 $2,500 $2,500 $1,800 9/30/2022

111
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

UP 2021-783(HSR) 1 $2,000 $2,000 $1,838 9/30/2022

UP 2021-785(HS) 1 $2,000 $2,000 $1,838 9/30/2022

UP 2021-786(HS) 1 $2,000 $2,000 $1,838 9/30/2022

UP 2021-787(HS) 1 $2,000 $2,000 $1,838 9/30/2022

UP 2021-789(ROP) 1 $7,500 $7,500 $5,400 9/30/2022

UP 2021-790(ROP) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2021-791(RW) 1 $4,000 $4,000 $2,880 9/30/2022

UP 2021-793(HS) 1 $2,000 $2,000 $1,838 9/30/2022

UP 2021-794(HSR) 1 $1,000 $1,000 $919 9/30/2022

UP 2021-795(HS) 1 $2,000 $2,000 $1,838 9/30/2022

UP 2021-797(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-798(HS) 1 $2,000 $2,000 $1,838 9/30/2022

UP 2021-799(HMT) 2 $6,000 $6,000 $4,320 9/30/2022

UP 2021-801(HS) 1 $1,000 $1,000 $919 9/30/2022

UP 2021-802(HS) 1 $2,000 $2,000 $1,838 9/30/2022

UP 2021-803(CC) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-805(HS) 1 $2,000 $2,000 $1,838 9/30/2022

UP 2021-806(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-807(HS) 1 $2,000 $2,000 $1,838 9/30/2022

UP 2021-809(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-810(HS) 1 $2,000 $2,000 $1,838 9/30/2022

UP 2021-811(AR) 1 $1,000 $1,000 $919 9/30/2022

UP 2021-813(HS) 1 $2,000 $2,000 $1,838 9/30/2022

UP 2021-814(HS) 1 $2,000 $2,000 $1,838 9/30/2022

UP 2021-815(HS) 1 $1,000 $1,000 $919 9/30/2022

UP 2021-817(HSR) 1 $1,000 $1,000 $919 9/30/2022

UP 2021-818(HS) 1 $1,000 $1,000 $919 9/30/2022

UP 2021-819(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-821(LI) 1 $2,000 $2,000 $1,440 9/30/2022

112
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

UP 2021-822(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-823(RSP) 1 $9,500 $9,500 $6,840 9/30/2022

UP 2021-825(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-826(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-827(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-829(HS) 1 $1,000 $1,000 $908 9/30/2022

UP 2021-830(ROP) 1 $7,500 $7,500 $5,400 9/30/2022

UP 2021-831(HS) 1 $2,000 $2,000 $1,838 9/30/2022

UP 2021-833(HS) 1 $1,000 $1,000 $919 9/30/2022

UP 2021-834(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-835(ROP) 1 $7,500 $7,500 $5,400 9/30/2022

UP 2021-837(HSR) 1 $1,000 $1,000 $919 9/30/2022

UP 2021-838(HS) 1 $2,000 $2,000 $1,838 9/30/2022

UP 2021-839(HS) 1 $2,000 $2,000 $1,838 9/30/2022

UP 2021-841(HS) 1 $2,000 $2,000 $1,838 9/30/2022

UP 2021-842(HS) 1 $2,000 $2,000 $1,838 9/30/2022

UP 2021-843(HS) 1 $2,000 $2,000 $1,838 9/30/2022

UP 2021-845(HSR) 1 $1,000 $1,000 $919 9/30/2022

UP 2021-846(HS) 1 $2,000 $2,000 $1,838 9/30/2022

UP 2021-847(HMT) 1 $7,000 $7,000 $5,040 9/30/2022

UP 2021-849(ROP) 1 $7,500 $7,500 $5,400 9/30/2022

UP 2021-850(TS) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-851(HS) 1 $2,000 $2,000 $1,838 9/30/2022

UP 2021-853(HS) 1 $2,000 $2,000 $1,838 9/30/2022

UP 2021-854(HMT) 1 $2,000 $2,000 $1,200 9/30/2022

UP 2021-855(ROP) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-857(FCS) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-858(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-859(ROP) 1 $2,000 $2,000 $1,440 9/30/2022

113
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

UP 2021-861(SI) 1 $20,000 $20,000 $14,400 9/30/2022

UP 2021-862(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-863(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-865(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-866(HS) 1 $2,000 $2,000 $1,838 9/30/2022

UP 2021-867(HS) 1 $1,000 $1,000 $919 9/30/2022

UP 2021-869(HS) 1 $2,000 $2,000 $1,838 9/30/2022

UP 2021-871(HS) 1 $2,000 $2,000 $1,838 9/30/2022

UP 2021-873(HS) 1 $2,000 $2,000 $1,838 9/30/2022

UP 2021-874(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-875(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-877(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-878(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-879(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-881(ROP) 1 $9,500 $9,500 $6,840 9/30/2022

UP 2021-882(TS) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-883(FCS) 1 $2,500 $2,500 $1,625 9/30/2022

UP 2021-885(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-886(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-887(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-889(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-890(HMT) 1 $20,000 $20,000 $14,400 9/30/2022

UP 2021-891(HMT) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2021-893(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-894(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-895(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-896(LI) 2 $4,000 $4,000 $2,880 9/30/2022

UP 2021-898(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-899(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

114
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

UP 2021-900(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-902(RW) 2 $3,500 $3,500 $2,520 9/30/2022

UP 2021-903(TS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-904(HMT) 2 $7,500 $7,500 $5,400 9/30/2022

UP 2021-906(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-907(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-908(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-909(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-910(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-911(FCS) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-912(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-914(RW) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2021-915(TS) 1 $29,192 $29,192 $14,596 9/30/2022

UP 2021-916(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-918(ROP) 1 $7,500 $7,500 $5,400 9/30/2022

UP 2021-919(ROP) 1 $30,058 $30,058 $18,035 9/30/2022

UP 2021-920(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-922(TH) 1 $15,000 $0 $0 9/30/2022 Case 

Terminated

UP 2021-923(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-924(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-926(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-927(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-928(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-930(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-931(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-932(ROP) 1 $9,500 $9,500 $6,840 9/30/2022

UP 2021-933(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-934(SA) 1 $15,000 $15,000 $10,800 9/30/2022

UP 2021-935(SA) 1 $5,000 $5,000 $3,600 9/30/2022

115
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

UP 2021-936(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-938(ROP) 1 $7,500 $7,500 $5,400 9/30/2022

UP 2021-939(ROP) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2021-940(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-941(ROP) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-942(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-943(ROP) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2021-945(ROP) 1 $7,500 $7,500 $5,400 9/30/2022

UP 2021-946(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-947(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-949(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-950(HS) 1 $2,000 $2,000 $1,838 9/30/2022

UP 2021-952(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-953(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-954(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-956(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-957(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-958(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-960(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-961(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-962(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-963(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-964(TS) 3 $14,500 $14,500 $7,250 9/30/2022

UP 2021-966(ROP) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2021-968(ROP) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-970(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-971(TS) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-972(TS) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-974(SA) 1 $2,500 $2,500 $1,800 9/30/2022

116
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

UP 2021-977(HS) 1 $2,000 $2,000 $1,838 9/30/2022

UP 2021-978(HS) 1 $1,000 $1,000 $919 9/30/2022

UP 2021-980(HS) 1 $3,000 $3,000 $2,757 9/30/2022

UP 2021-981(HS) 1 $2,000 $2,000 $1,838 9/30/2022

UP 2021-982(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-983(HS) 1 $2,000 $2,000 $1,838 9/30/2022

UP 2021-984(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-986(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-987(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-988(HS) 1 $1,000 $1,000 $919 9/30/2022

UP 2021-989(HS) 1 $1,000 $1,000 $919 9/30/2022

UP 2021-990(HS) 1 $1,000 $1,000 $919 9/30/2022

UP 2021-991(HS) 1 $1,000 $1,000 $919 9/30/2022

UP 2021-992(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-994(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-995(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-996(FCS) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2021-998(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2021-999(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-002(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-003(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2022-005(HS) 1 $2,000 $2,000 $1,960 9/30/2022

UP 2022-007(SA) 1 $20,000 $20,000 $14,400 9/30/2022

UP 2022-008(HMT) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2022-010(HMT) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2022-012(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-014(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2022-016(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-018(SA) 1 $5,000 $5,000 $3,600 9/30/2022

117
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

UP 2022-020(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-022(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2022-024(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-026(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-028(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2022-030(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-032(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-034(ROP) 1 $7,500 $7,500 $5,400 9/30/2022

UP 2022-036(HS) 1 $2,000 $2,000 $1,960 9/30/2022

UP 2022-038(HSR) 1 $2,000 $2,000 $1,838 9/30/2022

UP 2022-040(HS) 1 $2,000 $2,000 $1,960 9/30/2022

UP 2022-042(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2022-044(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2022-046(TS) 2 $7,500 $7,500 $5,400 9/30/2022

UP 2022-048(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2022-050(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2022-052(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-054(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-056(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-058(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-060(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-062(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-064(HS) 1 $2,000 $2,000 $1,960 9/30/2022

UP 2022-066(HMT) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2022-068(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-070(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2022-072(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-074(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2022-076(SA) 1 $5,000 $5,000 $3,600 9/30/2022

118
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

UP 2022-078(HS) 1 $2,000 $2,000 $1,960 9/30/2022

UP 2022-080(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-082(HSR) 1 $1,000 $1,000 $919 9/30/2022

UP 2022-084(ROP) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2022-085(HS) 1 $2,000 $2,000 $1,960 9/30/2022

UP 2022-086(HS) 1 $2,000 $2,000 $1,960 9/30/2022

UP 2022-088(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2022-090(HS) 1 $2,000 $2,000 $1,960 9/30/2022

UP 2022-092(HS) 1 $2,000 $2,000 $1,960 9/30/2022

UP 2022-093(HS) 1 $2,000 $2,000 $1,960 9/30/2022

UP 2022-096(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-098(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-100(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-102(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-104(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-106(ROP) 1 $9,500 $9,500 $6,840 9/30/2022

UP 2022-108(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-110(FCS) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2022-112(HSR) 1 $1,000 $1,000 $919 9/30/2022

UP 2022-114(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2022-116(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-118(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2022-120(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2022-122(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-124(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2022-126(HMT) 2 $10,500 $10,500 $7,560 9/30/2022

UP 2022-128(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-130(HMT) 1 $7,500 $7,500 $5,400 9/30/2022

UP 2022-132(LI) 1 $2,500 $2,500 $1,800 9/30/2022

119
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

UP 2022-134(LI) 1 $1,000 $1,000 $980 9/30/2022

UP 2022-136(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-138(LI) 1 $1,500 $1,500 $990 9/30/2022

UP 2022-140(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2022-142(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-144(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-146(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-148(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-150(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-152(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-154(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2022-156(ROP) 1 $9,500 $9,500 $6,840 9/30/2022

UP 2022-158(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2022-160(FCS) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2022-162(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-164(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2022-166(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-170(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-172(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-174(FCS) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2022-176(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-178(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-180(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-182(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2022-184(HMT) 2 $13,500 $13,500 $9,720 9/30/2022

UP 2022-186(ROP) 1 $7,500 $7,500 $4,500 9/30/2022

UP 2022-188(RW) 1 $4,000 $4,000 $2,880 9/30/2022

UP 2022-189(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-191(SA) 1 $2,500 $2,500 $1,800 9/30/2022

120
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

UP 2022-193(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-195(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-197(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-199(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-201(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-203(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-204(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-206(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-208(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-210(HS) 1 $2,000 $2,000 $1,960 9/30/2022

UP 2022-212(SA) 1 $10,000 $10,000 $7,200 9/30/2022

UP 2022-214(SA) 1 $10,000 $10,000 $7,200 9/30/2022

UP 2022-216(HMT) 1 $7,500 $7,500 $5,400 9/30/2022

UP 2022-218(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-220(TS) 1 $5,000 $5,000 $2,500 9/30/2022

UP 2022-222(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-224(HMT) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2022-226(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-228(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-230(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-232(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2022-234(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-236(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-238(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-240(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-241(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2022-243(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-245(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2022-247(LI) 1 $1,500 $1,500 $990 9/30/2022

121
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

UP 2022-249(ROP) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2022-250(HS) 1 $1,000 $1,000 $980 9/30/2022

UP 2022-251(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-253(ROP) 1 $7,500 $7,500 $5,400 9/30/2022

UP 2022-255(HS) 1 $2,000 $2,000 $1,960 9/30/2022

UP 2022-257(ROP) 1 $7,500 $7,500 $5,400 9/30/2022

UP 2022-259(HS) 1 $2,000 $2,000 $1,960 9/30/2022

UP 2022-261(HS) 1 $2,000 $2,000 $1,960 9/30/2022

UP 2022-263(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2022-265(HS) 1 $2,000 $2,000 $1,960 9/30/2022

UP 2022-266(HS) 1 $1,000 $1,000 $980 9/30/2022

UP 2022-267(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-269(HS) 1 $2,000 $2,000 $1,960 9/30/2022

UP 2022-271(ROP) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2022-273(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-275(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-277(ROP) 1 $9,500 $9,500 $6,840 9/30/2022

UP 2022-279(ROP) 1 $7,500 $7,500 $5,400 9/30/2022

UP 2022-281(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-283(GC) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-285(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2022-287(HS) 1 $1,000 $1,000 $980 9/30/2022

UP 2022-289(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2022-290(HS) 1 $1,000 $1,000 $980 9/30/2022

UP 2022-291(HS) 1 $1,000 $1,000 $980 9/30/2022

UP 2022-293(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2022-295(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2022-299(LI) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-301(HMT) 1 $2,000 $2,000 $1,440 9/30/2022

122
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

UP 2022-303(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-305(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-307(FCS) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2022-309(FCS) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-313(SA) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2022-315(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-317(HS) 1 $2,000 $2,000 $1,960 9/30/2022

UP 2022-319(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-321(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-323(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-325(HS) 1 $2,000 $2,000 $1,960 9/30/2022

UP 2022-326(HS) 1 $2,000 $2,000 $1,960 9/30/2022

UP 2022-327(ROP) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2022-329(HS) 1 $2,000 $2,000 $1,960 9/30/2022

UP 2022-333(HS) 1 $2,000 $2,000 $1,960 9/30/2022

UP 2022-334(HS) 1 $3,000 $3,000 $2,940 9/30/2022

UP 2022-335(HSR) 1 $3,000 $3,000 $2,724 9/30/2022

UP 2022-337(HS) 1 $3,000 $3,000 $2,940 9/30/2022

UP 2022-339(SA) 1 $10,000 $10,000 $7,200 9/30/2022

UP 2022-341(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-343(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-345(HMT) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2022-347(HMT) 1 $2,000 $2,000 $1,440 9/30/2022

UP 2022-349(FCS) 1 $5,000 $5,000 $3,600 9/30/2022

UP 2022-351(ROP) 1 $7,500 $7,500 $5,400 9/30/2022

UP 2022-353(HSR) 1 $2,000 $2,000 $1,838 9/30/2022

UP 2022-355(LI) 1 $3,000 $3,000 $2,940 9/30/2022

UP 2022-356(SA) 1 $2,500 $2,500 $1,800 9/30/2022

UP 2022-358(SA) 1 $10,000 $10,000 $7,200 9/30/2022

123
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

UP 2022-360(SA) 1 $15,000 $15,000 $10,800 9/30/2022

UP 2022-362(HMT) 1 $2,000 $2,000 $1,440 9/30/2022

VCY 2021-001(ROP) 1 $9,500 $9,500 $7,600 9/28/2022

VSOR 2022-001(TS) 1 $5,000 $5,000 $3,500 9/29/2022

WATX 2021-001(LI) 1 $2,500 $2,500 $1,700 9/29/2022

WATX 2021-002(TS) 1 $2,500 $2,500 $1,700 9/29/2022

WATX 2021-003(TS) 4 $14,500 $14,500 $10,000 9/29/2022

WCLQ 2021-001(RW) 1 $1,500 $1,500 $1,500 3/11/2022

WE 2021-001(AD) 1 $2,500 $2,500 $2,500 2/23/2022

WGNS 2016-001(TS) 3 $25,000 $0 $0 3/18/2022 Case 

Terminated

WGNS 2016-002(EP) 1 $4,000 $0 $0 3/18/2022 Case 

Terminated

WGNS 2016-003(HMT) 1 $2,000 $0 $0 3/18/2022 Case 

Terminated

WGSH 2020-001(GC) 1 $5,000 $5,000 $5,000 2/2/2022

WINV 2020-001(BSS) 1 $12,500 $12,500 $9,250 10/22/2021

WIR 2015-003(TS) 3 $8,500 $0 $0 3/18/2022 Case 

Terminated

WIR 2016-001(ROP) 1 $7,500 $0 $0 3/18/2022 Case 

Terminated

WIR 2016-002(ROP) 1 $2,000 $0 $0 3/18/2022 Case 

Terminated

WIR 2016-003(CC) 1 $5,000 $0 $0 3/18/2022 Case 

Terminated

WIR 2016-004(EQ) 1 $7,500 $0 $0 3/18/2022 Case 

Terminated

WIR 2016-005(EQ) 1 $2,500 $0 $0 3/18/2022 Case 

Terminated

WIR 2016-006(EQ) 1 $2,500 $0 $0 3/18/2022 Case 

Terminated

WIR 2016-007(EQ) 1 $3,000 $0 $0 3/18/2022 Case 

Terminated

WIR 2016-008(TS) 1 $2,500 $0 $0 3/18/2022 Case 

Terminated

WIR 2017-001(ROP) 1 $5,000 $0 $0 3/18/2022 Case 

Terminated

124
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

WIR 2017-002(SA) 3 $7,500 $0 $0 3/23/2022 Case 

Terminated

WMSR 2022-001(LIS) 1 $1,500 $1,500 $1,500 7/18/2022

WSS 2021-001(SA) 1 $2,500 $2,500 $1,650 2/15/2022

WSS 2021-002(FCS) 1 $2,500 $2,500 $1,650 2/15/2022

WSS 2021-003(FCS) 1 $2,500 $2,500 $1,650 2/15/2022

WSS 2021-004(FCS) 1 $2,500 $2,500 $1,650 2/15/2022

WSS 2021-005(FCS) 1 $2,500 $2,500 $1,650 2/15/2022

WTRY 2021-001(LI) 1 $2,500 $2,500 $1,900 9/28/2022

WZIR 2021-001(HMT) 1 $5,000 $5,000 $4,300 1/5/2022

XADI 2021-001(RW) 1 $3,000 $3,000 $3,000 3/9/2022

XAIT 2021-001(HMT) 1 $15,000 $0 $0 2/8/2022 Case 

Terminated

XAPQ 2021-001(HMT) 1 $2,500 $2,500 $1,875 4/18/2022

XAPZ 2022-001(HMT) 1 $2,000 $2,000 $2,000 8/29/2022

XBCP 2019-001(HMT) 1 $5,000 $5,000 $5,000 5/23/2022

XBLW 2020-001(HMT) 1 $4,000 $4,000 $3,600 3/22/2022

XBLW 2020-002(HMT) 1 $10,000 $10,000 $8,000 3/22/2022

XBLW 2020-003(HMT) 1 $4,000 $4,000 $3,400 3/22/2022

XBML 2018-001(BW) 1 $2,500 $2,500 $2,500 3/31/2022

XBRR 2020-001(HMT) 1 $2,000 $2,000 $2,000 8/2/2022

XBUZ 2021-001(HMT) 1 $7,500 $7,500 $5,500 4/29/2022

XBWP 2022-001(HMT) 1 $2,000 $2,000 $2,000 9/6/2022

XCAI 2021-001(TS) 3 $4,000 $4,000 $3,000 7/26/2022

XCAI 2021-002(HMT) 1 $10,000 $10,000 $7,500 3/28/2022

XCDL 2021-002(RW) 1 $2,000 $2,000 $2,000 3/21/2022

XCDL 2022-001(RW) 1 $1,500 $1,500 $1,000 6/9/2022

XCHS 2022-001(HMT) 1 $5,000 $5,000 $4,000 7/21/2022

XCHS 2022-002(HMT) 1 $2,000 $2,000 $2,000 9/6/2022

XCHW 2020-001(HMT) 1 $10,000 $10,000 $7,250 11/19/2021

125
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

XCIH 2020-001(HMT) 2 $15,000 $15,000 $10,000 1/3/2022

XCPT 2021-001(HMT) 1 $5,000 $5,000 $4,000 12/2/2021

XCSE 2022-001(RW) 1 $10,000 $10,000 $6,000 3/22/2022

XEEL 2021-002(HMT) 1 $7,500 $7,500 $7,500 10/1/2021

XEEL 2022-001(HMT) 1 $5,000 $5,000 $5,000 3/9/2022

XELI 2021-001(HMT) 3 $8,000 $8,000 $4,800 10/1/2021

XFEF 2022-002(HMT) 1 $2,500 $2,500 $2,500 8/17/2022

XGEO 2021-001(HMT) 1 $5,000 $5,000 $5,000 1/20/2022

XGEO 2022-001(HMT) 1 $5,000 $5,000 $5,000 2/25/2022

XGEO 2022-002(HMT) 1 $5,000 $5,000 $5,000 5/26/2022

XHJV 2021-001(GC) 1 $1,000 $1,000 $1,000 8/19/2022

XKHM 2021-003(HMT) 1 $5,000 $5,000 $5,000 3/22/2022

XKHM 2021-004(HMT) 1 $5,000 $5,000 $5,000 1/31/2022

XLSS 2020-001(HMT) 1 $2,000 $2,000 $2,000 10/14/2021

XMAZ 2021-001(HSR) 1 $1,000 $1,000 $1,000 8/9/2022

XMHC 2021-001(RW) 1 $5,000 $5,000 $3,500 5/17/2022

XMKW 2021-002(HMT) 1 $5,000 $5,000 $3,500 5/19/2022

XMNE 2022-001(RMM) 1 $2,500 $2,500 $2,500 9/26/2022

XMPI 2021-001(HMT) 1 $5,000 $5,000 $4,000 7/20/2022

XMPM 2021-001(HMT) 1 $7,500 $7,500 $5,625 8/17/2022

XMWY 2021-001(RW) 2 $5,000 $5,000 $2,500 5/16/2022

XNAZ 2021-001(HMT) 6 $27,500 $27,500 $27,500 11/12/2021

XNRL 2022-001(RW) 1 $3,000 $3,000 $3,000 2/18/2022

XONE 2018-001(HMT) 2 $6,500 $6,500 $4,400 1/31/2022

XONE 2018-002(HMT) 1 $7,500 $7,500 $5,000 1/11/2022

XONE 2021-001(HMT) 1 $4,000 $4,000 $2,700 1/31/2022

XONE 2022-001(HMT) 1 $2,000 $2,000 $1,800 2/14/2022

XRLC 2022-001(RMM) 1 $2,500 $2,500 $2,500 8/12/2022

XROA 2020-001(HMT) 1 $10,000 $10,000 $7,750 6/2/2022

126
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

XROA 2020-002(HMT) 1 $5,000 $5,000 $3,500 6/2/2022

XROA 2021-001(HMT) 1 $5,000 $5,000 $3,500 6/2/2022

XRPN 2021-001(AD) 1 $2,500 $2,500 $2,500 5/31/2022

XRWC 2021-001(RW) 1 $3,000 $3,000 $3,000 5/19/2022

XSNA 2021-001(HMT) 1 $2,000 $2,000 $2,000 10/29/2021

XSNA 2022-002(HMT) 1 $5,000 $5,000 $3,500 8/4/2022

XSSX 2020-001(HMT) 1 $5,000 $5,000 $3,500 5/13/2022

XSSX 2020-002(HMT) 1 $2,000 $2,000 $1,450 5/13/2022

XSSX 2020-003(HMT) 1 $6,000 $6,000 $4,350 5/13/2022

XSSX 2020-004(HMT) 1 $2,000 $2,000 $1,400 5/13/2022

XSSX 2020-005(HMT) 1 $2,000 $2,000 $1,450 5/13/2022

XTQU 2021-002(HMT) 3 $10,000 $10,000 $10,000 4/18/2022

XTRC 2020-001(HMT) 1 $10,000 $10,000 $7,000 6/24/2022

XTRC 2021-001(HMT) 1 $2,000 $2,000 $1,500 6/24/2022

XTRN 2019-001(HMT) 4 $225,000 $215,000 $60,750 5/13/2022

XTRN 2019-002(HMT) 2 $102,500 $102,500 $71,850 5/13/2022

XTRN 2019-003(HMT) 1 $10,000 $10,000 $7,000 5/13/2022

XTSS 2021-001(HMT) 1 $5,000 $5,000 $4,000 5/9/2022

XTSS 2022-001(HMT) 1 $5,000 $5,000 $4,000 5/9/2022

XTSY 2016-001(RW) 1 $3,000 $0 $0 4/19/2022 Case 

Terminated

XTWE 2021-001(HMT) 1 $15,000 $15,000 $11,000 5/9/2022

XWCM 2020-001(HMT) 1 $15,000 $15,000 $15,000 9/29/2022

XWCT 2021-001(HMT) 1 $2,000 $2,000 $2,000 3/7/2022

XWVT 2020-001(HMT) 1 $5,000 $5,000 $3,700 11/5/2021

XZTH 2021-001(HMT) 1 $2,000 $2,000 $2,000 10/29/2021

XZTH 2022-001(HMT) 1 $2,000 $2,000 $2,000 8/17/2022

YSRR 2019-001(GC) 1 $1,000 $1,000 $870 2/16/2022

YSRR 2019-002(GC) 1 $1,000 $1,000 $870 2/16/2022

YSRR 2019-003(GC) 1 $5,000 $5,000 $870 2/16/2022

127
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

YSRR 2020-001(TS) 1 $5,000 $5,000 $2,500 2/16/2022

YSRR 2020-002(TS) 1 $5,000 $5,000 $2,500 2/16/2022

ZAAO 2021-003(HMT) 2 $6,000 $6,000 $6,000 11/15/2021

ZAAO 2022-001(HMT) 1 $2,000 $2,000 $2,000 8/5/2022

ZABC 2021-001(HMT) 1 $2,000 $2,000 $2,000 4/14/2022

ZACH 2021-003(HMT) 1 $5,000 $5,000 $3,500 11/1/2021

ZACH 2022-001(HMT) 1 $5,000 $5,000 $3,500 3/15/2022

ZACH 2022-002(HMT) 1 $10,000 $10,000 $8,300 3/29/2022

ZACH 2022-003(HMT) 1 $5,000 $5,000 $3,500 5/17/2022

ZACH 2022-004(HMT) 2 $10,000 $10,000 $7,300 9/22/2022

ZADL 2021-001(HMT) 1 $5,000 $5,000 $5,000 11/30/2021

ZADL 2022-001(HMT) 1 $2,000 $2,000 $2,000 5/10/2022

ZAEF 2020-001(HMT) 1 $10,000 $10,000 $8,000 5/19/2022

ZAEN 2022-001(HMT) 1 $20,000 $20,000 $13,900 9/7/2022

ZAFF 2021-001(HMT) 1 $2,000 $2,000 $1,440 4/14/2022

ZAFF 2022-001(HMT) 1 $2,000 $2,000 $1,440 4/14/2022

ZAGT 2021-001(HMT) 1 $4,000 $4,000 $4,000 11/19/2021

ZAHL 2020-001(HMT) 1 $2,000 $2,000 $1,300 11/9/2021

ZALN 2021-003(HMT) 1 $2,000 $2,000 $1,400 1/6/2022

ZALN 2021-004(HMT) 1 $5,000 $5,000 $3,400 1/6/2022

ZALN 2021-005(HMT) 1 $5,000 $5,000 $4,200 1/6/2022

ZALQ 2021-001(HMT) 1 $10,000 $10,000 $10,000 4/5/2022

ZALTI 2021-001(HMT) 1 $5,000 $5,000 $1,980 1/21/2022

ZALTI 2021-002(HMT) 1 $5,000 $5,000 $2,950 1/21/2022

ZALTS 2022-001(HMT) 1 $2,000 $2,000 $1,400 9/20/2022

ZAMC 2022-001(HMT) 1 $5,000 $5,000 $3,250 2/17/2022

ZAND 2021-002(HMT) 1 $2,000 $2,000 $1,400 11/3/2021

ZANN 2020-002(HMT) 1 $2,000 $2,000 $1,400 11/3/2021

ZAPC 2021-001(HMT) 2 $9,000 $9,000 $9,000 12/17/2021

128
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

ZAPM 2021-003(HMT) 1 $5,000 $5,000 $5,000 10/29/2021

ZAPM 2021-004(HMT) 1 $5,000 $2,000 $1,440 2/10/2022 Terminated 

Violations: 

1

ZAPM 2021-005(HMT) 1 $5,000 $5,000 $4,100 2/10/2022

ZARG 2021-001(HMT) 1 $5,000 $5,000 $5,000 11/5/2021

ZARK 2022-001(HMT) 1 $10,000 $10,000 $8,200 3/28/2022

ZASY 2022-001(HMT) 1 $5,000 $5,000 $5,000 4/5/2022

ZATP 2022-001(HMT) 1 $2,000 $2,000 $2,000 7/5/2022

ZAUL 2020-001(HMT) 1 $2,000 $2,000 $1,500 1/20/2022

ZAUL 2020-002(HMT) 1 $4,000 $4,000 $2,880 1/20/2022

ZAUM 2022-001(HMT) 1 $5,000 $5,000 $5,000 9/13/2022

ZAXI 2021-003(HMT) 1 $2,500 $2,500 $1,800 2/28/2022

ZAXI 2022-001(HMT) 1 $2,500 $2,500 $1,650 2/28/2022

ZBADG 2020-001

(HMT)

1 $5,000 $5,000 $4,250 5/17/2022

ZBADG 2021-001

(HMT)

1 $10,000 $10,000 $8,500 5/17/2022

ZBAH 2021-001(HMT) 1 $2,000 $2,000 $2,000 6/6/2022

ZBAH 2022-001(HMT) 1 $2,000 $2,000 $2,000 6/6/2022

ZBAK 2020-001(HMT) 1 $5,000 $5,000 $5,000 2/3/2022

ZBAN 2022-001(HMT) 1 $2,000 $2,000 $2,000 8/30/2022

ZBAS 2020-001(HMT) 1 $2,000 $2,000 $2,000 6/10/2022

ZBAS 2020-002(HMT) 1 $5,000 $5,000 $5,000 6/10/2022

ZBAS 2020-003(HMT) 1 $2,000 $2,000 $2,000 6/10/2022

ZBAS 2020-004(HMT) 1 $10,000 $10,000 $10,000 6/10/2022

ZBAS 2020-005(HMT) 2 $6,000 $6,000 $6,000 6/10/2022

ZBAS 2020-006(HMT) 1 $4,000 $4,000 $4,000 6/10/2022

ZBAS 2020-007(HMT) 1 $2,000 $2,000 $2,000 6/10/2022

ZBAS 2021-001(HMT) 1 $5,000 $5,000 $5,000 6/10/2022

ZBAS 2021-002(HMT) 1 $10,000 $10,000 $10,000 6/10/2022

129
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

ZBAS 2021-003(HMT) 1 $10,000 $10,000 $10,000 6/10/2022

ZBAS 2021-004(HMT) 1 $10,000 $10,000 $10,000 6/10/2022

ZBAS 2022-001(HMT) 2 $4,000 $4,000 $4,000 6/10/2022

ZBAS 2022-002(HMT) 1 $5,000 $5,000 $5,000 8/24/2022

ZBBR 2018-001(HMT) 1 $2,000 $2,000 $1,800 2/9/2022

ZBCC 2021-001(HMT) 1 $2,000 $2,000 $2,000 1/27/2022

ZBCU 2020-001(HMT) 1 $5,000 $5,000 $5,000 4/5/2022

ZBCU 2020-002(HMT) 1 $5,000 $5,000 $5,000 4/5/2022

ZBCU 2021-001(HMT) 1 $5,000 $5,000 $5,000 4/5/2022

ZBCU 2021-002(HMT) 1 $10,000 $10,000 $10,000 4/5/2022

ZBCZ 2020-001(HMT) 1 $2,000 $2,000 $2,000 2/28/2022

ZBEP 2020-001(HMT) 1 $2,500 $2,500 $2,500 2/24/2022

ZBET 2020-001(HMT) 1 $5,000 $5,000 $4,000 5/23/2022

ZBFM 2020-001(HMT) 2 $6,000 $6,000 $6,000 4/5/2022

ZBFM 2020-002(HMT) 1 $2,000 $2,000 $2,000 4/5/2022

ZBGL 2020-001(HMT) 1 $2,000 $2,000 $2,000 2/23/2022

ZBGL 2021-001(HMT) 1 $2,000 $2,000 $2,000 2/23/2022

ZBGL 2021-002(HMT) 1 $2,000 $2,000 $2,000 4/18/2022

ZBJG 2020-001(HMT) 1 $2,000 $2,000 $1,500 8/10/2022

ZBJM 2022-001(HMT) 1 $2,000 $2,000 $1,500 6/10/2022

ZBKA 2022-001(HMT) 1 $5,000 $5,000 $5,000 8/24/2022

ZBKH 2021-001(HMT) 1 $2,000 $2,000 $2,000 9/7/2022

ZBLQ 2020-001(HMT) 1 $5,000 $5,000 $5,000 1/27/2022

ZBMI 2020-001(HMT) 1 $5,000 $5,000 $5,000 5/23/2022

ZBMI 2020-002(HMT) 1 $5,000 $5,000 $5,000 5/23/2022

ZBMQ 2020-001(HMT) 1 $2,000 $2,000 $2,000 5/25/2022

ZBMQ 2020-002(HMT) 1 $2,000 $2,000 $2,000 6/6/2022

ZBMQ 2020-003(HMT) 1 $2,000 $2,000 $2,000 6/6/2022

ZBMQ 2021-001(HMT) 1 $3,000 $3,000 $3,000 3/9/2022

130
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

ZBMQ 2022-001(HMT) 1 $2,000 $2,000 $2,000 8/3/2022

ZBMS 2019-001(HMT) 1 $5,000 $5,000 $5,000 5/17/2022

ZBMS 2019-002(HMT) 1 $2,000 $2,000 $2,000 5/2/2022

ZBMS 2020-001(HMT) 1 $2,000 $2,000 $2,000 5/2/2022

ZBMS 2022-001(HMT) 2 $6,000 $6,000 $6,000 5/2/2022

ZBMS 2022-002(HMT) 1 $5,000 $5,000 $5,000 9/29/2022

ZBMX 2020-001(HMT) 1 $6,000 $6,000 $4,800 2/25/2022

ZBMX 2020-002(HMT) 1 $2,000 $2,000 $1,500 2/25/2022

ZBORE 2020-001(HMT) 1 $2,000 $2,000 $2,000 5/25/2022

ZBOS 2021-001(HMT) 1 $10,000 $10,000 $7,000 9/13/2022

ZBOW 2022-001(HMT) 1 $5,000 $5,000 $3,000 9/28/2022

ZBPA 2021-001(HMT) 1 $2,500 $2,500 $2,500 1/18/2022

ZBPN 2020-003(HMT) 1 $10,000 $10,000 $10,000 2/15/2022

ZBPN 2020-004(HMT) 1 $5,000 $5,000 $5,000 2/14/2022

ZBPN 2021-001(HMT) 1 $15,000 $15,000 $15,000 2/15/2022

ZBPN 2021-002(HMT) 1 $10,000 $10,000 $10,000 2/15/2022

ZBPN 2021-003(HMT) 1 $15,000 $15,000 $15,000 2/15/2022

ZBPN 2022-001(HMT) 1 $10,000 $10,000 $10,000 5/26/2022

ZBPN 2022-002(HMT) 1 $2,000 $2,000 $2,000 4/1/2022

ZBPN 2022-003(HMT) 1 $1,000 $1,000 $1,000 8/24/2022

ZBPR 2021-001(HMT) 1 $5,000 $5,000 $5,000 3/2/2022

ZBRM 2021-001(HMT) 1 $10,000 $10,000 $10,000 3/8/2022

ZBRP 2020-001(HMT) 1 $2,000 $2,000 $1,650 2/4/2022

ZBRP 2020-002(HMT) 1 $6,000 $6,000 $5,000 2/4/2022

ZBRP 2020-003(HMT) 1 $2,000 $2,000 $2,000 1/21/2022

ZBRP 2020-004(HMT) 2 $8,000 $8,000 $6,500 2/4/2022

ZBRP 2022-001(HMT) 1 $2,000 $2,000 $1,750 7/21/2022

ZBSG 2021-001(HMT) 1 $5,000 $5,000 $5,000 8/24/2022

ZBSN 2020-001(HMT) 1 $2,000 $2,000 $1,600 6/7/2022

131
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

ZBTN 2020-001(HMT) 1 $5,000 $5,000 $4,500 9/6/2022

ZBUT 2022-001(HMT) 1 $5,000 $5,000 $5,000 8/4/2022

ZBUT 2022-002(HMT) 1 $10,000 $10,000 $10,000 8/4/2022

ZBVD 2020-001(HMT) 1 $5,000 $5,000 $5,000 7/26/2022

ZBWC 2021-001(HMT) 1 $5,000 $5,000 $4,000 3/8/2022

ZBYC 2020-001(HMT) 2 $7,000 $7,000 $5,000 6/21/2022

ZCAO 2021-001(HMT) 1 $4,000 $4,000 $4,000 3/9/2022

ZCAO 2022-001(HMT) 1 $5,000 $5,000 $5,000 2/23/2022

ZCCF 2021-003(HMT) 1 $5,000 $5,000 $5,000 12/6/2021

ZCCM 2022-001(HMT) 1 $5,000 $5,000 $4,000 7/25/2022

ZCDY 2022-001(HMT) 1 $2,000 $2,000 $2,000 4/5/2022

ZCEF 2021-001(HMT) 1 $10,000 $10,000 $8,000 10/7/2021

ZCEF 2021-002(HMT) 2 $26,000 $26,000 $20,800 4/18/2022

ZCEF 2022-001(HMT) 1 $5,000 $5,000 $4,000 7/21/2022

ZCELA 2022-001(HMT) 1 $5,000 $5,000 $5,000 2/3/2022

ZCFC 2021-001(HMT) 1 $10,000 $10,000 $7,000 5/26/2022

ZCFC 2021-002(HMT) 1 $5,000 $5,000 $4,000 11/4/2021

ZCFC 2021-003(HMT) 1 $10,000 $10,000 $8,000 11/3/2021

ZCFC 2021-004(HMT) 1 $6,000 $6,000 $4,200 4/27/2022

ZCFC 2022-001(HMT) 1 $10,000 $10,000 $8,000 4/27/2022

ZCFRQ 2020-001(HMT) 1 $4,000 $4,000 $4,000 10/4/2021

ZCFRQ 2020-002(HMT) 1 $2,000 $2,000 $2,000 10/4/2021

ZCFX 2022-001(HMT) 1 $2,000 $2,000 $2,000 8/10/2022

ZCGR 2021-001(HMT) 1 $2,000 $2,000 $1,500 10/1/2021

ZCHEV 2022-001

(HMT)

1 $10,000 $10,000 $7,500 2/2/2022

ZCHEV 2022-002

(HMT)

2 $5,000 $5,000 $3,750 2/15/2022

ZCHEV 2022-003

(HMT)

1 $2,000 $2,000 $2,000 4/5/2022

132
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

ZCHEV 2022-004

(HMT)

1 $4,000 $4,000 $3,000 9/27/2022

ZCHF 2022-001(HMT) 1 $4,000 $4,000 $3,000 6/13/2022

ZCHP 2021-001(HMT) 1 $10,000 $10,000 $10,000 9/8/2022

ZCHP 2022-001(HMT) 1 $10,000 $10,000 $10,000 9/8/2022

ZCHS 2019-001(HMT) 1 $2,000 $0 $0 10/13/2021 Case 

Terminated

ZCHX 2018-004(HMT) 1 $10,000 $0 $0 10/13/2021 Case 

Terminated

ZCHX 2018-005(HMT) 1 $5,000 $0 $0 10/13/2021 Case 

Terminated

ZCHX 2020-001(HMT) 1 $5,000 $5,000 $3,750 11/19/2021

ZCHX 2022-001(HMT) 2 $10,000 $0 $0 6/9/2022 Case 

Terminated

ZCJZ 2022-001(HMT) 1 $2,000 $2,000 $2,000 4/17/2022

ZCJZ 2022-002(HMT) 1 $2,000 $2,000 $2,000 8/3/2022

ZCLI 2022-001(HMT) 1 $4,000 $4,000 $4,000 9/7/2022

ZCLO 2021-001(HMT) 1 $4,000 $4,000 $3,000 10/28/2021

ZCLO 2022-001(HMT) 1 $5,000 $5,000 $4,000 9/28/2022

ZCLS 2022-001(HMT) 1 $1,000 $1,000 $1,000 8/31/2022

ZCLX 2022-001(HMT) 1 $5,000 $5,000 $3,500 8/31/2022

ZCMA 2021-001(HMT) 2 $19,500 $19,500 $15,750 10/1/2021

ZCME 2020-002(HMT) 1 $5,000 $5,000 $4,000 10/4/2021

ZCME 2020-003(HMT) 1 $5,000 $5,000 $4,000 10/4/2021

ZCME 2020-004(HMT) 1 $10,000 $10,000 $8,250 10/4/2021

ZCME 2021-002(HMT) 1 $5,000 $5,000 $4,000 10/4/2021

ZCME 2022-001(HMT) 1 $10,000 $10,000 $8,000 5/26/2022

ZCNO 2022-001(HMT) 1 $10,000 $10,000 $8,000 5/9/2022

ZCNO 2022-002(HMT) 1 $2,000 $2,000 $2,000 5/18/2022

ZCNS 2021-001(HMT) 1 $16,000 $16,000 $16,000 12/3/2021

ZCPN 2021-001(HMT) 1 $5,000 $5,000 $5,000 8/2/2022

ZCPR 2022-001(HMT) 1 $5,000 $5,000 $4,000 8/9/2022

133
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

ZCPR 2022-002(HMT) 1 $2,000 $2,000 $2,000 8/31/2022

ZCRB 2021-001(HMT) 1 $6,000 $6,000 $6,000 5/25/2022

ZCRS 2021-001(HMT) 1 $2,000 $2,000 $2,000 11/8/2021

ZCRS 2022-001(HMT) 1 $10,000 $10,000 $7,000 8/31/2022

ZCSF 2022-001(HMT) 2 $6,000 $6,000 $6,000 5/25/2022

ZCT 2021-002(HMT) 1 $5,000 $5,000 $5,000 12/2/2021

ZCT 2022-001(HMT) 1 $4,000 $4,000 $4,000 9/12/2022

ZCT 2022-002(HMT) 1 $2,000 $2,000 $2,000 9/12/2022

ZCT 2022-003(HMT) 1 $5,000 $5,000 $5,000 9/12/2022

ZCT 2022-004(HMT) 1 $5,000 $5,000 $5,000 9/12/2022

ZCUC 2022-001(HMT) 2 $7,000 $7,000 $7,000 3/9/2022

ZCUL 2022-001(HMT) 1 $8,000 $8,000 $6,000 7/12/2022

ZCUL 2022-002(HMT) 2 $8,000 $8,000 $6,400 7/12/2022

ZCUT 2020-001(HMT) 1 $2,000 $2,000 $1,500 12/6/2021

ZDAA 2020-001(HMT) 1 $10,000 $10,000 $10,000 12/7/2021

ZDAR 2020-001(HMT) 1 $2,000 $2,000 $1,500 10/28/2021

ZDBS 2020-001(HMT) 1 $5,000 $5,000 $5,000 11/5/2021

ZDCG 2020-001(HMT) 1 $2,000 $2,000 $2,000 10/29/2021

ZDCG 2021-001(HMT) 1 $5,000 $5,000 $5,000 3/11/2022

ZDCPC 2022-001(HMT) 1 $5,000 $5,000 $3,500 9/19/2022

ZDCU 2021-003(HMT) 1 $1,000 $1,000 $800 3/31/2022

ZDCU 2021-004(HMT) 1 $5,000 $5,000 $4,000 1/12/2022

ZDGT 2022-001(HMT) 1 $2,000 $2,000 $1,100 9/1/2022

ZDKR 2021-001(HMT) 1 $2,000 $2,000 $2,000 12/7/2021

ZDLZ 2021-001(HMT) 1 $2,500 $2,500 $2,500 11/18/2021

ZDMR 2021-001(HMT) 1 $5,000 $5,000 $3,500 10/12/2021

ZDNA 2020-001(HMT) 1 $2,000 $2,000 $2,000 10/14/2021

ZDRC 2021-001(RW) 1 $3,000 $3,000 $3,000 12/22/2021

ZDRY 2021-001(HMT) 1 $2,000 $2,000 $1,500 12/15/2021

134
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

ZDRY 2021-002(HMT) 1 $2,000 $2,000 $1,500 12/15/2021

ZDSP 2021-001(HMT) 1 $10,000 $10,000 $5,000 10/28/2021

ZDTLP 2021-001(HMT) 1 $2,000 $2,000 $1,500 11/4/2021

ZDTLP 2021-002(HMT) 1 $10,000 $10,000 $7,500 11/4/2021

ZDUS 2021-001(HMT) 1 $30,000 $30,000 $21,100 5/26/2022

ZDYI 2021-003(HMT) 1 $5,000 $5,000 $5,000 11/15/2021

ZDYI 2022-001(HMT) 1 $5,000 $5,000 $5,000 3/15/2022

ZDYI 2022-002(HMT) 1 $5,000 $5,000 $5,000 2/24/2022

ZEACH 2021-004

(HMT)

1 $5,000 $5,000 $3,500 1/7/2022

ZEACH 2022-001

(HMT)

1 $5,000 $5,000 $3,500 2/25/2022

ZEACH 2022-002

(HMT)

1 $2,500 $2,500 $1,750 2/22/2022

ZEACH 2022-003

(HMT)

1 $10,000 $10,000 $8,100 1/25/2022

ZEACH 2022-004

(HMT)

1 $2,000 $2,000 $1,440 2/8/2022

ZEACH 2022-005

(HMT)

1 $5,000 $5,000 $3,450 2/8/2022

ZEACH 2022-006

(HMT)

1 $5,000 $5,000 $3,600 5/23/2022

ZEAV 2020-001(HMT) 1 $20,000 $20,000 $15,800 11/9/2021

ZEDC 2021-002(HMT) 2 $4,000 $4,000 $2,600 11/3/2021

ZEDC 2021-004(HMT) 1 $2,000 $2,000 $1,400 2/16/2022

ZEDC 2022-002(HMT) 1 $4,000 $4,000 $2,800 7/28/2022

ZEDC 2022-003(HMT) 3 $6,000 $6,000 $4,200 7/28/2022

ZEEY 2022-001(HMT) 1 $5,000 $5,000 $4,250 6/21/2022

ZELEM 2021-002

(HMT)

1 $10,000 $10,000 $10,000 8/5/2022

ZELEM 2021-003

(HMT)

1 $5,000 $5,000 $5,000 8/5/2022

ZELM 2021-001(HMT) 1 $2,000 $2,000 $1,200 11/17/2021

ZEMER 2022-001

(HMT)

2 $6,000 $6,000 $4,460 8/10/2022

135
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

ZENS 2022-001(HMT) 1 $10,000 $10,000 $8,300 9/8/2022

ZEPC 2022-001(HMT) 1 $10,000 $10,000 $8,500 5/6/2022

ZEPC 2022-002(HMT) 1 $2,000 $2,000 $1,460 6/2/2022

ZEQU 2021-001(HMT) 1 $10,000 $10,000 $7,000 2/23/2022

ZEQU 2021-002(HMT) 1 $5,000 $5,000 $4,000 10/7/2021

ZEQU 2022-001(HMT) 1 $10,000 $10,000 $7,900 8/2/2022

ZEQU 2022-002(HMT) 1 $2,500 $2,500 $1,750 9/19/2022

ZEQU 2022-003(HMT) 1 $10,000 $10,000 $8,000 9/19/2022

ZERS 2020-001(HMT) 2 $15,000 $15,000 $10,200 12/8/2021

ZERS 2020-002(HMT) 1 $81,993 $81,993 $60,800 12/8/2021

ZERS 2022-001(HMT) 1 $7,500 $7,500 $5,250 9/4/2022

ZERV 2022-001(HMT) 1 $5,000 $5,000 $3,500 6/27/2022

ZESR 2021-002(HMT) 2 $10,000 $10,000 $6,450 11/1/2021

ZESR 2021-003(HMT) 1 $5,000 $5,000 $3,500 9/9/2022

ZESR 2022-001(HMT) 1 $2,000 $2,000 $1,400 9/9/2022

ZESR 2022-002(HMT) 1 $5,000 $5,000 $3,600 9/9/2022

ZESR 2022-003(HMT) 1 $2,000 $2,000 $1,440 9/9/2022

ZETS 2021-001(HMT) 1 $2,000 $2,000 $2,000 4/9/2022

ZEVD 2021-002(HMT) 1 $7,500 $7,500 $6,375 4/28/2022

ZEVD 2021-003(HMT) 1 $5,000 $5,000 $3,700 4/15/2022

ZEVD 2022-001(HMT) 1 $5,000 $5,000 $3,800 4/14/2022

ZEVD 2022-002(HMT) 1 $5,000 $5,000 $4,000 6/6/2022

ZFGC 2020-002(HMT) 2 $6,000 $6,000 $4,200 3/4/2022

ZFOT 2022-001(HMT) 2 $6,000 $6,000 $6,000 4/12/2022

ZFXI 2021-001(HMT) 1 $2,000 $2,000 $2,000 3/22/2022

ZFXI 2021-002(HMT) 1 $2,000 $2,000 $2,000 3/22/2022

ZFXI 2022-001(HMT) 1 $4,000 $4,000 $4,000 3/22/2022

ZGBL 2021-001(HMT) 1 $5,000 $5,000 $3,600 5/23/2022

ZGCL 2020-002(HMT) 1 $5,000 $5,000 $3,450 5/25/2022

136
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

ZGCL 2020-003(HMT) 1 $5,000 $5,000 $3,450 5/25/2022

ZGCL 2021-001(HMT) 1 $5,000 $5,000 $3,450 5/25/2022

ZGCL 2021-002(HMT) 1 $5,000 $5,000 $3,450 5/25/2022

ZGEO 2020-001(HMT) 1 $5,000 $5,000 $3,250 5/25/2022

ZGEO 2020-002(HMT) 1 $5,000 $5,000 $2,750 5/25/2022

ZGEO 2021-001(HMT) 1 $10,000 $10,000 $7,000 5/25/2022

ZGEU 2020-001(HMT) 1 $5,000 $5,000 $3,500 5/25/2022

ZGEU 2022-001(HMT) 1 $10,000 $10,000 $8,000 5/25/2022

ZGFC 2021-001(HMT) 1 $5,000 $5,000 $5,000 1/19/2022

ZGFL 2021-001(HMT) 1 $5,000 $5,000 $3,750 5/25/2022

ZGFL 2021-002(HMT) 1 $5,000 $5,000 $3,750 5/25/2022

ZGFV 2019-001(HMT) 2 $14,000 $0 $0 5/26/2022 Case 

Terminated

ZGFV 2021-001(HMT) 1 $10,000 $10,000 $10,000 5/26/2022

ZGGP 2016-001(HMT) 1 $10,000 $0 $0 5/2/2022 Case 

Terminated

ZGGP 2016-002(HMT) 1 $5,000 $0 $0 5/2/2022 Case 

Terminated

ZGGP 2016-003(HMT) 2 $7,000 $0 $0 5/2/2022 Case 

Terminated

ZGIL 2020-002(HMT) 1 $5,000 $5,000 $3,750 5/27/2022

ZGIL 2020-003(HMT) 1 $5,000 $5,000 $3,750 5/27/2022

ZGLY 2020-001(HMT) 2 $9,000 $9,000 $6,500 5/19/2022

ZGPE 2021-001(HMT) 1 $5,000 $5,000 $3,500 5/26/2022

ZGPE 2021-002(HMT) 1 $10,000 $10,000 $7,500 5/26/2022

ZGPE 2022-001(HMT) 1 $5,000 $5,000 $4,000 5/26/2022

ZGPJ 2020-001(HMT) 2 $15,000 $15,000 $15,000 1/20/2022

ZGPJ 2021-001(HMT) 1 $5,000 $5,000 $5,000 5/23/2022

ZGPS 2020-001(HMT) 1 $5,000 $5,000 $3,500 5/25/2022

ZGPS 2021-001(HMT) 1 $10,000 $10,000 $7,000 5/25/2022

ZGPS 2021-002(HMT) 1 $5,000 $5,000 $3,500 5/25/2022

137
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

ZGPS 2022-001(HMT) 1 $5,000 $5,000 $3,500 5/25/2022

ZGTR 2020-001(HMT) 1 $10,000 $10,000 $7,750 5/30/2022

ZGTR 2021-001(HMT) 1 $10,000 $10,000 $7,750 5/30/2022

ZHC 2020-001(HMT) 1 $2,000 $2,000 $2,000 7/21/2022

ZHC 2020-002(HMT) 1 $2,000 $2,000 $2,000 7/15/2022

ZHC 2022-001(HMT) 1 $2,000 $2,000 $2,000 7/21/2022

ZHCG 2019-002(HMT) 1 $10,000 $10,000 $10,000 8/5/2022

ZHCG 2020-001(HMT) 1 $2,000 $2,000 $2,000 8/5/2022

ZHDR 2021-001(HMT) 1 $2,000 $2,000 $2,000 8/19/2022

ZHEI 2020-002(HMT) 1 $2,000 $2,000 $2,000 8/12/2022

ZHEI 2020-003(HMT) 1 $5,000 $5,000 $2,500 7/26/2022

ZHEI 2021-001(HMT) 1 $2,000 $2,000 $2,000 8/12/2022

ZHFO 2019-002(HMT) 1 $2,000 $2,000 $1,000 8/8/2022

ZHFP 2019-001(HMT) 1 $6,000 $6,000 $3,000 8/25/2022

ZHMS 2020-001(HMT) 1 $7,500 $7,500 $7,500 8/5/2022

ZHMS 2020-002(HMT) 1 $40,000 $40,000 $40,000 8/5/2022

ZHMS 2020-003(HMT) 1 $2,000 $2,000 $2,000 8/12/2022

ZHPQ 2019-001(HMT) 1 $20,000 $0 $0 7/28/2022 Case 

Terminated

ZHTP 2021-001(HMT) 1 $2,000 $2,000 $2,000 7/15/2022

ZHTZ 2019-001(HMT) 2 $6,000 $6,000 $6,000 7/15/2022

ZHTZ 2021-001(HMT) 2 $7,000 $7,000 $7,000 7/15/2022

ZHTZ 2022-001(HMT) 1 $4,000 $4,000 $4,000 7/15/2022

ZHUE 2019-001(HMT) 1 $5,000 $5,000 $5,000 8/5/2022

ZICP 2022-001(HMT) 1 $2,500 $2,500 $2,500 2/7/2022

ZIEN 2022-001(HMT) 1 $5,000 $5,000 $5,000 3/2/2022

ZIES 2019-002(HMT) 1 $5,000 $5,000 $5,000 11/16/2021

ZIES 2019-003(HMT) 1 $5,000 $5,000 $5,000 11/16/2021

ZIES 2021-003(HMT) 1 $5,000 $5,000 $5,000 12/1/2021

ZIFF 2022-001(HMT) 1 $10,000 $10,000 $5,000 5/12/2022

138
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

ZIMA 2021-002(HMT) 1 $2,000 $2,000 $1,500 10/5/2021

ZIMA 2022-001(HMT) 1 $2,500 $2,500 $1,500 5/20/2022

ZIMO 2022-001(HMT) 2 $10,000 $10,000 $10,000 3/9/2022

ZIMTB 2020-002(HMT) 1 $5,000 $5,000 $5,000 10/7/2021

ZIMTB 2020-003(HMT) 1 $1,000 $1,000 $1,000 11/12/2021

ZIMTB 2021-001(HMT) 1 $5,000 $5,000 $5,000 10/7/2021

ZINTT 2021-002(HMT) 1 $2,000 $2,000 $2,000 10/4/2021

ZINTT 2022-001(HMT) 1 $10,000 $10,000 $6,375 5/13/2022

ZINTT 2022-002(HMT) 1 $10,000 $10,000 $6,375 5/13/2022

ZINTT 2022-003(HMT) 1 $22,000 $22,000 $17,600 4/18/2022

ZIOR 2020-001(HMT) 1 $4,000 $4,000 $4,000 10/15/2021

ZIP 2021-011(HMT) 1 $2,000 $2,000 $1,500 10/13/2021

ZIP 2021-012(HMT) 1 $2,000 $2,000 $1,500 10/21/2021

ZIPA 2021-002(HMT) 2 $6,000 $6,000 $4,500 10/5/2021

ZIPI 2022-001(HMT) 1 $10,000 $10,000 $10,000 4/7/2022

ZIPI 2022-002(HMT) 1 $5,000 $5,000 $5,000 6/22/2022

ZISY 2022-001(HMT) 1 $10,000 $10,000 $10,000 9/15/2022

ZITF 2021-001(HMT) 1 $2,000 $2,000 $2,000 11/3/2021

ZITT 2021-004(HMT) 1 $5,000 $5,000 $3,500 2/10/2022

ZITT 2021-005(HMT) 1 $10,000 $10,000 $7,000 2/10/2022

ZITT 2021-006(HMT) 1 $5,000 $5,000 $3,500 2/10/2022

ZITT 2021-007(HMT) 1 $10,000 $10,000 $7,000 2/10/2022

ZIVS 2021-002(HMT) 1 $2,000 $2,000 $2,000 10/25/2021

ZIVX 2022-001(HMT) 1 $5,000 $5,000 $5,000 3/17/2022

ZJBH 2020-001(HMT) 1 $4,000 $4,000 $2,800 3/29/2022

ZJBH 2020-002(HMT) 1 $4,000 $4,000 $2,800 3/29/2022

ZJBH 2020-003(HMT) 1 $3,000 $3,000 $2,100 3/29/2022

ZJBH 2021-001(HMT) 1 $5,000 $5,000 $3,500 3/29/2022

ZKAT 2020-001(HMT) 1 $10,000 $10,000 $7,500 5/17/2022

139
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

ZKFC 2022-001(HMT) 1 $5,000 $5,000 $5,000 2/8/2022

ZKMB 2021-001(HMT) 1 $7,500 $7,500 $5,000 1/24/2022

ZKMB 2021-004(HMT) 1 $2,000 $2,000 $1,400 1/24/2022

ZKMB 2022-001(HMT) 1 $5,000 $5,000 $3,500 2/22/2022

ZKME 2021-001(HMT) 1 $10,000 $10,000 $7,000 2/22/2022

ZKMQ 2020-002(HMT) 1 $10,000 $10,000 $8,000 3/1/2022

ZKMTC 2020-001

(HMT)

1 $2,000 $2,000 $1,500 2/2/2022

ZKOI 2021-001(HMT) 1 $5,000 $5,000 $3,750 1/26/2022

ZKPI 2022-001(HMT) 1 $10,000 $10,000 $10,000 6/1/2022

ZKRA 2021-001(HMT) 1 $2,000 $2,000 $1,500 2/22/2022

ZKRA 2021-002(HMT) 1 $5,000 $5,000 $4,000 2/22/2022

ZKRA 2021-003(HMT) 1 $5,000 $5,000 $4,000 2/22/2022

ZKRA 2021-004(HMT) 1 $2,000 $2,000 $1,500 2/22/2022

ZKRA 2021-005(HMT) 2 $15,000 $15,000 $11,250 2/22/2022

ZKRA 2021-006(HMT) 1 $7,500 $7,500 $5,600 2/22/2022

ZKTS 2020-001(HMT) 1 $2,000 $2,000 $2,000 1/28/2022

ZKTS 2021-001(HMT) 1 $2,000 $2,000 $2,000 6/1/2022

ZKWS 2021-001(HMT) 2 $8,000 $8,000 $8,000 10/26/2021

ZKWX 2020-001(HMT) 1 $7,500 $7,500 $7,500 1/25/2022

ZLON 2021-001(HMT) 1 $2,000 $2,000 $2,000 2/27/2022

ZLUB 2022-001(HMT) 1 $5,000 $5,000 $5,000 8/5/2022

ZMAH 2021-001(HMT) 2 $9,500 $9,500 $9,500 4/18/2022

ZMAIT 2020-001(HMT) 3 $13,000 $13,000 $9,490 3/15/2022

ZMAS 2020-001(HMT) 1 $4,000 $4,000 $4,000 3/17/2022

ZMAX 2020-001(HMT) 1 $5,000 $5,000 $5,000 3/17/2022

ZMAX 2021-001(HMT) 1 $5,000 $5,000 $5,000 4/12/2022

ZMED 2021-001(HMT) 1 $5,000 $5,000 $4,000 9/30/2022

ZMED 2021-002(HMT) 3 $15,000 $15,000 $12,300 9/30/2022

ZMED 2022-001(HMT) 1 $4,000 $4,000 $3,200 9/30/2022

140
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

ZMEI 2020-001(HMT) 1 $10,000 $10,000 $7,000 4/20/2022

ZMEI 2021-001(HMT) 1 $5,000 $5,000 $3,500 4/22/2022

ZMEI 2021-002(HMT) 1 $5,000 $5,000 $3,500 4/20/2022

ZMEI 2021-003(HMT) 1 $7,500 $7,500 $5,250 4/20/2022

ZMEZ 2020-001(HMT) 1 $5,000 $5,000 $3,750 3/28/2022

ZMFQ 2020-001(HMT) 1 $2,000 $2,000 $1,800 10/18/2021

ZMFQ 2020-002(HMT) 1 $2,000 $2,000 $1,800 10/18/2021

ZMFQ 2020-003(HMT) 1 $6,000 $6,000 $5,400 10/18/2021

ZMFQ 2020-004(HMT) 1 $40,000 $40,000 $36,000 10/18/2021

ZMFQ 2020-005(HMT) 1 $50,000 $50,000 $45,000 10/18/2021

ZMFQ 2020-006(HMT) 1 $45,000 $45,000 $40,500 10/18/2021

ZMFQ 2020-007(HMT) 1 $2,000 $2,000 $1,800 10/18/2021

ZMFQ 2021-001(HMT) 1 $4,000 $4,000 $3,600 10/18/2021

ZMFQ 2021-002(HMT) 1 $6,000 $6,000 $4,500 5/11/2022

ZMFQ 2021-003(HMT) 1 $1,000 $1,000 $926 5/11/2022

ZMFQ 2022-001(HMT) 1 $1,000 $1,000 $926 5/11/2022

ZMFQ 2022-002(HMT) 1 $10,000 $10,000 $7,400 7/11/2022

ZMGG 2022-001(HMT) 2 $11,500 $11,500 $11,500 5/26/2022

ZMGP 2020-001(HMT) 1 $5,000 $5,000 $3,750 3/24/2022

ZMGP 2020-002(HMT) 1 $10,000 $10,000 $7,500 3/24/2022

ZMGP 2020-003(HMT) 1 $5,000 $5,000 $3,750 3/24/2022

ZMGP 2020-004(HMT) 1 $5,000 $5,000 $3,750 3/24/2022

ZMGP 2021-001(HMT) 1 $5,000 $5,000 $3,750 3/24/2022

ZMGP 2021-002(HMT) 1 $5,000 $5,000 $3,750 3/24/2022

ZMGP 2021-003(HMT) 1 $5,000 $5,000 $3,750 3/24/2022

ZMGP 2021-004(HMT) 1 $5,000 $5,000 $3,750 3/24/2022

ZMHO 2020-001(HMT) 1 $10,000 $10,000 $10,000 2/18/2022

ZMHO 2021-001(HMT) 1 $5,000 $5,000 $5,000 4/15/2022

ZMHO 2021-002(HMT) 1 $5,000 $5,000 $5,000 4/15/2022

141
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

ZMHX 2021-001(HMT) 1 $2,000 $2,000 $2,000 4/15/2022

ZMIP 2020-001(HMT) 1 $7,500 $7,500 $7,500 3/4/2022

ZMIP 2021-001(HMT) 2 $16,000 $16,000 $16,000 5/16/2022

ZMKY 2020-001(HMT) 1 $10,000 $10,000 $10,000 1/26/2022

ZMLB 2020-001(HMT) 1 $5,000 $5,000 $3,250 3/29/2022

ZMLP 2020-001(HMT) 2 $6,000 $6,000 $6,000 3/14/2022

ZMMM 2020-001(HMT) 1 $2,000 $2,000 $1,400 4/22/2022

ZMMM 2020-002(HMT) 1 $2,000 $2,000 $1,400 4/22/2022

ZMNP 2020-005(HMT) 1 $5,000 $5,000 $3,700 5/27/2022

ZMNP 2020-006(HMT) 1 $2,000 $2,000 $1,480 5/27/2022

ZMNP 2021-001(HMT) 1 $2,500 $2,500 $1,850 5/27/2022

ZMNP 2021-002(HMT) 1 $4,000 $4,000 $2,960 5/27/2022

ZMNP 2021-003(HMT) 1 $5,000 $5,000 $3,500 5/27/2022

ZMNP 2021-004(HMT) 1 $20,000 $20,000 $14,000 5/27/2022

ZMNP 2021-005(HMT) 1 $5,000 $5,000 $3,700 5/27/2022

ZMNP 2021-006(HMT) 1 $4,000 $4,000 $2,960 5/27/2022

ZMNP 2021-007(HMT) 1 $10,000 $10,000 $7,900 5/27/2022

ZMNP 2022-001(HMT) 1 $2,000 $2,000 $1,480 5/27/2022

ZMNT 2020-001(HMT) 1 $10,000 $10,000 $7,400 5/26/2022

ZMNZ 2021-002(HMT) 3 $11,000 $11,000 $11,000 9/21/2022

ZMNZ 2022-001(HMT) 1 $2,000 $2,000 $2,000 9/21/2022

ZMNZ 2022-002(HMT) 1 $10,000 $10,000 $10,000 8/18/2022

ZMPM 2022-001(HMT) 1 $2,000 $2,000 $2,000 4/11/2022

ZMQE 2022-001(HMT) 1 $5,000 $5,000 $5,000 5/18/2022

ZMQE 2022-002(HMT) 1 $5,000 $5,000 $5,000 5/24/2022

ZMRC 2017-001(HMT) 1 $10,000 $10,000 $3,000 3/29/2022

ZMROC 2022-001

(HMT)

1 $2,000 $2,000 $2,000 5/16/2022

ZMSW 2020-001(HMT) 1 $2,000 $2,000 $1,600 4/6/2022

ZMTE 2020-001(HMT) 1 $10,000 $10,000 $10,000 2/7/2022

142
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

ZMTE 2021-001(HMT) 1 $5,000 $5,000 $3,800 11/18/2021

ZMTE 2022-001(HMT) 1 $24,000 $24,000 $24,000 5/26/2022

ZMTE 2022-002(HMT) 1 $5,000 $5,000 $3,750 8/16/2022

ZMTT 2020-001(HMT) 2 $25,000 $25,000 $19,750 3/2/2022

ZMTZ 2022-001(HMT) 1 $10,000 $10,000 $7,000 8/17/2022

ZMUN 2020-001(HMT) 1 $5,000 $5,000 $5,000 4/13/2022

ZMUN 2020-002(HMT) 2 $15,000 $15,000 $11,000 4/19/2022

ZMUSK 2021-001

(HMT)

2 $3,000 $3,000 $3,000 5/4/2022

ZMUSK 2022-001

(HMT)

1 $2,000 $2,000 $2,000 5/4/2022

ZMUSK 2022-002

(HMT)

1 $5,000 $5,000 $5,000 8/23/2022

ZMXC 2020-001(HMT) 1 $5,000 $5,000 $4,200 5/11/2022

ZMXF 2019-001(HMT) 1 $5,000 $5,000 $5,000 3/1/2022

ZMXF 2020-001(HMT) 1 $1,000 $1,000 $1,000 3/1/2022

ZMXF 2021-001(HMT) 1 $5,000 $5,000 $3,500 5/19/2022

ZMXM 2022-001(HMT) 1 $2,000 $2,000 $1,400 5/17/2022

ZNA 2021-001(HMT) 1 $2,000 $2,000 $1,000 3/14/2022

ZNAO 2019-001(HMT) 1 $5,000 $5,000 $5,000 11/18/2021

ZNBX 2020-001(HMT) 1 $4,000 $4,000 $2,000 11/19/2021

ZNBX 2021-001(HMT) 1 $2,000 $2,000 $2,000 11/19/2021

ZNCN 2021-001(HMT) 1 $10,000 $10,000 $10,000 1/21/2022

ZNCS 2021-001(HMT) 1 $5,000 $5,000 $5,000 10/14/2021

ZNGE 2020-001(HMT) 1 $15,000 $15,000 $15,000 10/29/2021

ZNGE 2021-001(HMT) 1 $10,000 $10,000 $10,000 4/28/2022

ZNGE 2021-002(HMT) 1 $5,000 $5,000 $5,000 4/28/2022

ZNIC 2021-001(HMT) 1 $5,000 $5,000 $5,000 10/29/2021

ZNTN 2020-001(HMT) 1 $5,000 $0 $0 11/18/2021 Case 

Terminated

ZNTN 2020-002(HMT) 1 $10,000 $10,000 $8,000 11/19/2021

143
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

ZNTN 2020-003(HMT) 1 $16,000 $16,000 $10,400 11/19/2021

ZNTN 2021-001(HMT) 1 $10,000 $10,000 $8,000 11/19/2021

ZNTN 2021-002(HMT) 2 $6,000 $0 $0 11/29/2021 Case 

Terminated

ZNTN 2021-004(HMT) 1 $2,000 $2,000 $1,300 11/19/2021

ZNUS 2021-001(HMT) 1 $32,000 $0 $0 12/6/2021 Case 

Terminated

ZNYN 2020-001(HMT) 1 $5,000 $5,000 $3,000 4/8/2022

ZNYN 2020-002(HMT) 1 $5,000 $5,000 $3,000 4/12/2022

ZNYN 2020-003(HMT) 1 $5,000 $5,000 $3,000 4/12/2022

ZNYN 2021-001(HMT) 1 $10,000 $10,000 $8,000 4/14/2022

ZNYN 2021-002(HMT) 1 $2,000 $2,000 $1,200 4/14/2022

ZNYN 2021-004(HMT) 1 $10,000 $10,000 $8,000 4/12/2022

ZOCC 2017-005(HMT) 1 $5,000 $5,000 $2,750 8/3/2022

ZOCC 2018-003(HMT) 1 $10,000 $10,000 $7,000 8/3/2022

ZOCC 2018-004(HMT) 1 $5,000 $5,000 $3,500 8/3/2022

ZODY 2021-001(HMT) 1 $4,000 $4,000 $4,000 8/5/2022

ZODY 2022-001(HMT) 2 $6,000 $6,000 $6,000 8/5/2022

ZOEE 2021-001(HMT) 1 $4,000 $4,000 $4,000 9/9/2022

ZOEE 2021-002(HMT) 1 $10,000 $10,000 $10,000 9/9/2022

ZOEE 2022-001(HMT) 1 $5,000 $5,000 $5,000 9/9/2022

ZOIL 2018-001(HMT) 1 $5,000 $5,000 $2,500 9/28/2022

ZOIL 2019-001(HMT) 1 $2,500 $2,500 $1,250 9/28/2022

ZOIL 2020-001(HMT) 1 $10,000 $10,000 $7,700 9/28/2022

ZOIL 2020-002(HMT) 1 $5,000 $5,000 $3,300 9/28/2022

ZOIL 2020-003(HMT) 1 $5,000 $5,000 $3,350 9/28/2022

ZOIL 2022-001(HMT) 1 $5,000 $5,000 $4,100 9/28/2022

ZOLI 2019-012(HMT) 1 $25,000 $25,000 $19,800 8/15/2022

ZOLI 2019-013(HMT) 1 $25,000 $25,000 $19,800 8/15/2022

ZOLI 2020-004(HMT) 1 $10,000 $10,000 $10,000 8/11/2022

144
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

ZOLI 2020-005(HMT) 1 $2,000 $2,000 $2,000 8/11/2022

ZOLI 2020-007(HMT) 1 $5,000 $5,000 $5,000 8/11/2022

ZOLI 2021-001(HMT) 1 $5,000 $5,000 $5,000 8/11/2022

ZOLI 2021-002(HMT) 1 $5,000 $5,000 $5,000 8/11/2022

ZOLI 2021-003(HMT) 1 $5,000 $5,000 $5,000 8/11/2022

ZOLI 2021-004(HMT) 1 $5,000 $5,000 $5,000 8/11/2022

ZOLI 2021-005(HMT) 1 $5,000 $5,000 $5,000 8/11/2022

ZOLI 2021-006(HMT) 1 $5,000 $5,000 $5,000 8/11/2022

ZOLI 2022-001(HMT) 1 $5,000 $5,000 $5,000 8/11/2022

ZOLI 2022-002(HMT) 1 $5,000 $5,000 $5,000 8/11/2022

ZOLI 2022-004(HMT) 1 $5,000 $5,000 $5,000 8/19/2022

ZOLI 2022-005(HMT) 1 $5,000 $5,000 $5,000 8/24/2022

ZOTT 2021-001(HMT) 1 $5,000 $5,000 $3,500 7/15/2022

ZOTT 2021-002(HMT) 1 $5,000 $5,000 $3,500 7/15/2022

ZOTT 2021-003(HMT) 1 $5,000 $5,000 $3,500 7/15/2022

ZOTT 2022-001(HMT) 1 $5,000 $5,000 $4,000 7/15/2022

ZOUS 2021-001(HMT) 1 $2,000 $2,000 $2,000 8/22/2022

ZOXV 2018-001(HMT) 1 $2,500 $2,500 $1,625 9/1/2022

ZOXV 2018-002(HMT) 1 $10,000 $10,000 $7,700 9/1/2022

ZOXV 2018-003(HMT) 1 $5,000 $5,000 $3,400 9/1/2022

ZOXV 2019-001(HMT) 1 $10,000 $10,000 $8,100 9/1/2022

ZOXV 2019-002(HMT) 1 $5,000 $5,000 $3,450 9/1/2022

ZOXV 2021-002(TS) 1 $1,000 $1,000 $1,000 10/29/2021

ZPBN 2021-001(HMT) 1 $5,000 $5,000 $3,700 5/12/2022

ZPBX 2022-001(HMT) 1 $5,000 $5,000 $3,800 8/25/2022

ZPCU 2020-001(HMT) 1 $5,000 $5,000 $5,000 8/11/2022

ZPCU 2021-002(HMT) 3 $9,000 $9,000 $9,000 9/1/2022

ZPGQ 2021-001(HMT) 1 $5,000 $5,000 $5,000 1/20/2022

ZPIL 2021-001(HMT) 1 $5,000 $5,000 $5,000 9/1/2022

145
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

ZPKG 2020-001(HMT) 1 $5,000 $5,000 $5,000 7/26/2022

ZPKG 2021-001(HMT) 1 $2,000 $2,000 $2,000 8/5/2022

ZPLD 2020-002(HMT) 1 $2,000 $2,000 $2,000 7/14/2022

ZPLD 2020-003(HMT) 1 $10,000 $10,000 $10,000 7/14/2022

ZPNA 2020-001(HMT) 1 $5,000 $5,000 $5,000 9/1/2022

ZQCR 2021-001(HMT) 1 $2,000 $2,000 $1,400 12/29/2021

ZQUC 2020-001(HMT) 1 $5,000 $5,000 $3,300 1/20/2022

ZRCH 2021-001(HMT) 1 $4,000 $4,000 $4,000 7/11/2022

ZREBO 2021-001(HMT) 1 $2,000 $2,000 $2,000 7/6/2022

ZRHI 2021-001(HMT) 1 $5,000 $5,000 $4,000 12/2/2021

ZRIO 2022-001(HMT) 1 $8,750 $8,750 $7,500 3/3/2022

ZRLT 2021-001(HMT) 1 $5,000 $5,000 $5,000 9/23/2022

ZRLT 2021-002(HMT) 1 $2,500 $2,500 $2,500 9/23/2022

ZRNW 2021-001(HMT) 2 $4,000 $4,000 $2,000 9/21/2022

ZRNW 2022-001(HMT) 2 $4,000 $4,000 $2,000 9/21/2022

ZRPF 2022-001(HMT) 1 $4,000 $4,000 $2,750 4/21/2022

ZRPM 2022-001(HMT) 1 $5,000 $5,000 $5,000 3/30/2022

ZRPM 2022-002(HMT) 1 $5,000 $5,000 $5,000 5/3/2022

ZRRQ 2022-001(SA) 1 $2,500 $2,500 $1,750 2/23/2022

ZRRQ 2022-002(SA) 1 $2,500 $2,500 $1,750 2/23/2022

ZRSNL 2021-001(HMT) 1 $10,000 $10,000 $7,750 11/10/2021

ZSAV 2021-002(HMT) 2 $4,000 $0 $0 4/6/2022 Case 

Terminated

ZSFU 2021-001(HMT) 1 $2,000 $2,000 $2,000 11/5/2021

ZSGG 2019-001(HMT) 1 $4,000 $4,000 $3,000 3/29/2022

ZSHEL 2022-001(HMT) 1 $7,500 $7,500 $7,500 5/2/2022

ZSHL 2021-001(HMT) 2 $10,000 $10,000 $10,000 8/9/2022

ZSHL 2022-001(HMT) 1 $4,000 $4,000 $4,000 6/13/2022

ZSIN 2016-001(HMT) 1 $5,000 $5,000 $2,500 4/22/2022

ZSIN 2019-001(HMT) 1 $6,000 $6,000 $3,600 4/22/2022

146
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

ZSNA 2020-002(HMT) 1 $7,500 $7,500 $6,375 5/27/2022

ZSNA 2021-001(HMT) 1 $15,000 $15,000 $10,800 5/27/2022

ZSNA 2021-002(HMT) 1 $7,500 $7,500 $5,400 5/27/2022

ZSOC 2022-001(HMT) 1 $2,000 $2,000 $2,000 8/16/2022

ZSOLI 2022-002(HMT) 1 $2,000 $2,000 $1,400 8/26/2022

ZSSCO 2020-001(HMT) 1 $10,000 $10,000 $7,000 5/13/2022

ZSSCO 2020-002(HMT) 1 $10,000 $10,000 $7,000 5/13/2022

ZSSCO 2020-003(HMT) 1 $5,000 $5,000 $3,250 5/13/2022

ZSSCO 2020-004(HMT) 1 $5,000 $5,000 $3,500 5/13/2022

ZSSCO 2020-005(HMT) 1 $2,000 $2,000 $1,400 5/13/2022

ZSSCO 2020-006(HMT) 1 $5,000 $5,000 $3,500 5/13/2022

ZSSCO 2020-007(HMT) 1 $10,000 $10,000 $7,500 5/13/2022

ZSSCO 2021-001(HMT) 1 $5,000 $5,000 $3,250 5/13/2022

ZSSCO 2021-002(HMT) 1 $10,000 $5,000 $3,500 5/13/2022 Terminated 

Violations: 

1

ZSTQ 2020-002(HMT) 1 $5,000 $5,000 $5,000 2/8/2022

ZSTQ 2021-003(HMT) 1 $5,000 $5,000 $5,000 2/18/2022

ZSTQ 2021-004(HMT) 1 $10,000 $10,000 $10,000 2/18/2022

ZSTQ 2021-005(HMT) 1 $2,000 $2,000 $2,000 4/25/2022

ZSTQ 2022-001(HMT) 1 $10,000 $10,000 $10,000 2/18/2022

ZSTQ 2022-006(HMT) 1 $5,000 $5,000 $5,000 8/11/2022

ZSWR 2017-001(HMT) 1 $5,000 $5,000 $2,500 4/22/2022

ZSWR 2019-003(HMT) 1 $6,000 $6,000 $3,600 4/22/2022

ZSWR 2019-004(HMT) 1 $10,000 $10,000 $6,000 4/22/2022

ZSWR 2019-005(HMT) 1 $5,000 $5,000 $3,000 4/22/2022

ZTCML 2021-001

(HMT)

1 $15,000 $15,000 $15,000 3/8/2022

ZTCML 2022-001

(HMT)

1 $2,500 $2,500 $2,500 6/1/2022

ZTEG 2021-001(HMT) 1 $2,000 $2,000 $2,000 10/5/2021

147
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

ZTEI 2021-001(HMT) 1 $2,000 $2,000 $1,200 10/27/2021

ZTFF 2021-002(HMT) 1 $2,500 $2,500 $1,600 2/8/2022

ZTFF 2021-003(HMT) 2 $10,000 $10,000 $6,500 2/8/2022

ZTFF 2021-004(HMT) 1 $4,000 $4,000 $3,250 2/8/2022

ZTFF 2021-005(HMT) 1 $8,000 $8,000 $6,000 5/20/2022

ZTKA 2022-001(HMT) 1 $2,000 $2,000 $2,000 5/18/2022

ZTME 2021-001(HMT) 1 $10,000 $10,000 $10,000 2/25/2022

ZTRSP 2021-001(HMT) 1 $5,000 $5,000 $3,500 10/29/2021

ZTRSP 2021-002(HMT) 1 $5,000 $5,000 $3,500 10/29/2021

ZTRSP 2021-003(HMT) 1 $5,000 $5,000 $3,500 10/29/2021

ZTSE 2022-001(HMT) 1 $2,000 $2,000 $2,000 8/12/2022

ZTSS 2022-001(HMT) 1 $1,000 $1,000 $1,000 6/1/2022

ZTSS 2022-002(HMT) 1 $5,000 $5,000 $3,500 8/16/2022

ZTXM 2021-001(HMT) 1 $5,000 $5,000 $3,000 1/27/2022

ZTXM 2022-001(HMT) 1 $5,000 $5,000 $4,000 3/4/2022

ZTXM 2022-002(HMT) 1 $5,000 $5,000 $3,500 5/18/2022

ZUCL 2021-002(HMT) 1 $2,000 $2,000 $1,600 1/13/2022

ZUEC 2021-001(HMT) 1 $5,000 $5,000 $3,600 4/21/2022

ZUNIV 2021-003(HMT) 2 $4,000 $4,000 $3,100 10/19/2021

ZUNIV 2022-001(HMT) 2 $7,000 $7,000 $5,320 7/26/2022

ZUNIV 2022-002(HMT) 1 $2,000 $2,000 $1,520 9/27/2022

ZUPS 2021-002(HMT) 1 $5,000 $5,000 $5,000 10/18/2021

ZUSA 2020-001(HMT) 1 $2,000 $2,000 $2,000 3/31/2022

ZUSA 2022-001(HMT) 1 $5,000 $5,000 $5,000 9/27/2022

ZUSN 2022-001(HMT) 1 $5,000 $5,000 $5,000 9/13/2022

ZUSO 2022-001(HMT) 1 $5,000 $0 $0 4/5/2022 Case 

Terminated

ZUSOR 2022-001(HMT) 1 $5,000 $5,000 $5,000 5/4/2022

ZUTC 2021-002(HMT) 1 $10,000 $10,000 $10,000 10/6/2021

ZUTC 2021-003(HMT) 1 $10,000 $10,000 $10,000 3/22/2022

148
FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

ZUTC 2021-004(SA) 1 $2,500 $2,500 $2,500 12/10/2021

ZUTC 2021-005(HMT) 1 $2,000 $2,000 $2,000 2/15/2022

ZVCP 2021-001(HMT) 1 $15,000 $15,000 $9,000 11/15/2021

ZVLA 2021-001(HMT) 1 $5,000 $5,000 $5,000 2/11/2022

ZWAO 2021-001(HMT) 1 $20,000 $20,000 $11,500 9/29/2022

ZWBZ 2021-001(HMT) 1 $2,000 $2,000 $2,000 1/31/2022

ZWHT 2021-001(HMT) 1 $10,000 $10,000 $10,000 12/9/2021

ZWLC 2021-001(HMT) 2 $7,000 $7,000 $5,900 6/6/2022

ZWLC 2022-001(HMT) 1 $5,000 $5,000 $4,250 6/6/2022

ZWLC 2022-002(HMT) 1 $5,000 $5,000 $4,400 6/28/2022

ZWLC 2022-003(HMT) 1 $15,000 $15,000 $13,500 9/15/2022

ZWLC 2022-004(HMT) 1 $5,000 $5,000 $4,000 9/15/2022

ZWLT 2020-001(HMT) 1 $2,000 $2,000 $2,000 10/11/2021

ZWOC 2021-001(HMT) 1 $2,000 $2,000 $2,000 10/29/2021

ZWOC 2021-002(HMT) 1 $2,000 $2,000 $2,000 10/29/2021

ZWRK 2022-001(HMT) 1 $5,000 $5,000 $3,750 4/12/2022

ZWRK 2022-002(HMT) 1 $2,000 $2,000 $1,100 8/9/2022

ZWRV 2022-001(HMT) 1 $2,000 $2,000 $2,000 5/18/2022

ZWRV 2022-002(HMT) 1 $4,000 $4,000 $4,000 9/9/2022

ZWTN 2022-001(HMT) 1 $5,000 $5,000 $4,000 9/29/2022

ZWTN 2022-002(HMT) 1 $5,000 $5,000 $4,000 9/29/2022

ZXCL 2021-001(HMT) 1 $2,000 $0 $0 10/25/2021 Case 

Terminated

ZXCO 2022-001(HMT) 1 $5,000 $5,000 $5,000 8/9/2022

ZXMC 2021-001(HMT) 1 $10,000 $10,000 $7,000 5/31/2022

ZXMC 2022-001(HMT) 2 $20,000 $20,000 $10,000 5/31/2022

ZXMC 2022-002(HMT) 1 $2,000 $2,000 $1,400 7/27/2022

ZYET 2022-001(HMT) 1 $10,000 $10,000 $10,000 6/7/2022

ZZAC 2021-002(HMT) 2 $15,000 $15,000 $9,000 11/1/2021

ZZAL 2021-001(HMT) 1 $6,000 $6,000 $4,200 10/7/2021

149
Total: 4,353 $19,816,042 $18,875,087 $14,152,533

FRA Number

No. 

Violations POCA PRCA

Settlement 

Amount

Settlement 

Date Comments

ZZAR 2020-002(HMT) 2 $17,500 $17,500 $13,825 11/3/2021

ZZWM 2022-001(HMT) 1 $7,500 $7,500 $7,500 2/25/2022

150
Codes Respondent Names

3MCZ 3m Company

ABCX ABC Railway Inc.

AGR Alabama & Gulf Coast Railway Llc.

AKDN Acadiana Railway Company

ALE Alabama Export Railroad

ALS The Alton And Southern Railway Company

AM Arkansas And Missouri Railroad Company

AR Aberdeen And Rockfish Railroad Company

ATK National Railroad Passenger Corporation

ATLQ ATLAS ROOFING CORPORATION

ATLR Atlantic Railways

ATN Alabama & Tennessee River Railway Llc

AWRR Austin Western Railroad

AZCR Arizona Central Railroad, Incorporated

AZER Arizona Eastern Railway

BB Buckingham Branch Railroad Company

BDRV Belvidere & Delaware River Railway

BDW Bighorn Divide & Wyoming Railroad Inc.

BHTQ Baker Petrolite LLC

BIP Belpre Industrial Parkersburg Railroad

BJRY Burlington Junction Railway

BLU Blue Ridge Southern Railroad, LLC

BM Boston And Maine Corporation

BNSF BNSF Railway Company

BNSO Bnsf Suburban Operations

BOCH Border Chemical Company

BPRR Buffalo & Pittsburgh Railroad, Inc.

BRC The Belt Railway Company Of Chicago

BRPZ British Petroleum Chemical

CA Chesapeake & Albemarle Railroad Company, Inc.

CAGY Columbus & Greenville Railway

CAMD Camden & Southern Railroad

CBR Coos Bay Rail Line

CBRW Columbia Basin Railroad Company, Inc.

CCET Cincinnati East Terminal Rwy

151
CCT Central California Traction Company

CERA Central Railroad Company Of Indianapolis

CFE Chicago, Ft. Wayne & Eastern

CFI CF Industries Sales, LLC

CFNR California Northern Railroad Co.

CFRC Central Florida Rail Corridor

CKIN Chesapeake And Indiana Railroad Co. Inc.

CN Canadian National Railway Company

CORP Central Oregon & Pacific Railroad, Inc.

CP Canadian Pacific Railway

CRL Chicago Rail Link

CRSM Consolidated Rail Corporation

CSCD Cascade And Columbia River Railroad Co.

CSX CSX Transportation Inc.

CUOH The Columbus & Ohio River RailRoad Co.

CW Colorado & Wyoming Railway Company

DCR Delmarva Central Railroad

DCTA Denton County Transportation Authority

DENZ DPC Enterprises, L.P.

DRIR Denver Rock Island Railroad

EARY Eastern Alabama Railway, Llc

ELWX Elkhart & Western Railroad Co., Llc

EMRY Eastern Maine Railway

ERSZ E.R. Snell Contractor Inc.

FCR Fulton County Railway, Llc.

FEC Florida East Coast Railway

FGA Florida Gulf & Atlantic Railroad Llc

FSR Fort Smith Railroad Company

GC Georgia Central Railway

GFRR Georgia And Florida Railway, Llc.

GLCT Global Container Terminals

GNWR Genesee And Wyoming Railroad Company

GRNW Great Northwest Railroad, LLC

GRYY Grenada Railway Llc

GS Georgia Southern Railway Company

GSWY Gitm Savannah Wharf Yard

GWR Great Western Railway Of Colorado, LLC

152
HAR Har Cros Chemicals Inc

HRT Hartwell Railroad Company

IHB Indiana Harbor Belt Railroad Company

IHTR Iron Horse Terminals

IMRR Illinois & Midland Railroad, Inc.

IN Indiana Northeastern Railroad Company

INPR Idaho Northern And Pacific Railroad

INTD INTERDOM INC.

IORY Indiana & Ohio Railway Company

IR Illinois Railway, LLC

KCS The Kansas City Southern Railway Company

KJRY Keokuk Junction Railway Company

KNWA Kanawha River Railroad

KRR Kiamichi Railroad Co., Llc.

KRSV Keolis Rail Services Virginia, LLC

KYLE KYLE Railroad Co.

LECQ Lehigh Cement

LI Long Island Railroad

LRY LRY Llc

LS Longview Switching Company

MACZ Maryland Transit Administration

MALI Malincrodt Chemical Company

MBTA Massachusetts Bay Transportation Authority

MDDE Maryland And Delaware Railroad Company

MDS Meridian Southern Railway

MEC Maine Central Railroad Company

MMRR Mid-Michigan Railroad, Inc.

MNA Missouri & Northern Arkansas Railroad Co., Inc.

MNCW Metro-North Commuter Railroad Company

MNN Minnesota Northern Railway

MNR Maine Northern Railway Company

MRL Montana Rail Link

NBER Nittany And Bald Eagle

NCIQ Nova Chemicals, Inc.

NCIR New Castle Industrial Railroad

NCTC North County Transit Coaster

NDW Napoleon, Defiance & Western Railway

153
NERR Nashville & Eastern Railroad

NKCR Nebraska, Kansas & Colorado Railway, LLC

NMQQ Nutrimentos Minerales Sa De Sv

NOPB New Orleans Public Belt Railroad Commission for the Port of New 

Orleans

NSR Newburgh & South Shore Railroad

NYSW The New York Susquehanna And Western Railway Corp.

OERR Oregon Eastern Railroad

OPR Oregon Pacific Railroad

PAS Pan Am Southern Llc.

PCC Palouse River & Coulee City Railroad, LLC

PCN Point Comfort & Northern Railway Co.

PNR Panhandle Northern

PNWR Portland And Western Railroad Inc.

PSAP Puget Sound & Pacific Railroad

PTO Portland Terminal Railroad Company

PW Providence And Worcester Rr Company

RCPE Rapid City, Pierre & Eastern Railroad, Inc.

RJCC R. J. Corman Railroad Company/Central Kentucky Lines

SBG Savage Bingham & Garfield Railroad Company

SCAX Southern California Regional Rail Authority

SJVR San Joaquin Valley Railroad Co.

SKOL South Kansas And Oklahoma Railroad Company

SMRT Sonoma Marin Area Rail Transit 

SNY SMS Rail Lines

SOU Norfolk Southern Railway Company

ST Springfield Terminal Railway Company

STE Stockton Terminal And Eastern Railroad

SUOC Superior Oil Company, Inc.

TCWR Twin Cities & Western Railroad Company

TMBL Tacoma Municipal Belt Line Railway

TPW Toledo, Peoria And Western Railway Corp.

TRRA Terminal Railroad Association of St. Louis

TTXJ TTX Company

TXPF Texas Pacifico Transportation, Ltd.

UMP Upper Merion & Plymouth Railroad Company

UP Union Pacific Railroad Company

154
VCY Ventura County Railroad Company

VSOR Vicksburg Southern Railroad

WATX Watco Switching

WCLQ WALSH CONSTRUCTION COMPANY II, LLC

WE Wheeling & Lake Erie Railway Company

WGNS Wisconsin Great Northern Railroad, Inc.

WGSH Wabtec Global Services Houston

WINV Wisconsin Northern Railroad

WIR Washington and Idaho Railway, Inc.

WMSR Western Maryland Scenic Railroad

WSS Winston-Salem Southbound Railway

WTRY Wilmington Terminal Railroad Inc.

WZIR WESTERN ZIRCONIUM

XADI American Demolition Inc.

XAIT American Industrial Transport, Inc

XAPQ Appalachian Railcar Services

XAPZ Apache Railway Company

XBCP BP Cherry Point Refinery

XBLW Blackwater Terminal Harvey

XBML Bottom Line Company

XBRR Brown And Root

XBUZ Buzzi Unicem

XBWP Boise White Paper

XCAI Cargill, Inc.

XCDL CDL Electric Company

XCHS CHS, Inc.

XCHW Clean Harbors Wichita, LLC

XCIH Chemsolv Inc.

XCPT Center Point Terminal Company

XCSE C&S Rail Services

XEEL Estes Express Lines

XELI Elite Comfort Solutions

XFEF Fedex Freight, Inc.

XGEO Georgia Pacific, Llc.

XHJV HWR , A JOINT VENTURE

XKHM Koch Methanol, LLC

XLSS Lone Star Specialties Llc

155
XMAZ Bombardier Transportation Marc O+M

XMHC Musselman & Hall Contractors LLC.

XMKW Markwest Hydrocarbon, L.L.C.

XMNE MORAN ENVIRONMENTAL RECOVERY, LLC

XMPI Mapei Corporation

XMPM Momentive Performance Materials, Inc.

XMWY Maintenance Of Way Construction Services

XNAZ NAZDAR COMPANY

XNRL National Railroad Safety Services, Inc.

XONE Ocean Network Express 

XRLC Railroad Consultants

XROA Rrr Tank Properties, Llc

XRPN Railplan International Inc.

XRWC Right Of Way Consulting

XSNA Sazerac North America

XSSX Savage Services

XTQU Tarquin Acid LLC

XTRC Torrance Refining Company

XTRN Trinity Rail

XTSS Turner Specialty Services, LLC

XTSY TCR Rail Systems

XTWE TWIN EAGLE

XWCM Watco Companies Mechanical Services

XWCT West Central Distribution, LLC

XWVT Van Wert Terminal LLC

XZTH Zenith Energy Terminals

YSRR Youngstown & Southeastern Railroad

ZAAO Aoc Llc

ZABC Abc Coke

ZACH Ashta Chemicals, Inc.

ZADL Alberta Diluent Terminal, Ltd.

ZAEF Attis Ethanol Fulton Llc

ZAEN Altex Energy, Ltd.

ZAFF Affinity Chemical Llc

ZAGT Amerigas Propane L.P.

ZAHL AOC, LLC

ZALN Alon, USA, Lp

156
ZALQ Airgas, An Air Liquide Company

ZALTI Altivia Petrochemicals, Llc

ZALTS Alpha Technical Services

ZAMC Archer Daniels Midland Co.

ZAND The Andersons, Inc.

ZANN The Andersons

ZAPC Air Products Manufacturing Corp.

ZAPM Ascend Performance Materials Llc

ZARG Airgas Carbonic

ZARK Arkema, Inc.

ZASY Americas Styrenics

ZATP Allen's Transport Ltd.

ZAUL Allied Universal Corporation

ZAUM Austin Master Services Llc

ZAXI Westlake Chemicals & Vinyl's LLC

ZBADG Badger State Ethanol

ZBAH Baker Hughes Holdings LLC

ZBAK Baker Petrolite Corporation

ZBAN Bulk Trans, Inc.

ZBAS BASF Corporation

ZBBR Barton Brands Inc.

ZBCC Belle Chemical Company

ZBCU Blue Cube Operations LLC - Olin Chlor Alkali Logistics, Inc.

ZBCZ Birla Carbon Usa Inc.

ZBEP Buckeye Partners, LP

ZBET Bartow Ethanol Of Florida L.C.

ZBFM Bailey Feed Mill, Inc.

ZBGL Brenntag Great Lakes, Llc

ZBJG B&J Group Inc.

ZBJM Benjamin Moore Co.1

ZBKA Braskem America, Inc.

ZBKH Brookhaven Rail Terminal

ZBLQ Blossman Gas

ZBMI Bushmills Ethanol

ZBMQ Bitumar Inc.

ZBMS Brenntag Mid-South, Inc.

ZBMX Bulkmatic De Mexico

157
ZBORE Borden & Remington Corporation

ZBOS BAE Ordnance Systems, Inc.

ZBOW Brown Forman Distillers Corporation

ZBPA BP America, Inc.

ZBPN BP Products North America, Inc.

ZBPR BP Husky Refining

ZBRM Blue Racer Midstream, LLC

ZBRP Brenntag Pacific, Inc.

ZBSG Blue Star Gas, Inc.

ZBSN Basin Transload, LLC

ZBTN Brenntag Northeast

ZBUT Biourja Trading Llc

ZBVD Black Velvet Distilling Company

ZBWC Bwc Terminals

ZBYC Bayer Cropscience LP

ZCAO Cando Rail Services Ltd.

ZCCF Consumer Co-Op Refiners

ZCCM Cargill-Corn Milling Division

ZCDY Cody Group Inc.

ZCEF Chief Ethanol Fuels

ZCELA Celanese

ZCFC Chemours Co. Fc, LLC

ZCFRQ CFR Chemicals

ZCFX CN CargoFlo

ZCGR Casa Grande Plant Food Company

ZCHEV Chevron Products Company

ZCHF Chemical South Transport

ZCHP Championx

ZCHS Clean Harbors Services, Inc.

ZCHX Clean Harbors Environmental Services, Inc.

ZCJZ Caljet Of America

ZCLI Continental Intermodal Group

ZCLO Carload Connection

ZCLS Crowley Liner Services Inc.

ZCLX Chemtrade Logistics Inc.

ZCMA CMA CGM

ZCME Calumet Montana Refining, LLC

158
ZCNO BWC Terminals LLC

ZCNS Cosco North America

ZCPN Cooper Naturals Resources

ZCPR Citgo Petroleum Corp.

ZCRB Conrad & Bischoff

ZCRS Carson Oil

ZCSF Chemical Systems Of Florida, Inc.

ZCT Colonial Terminals

ZCUC Carlisle Construction Materials, LLC

ZCUL Cul Mac Industries

ZCUT Calumet Refining, LLC

ZDAA Daikin America, Inc.

ZDAR Dart Polymers

ZDBS Deans Bulk Services Zdbs

ZDCG Delta Companies Group

ZDCPC Diversified CPC International, Inc.

ZDCU The Dow Chemical Company

ZDGT Dakota Gold Transfer

ZDKR Delek Refining, Ltd.

ZDLZ Delong Company, Inc.

ZDMR Adm Railcar Repair

ZDNA Diageo Americas Supply, Inc.

ZDRC Delta Railroad Construction Inc.

ZDRY American Dry Ice Corporation

ZDSP Dimmitt Sulfur Products, Ltd.

ZDTLP Delta Trading LP

ZDUS Delek US

ZDYI Dyno Nobel, Inc.

ZEACH Eastman Chemical Company

ZEAV Epic Aviation Llc

ZEDC El Dorado Chemical Company

ZEEY Eco-Energy Stone Mountain Rail Terminal

ZELEM Elementis Chromium Inc.

ZELM Elementis Global Llc

ZEMER Emerald Services, Inc.

ZENS Enersul, Inc.

ZEPC Enterprise Products Operating Llc

159
ZEQU Equistar Chemicals Lp

ZERS Eagle Railcar Services

ZERV Elbow River Marketing Ltd

ZESR Eco Services Operations Corp.

ZETS Enviro Tech Chemical Services, Inc.

ZEVD Evonik Corporation

ZFGC Ferrell Gas, Inc.

ZFOT Farstad Oil Company

ZFXI Fxi, Incorporated

ZGBL Global Companies Llc

ZGCL Geocycle Llc

ZGEO Geo Specialty Chemicals, Inc.

ZGEU Gibson Energy Llc

ZGFC Greenergy Fuels Canada Inc.

ZGFL Gavilon Fertilizer, Llc.

ZGFV Gfl Environmental Inc.

ZGGP Golden Gate Petroleum

ZGIL Giles Chemical

ZGLY Glycerin Traders

ZGPE Green Plains Logistics

ZGPJ Graphic Packaging International

ZGPS Grain Processing Corporation

ZGTR The Goodyear Tire & Rubber Co.

ZHC Henkel Corporation

ZHCG Huntsman Corporation

ZHDR Hood River Distillers

ZHEI Hexion Inc.

ZHFO Houston Fuel Oil Terminal Co.

ZHFP Hartland Fuel Products

ZHMS Husky Marketing And Supply Co.

ZHPQ Harms Pacific

ZHTP HTP ENERGY

ZHTZ Heniff Transportation Systems, Llc

ZHUE Husky Energy, Inc.

ZICP Ineos Composites US LLC

ZIEN Ineos Nitriles

ZIES Ineos Olefins & Polymers USA

160
ZIFF International Flavors & Fragrances

ZIMA Interplastic Corporation

ZIMO Imperial Oil Limited

ZIMTB IMTT Bayonne

ZINTT International Matex Tank Terminals

ZIOR FXI, Inc

ZIP International Paper Company

ZIPA ICL Industrial Products America Inc.

ZIPI Ineos Phenol, Inc.

ZISY Ineos Styrolution America LLC

ZITF Itafos Conda Llc

ZITT Intercontinental Terminals Company

ZIVS INV Management Services, LLC

ZIVX Indorama Ventures Xylenes & PTA LLC

ZJBH Jb Hunt

ZKAT Kane Transport, Inc.

ZKFC Koch Fertilizer Canada, LLC

ZKMB Kinder Morgan Bulk Terminals, Inc.

ZKME Kinder Morgan Energy Partners

ZKMQ Kinder Morgan

ZKMTC Kitchenman Terminal Company

ZKOI Koch Fertilizer Enid, LLC

ZKPI Koppers Inc.

ZKRA Kraton Corporation

ZKTS Kellerstrass

ZKWS Kemira Water Solutions

ZKWX Kintetsu World Express 

ZLON Lonza, Inc.

ZLUB Lubrizol Corporation

ZMAH McAsphalt Industries Limited

ZMAIT Matson Intermodal

ZMAS Mc Asphalt Industries Ltd.

ZMAX Methanex Methanol Company

ZMED Mediterranean Shipping Company 

ZMEI Mp Environmental Services, Inc.

ZMEZ Midstream Energy Partners

ZMFQ Mosaic Fertilizer Llc

161
ZMGG Morrow County Grain Growers, Inc

ZMGP Mgp Ingredients, Inc.

ZMHO Monument Chemical Houston, Ltd.

ZMHX Mhx

ZMIP Maersk Line, Inc.

ZMKY Monument Chemical Kentucky, Llc.

ZMLB MPLX, G&P Law

ZMLP Millennia Productions

ZMMM 3-M Minnesota Mining & Mfg. Co.

ZMNP Marathon Petroleum Company

ZMNT Martin Operating Partnership Lp

ZMNZ Meser North America, Inc.

ZMPM Michigan Paving & Materials Company

ZMQE Marquis Energy, Llc

ZMRC Martin Transport, Inc.

ZMROC Mobile Rosin Oil Company, Inc.

ZMSW M.S. Walker, Inc.

ZMTE Motiva Enterprises Llc

ZMTT Midwest Terminals Of Toledo International, Inc.

ZMTZ Midstream Texas Operating Llc

ZMUN The Mundy Company

ZMUSK Musket Corporation

ZMXC Mexicana De Cobre Sa De Cv Rr/Co

ZMXF Mexichem Fluor, S.A. De C.V.

ZMXM Maxam Us, Llc

ZNA Na Industries

ZNAO Nalco Champion

ZNBX Nelson Brothers

ZNCN Nebraska Corn Processing, Llc

ZNCS Nease Corporation

ZNGE Nugen Energy Llc

ZNIC New-Indy Catawba Llc

ZNTN Nutrien

ZNUS Nustar Terminals Operations Partnership L.P.

ZNYN Nouryon

ZOCC Occidental Chemical Corporation

ZODY Odyssey Manufacturing Co.

162
ZOEE One Earth Energy, Llc

ZOIL Oiltanking

ZOLI Olin Corporation

ZOTT Oiltanking Texas City L.P.

ZOUS Southern State Chemical Inc.

ZOXV Oxyvinyls, Lp

ZPBN Poet Biorefining-North Manchester

ZPBX Poet Biorefining-Marion

ZPCU Polynt Composites Usa, Inc.

ZPGQ Georgia Pacific Corp.

ZPIL Pilot Chemicals

ZPKG Packaging Corporation Of America

ZPLD Pl Developments

ZPNA Pembina Pipeline Corp.

ZQCR Quality Carriers

ZQUC Quaker Houghton

ZRCH Recochem

ZREBO Rebel Oil Company

ZRHI Rohm & Haas, Inc.

ZRIO Rio Tinto

ZRLT R & L Transportation

ZRNW Rail Renewables, Llc

ZRPF Rayonier Performance Fibers, Llc

ZRPM Renewable Product Marketing Group, Llc

ZRRQ Road & Rail Services, Inc.

ZRSNL Resinall Corp.

ZSAV Savage Industries

ZSFU Swift Fuels LLC

ZSGG STG Logistics

ZSHEL Shell Chemicals Canada

ZSHL Shell Canada Products

ZSIN Sinclair Oil Corporation

ZSNA Schneider National Carriers, Inc.

ZSOC Shell Oil Company

ZSOLI Solutia, Inc.

ZSSCO Savage Services Corporation

ZSTQ Stepan Company

163
ZSWR Sinclair Wyoming Refining Company

ZTCML Teck Cominco Metals Ltd.

ZTEG Triest AG Group, Inc.

ZTEI Terroco Industries

ZTFF TForce Freight

ZTKA Teknor Apex Company

ZTME Tidewater Midstream & Infrastructure

ZTRSP Tropical Shipping USA, LLC

ZTSE Twin States Engineering & Chemicals

ZTSS Tessenderlo Kerley, Inc.

ZTXM Texmark Chemicals

ZUCL Univar Canada Ltd.

ZUEC US Ecology

ZUNIV Univar Solutions Inc.

ZUPS United Parcel Service, Inc.

ZUSA Airgas USA

ZUSN US Nitrogen

ZUSO U.S. Venture, Inc.

ZUSOR U.S. Oil And Refining Company

ZUTC Union Tank Car Company

ZVCP Vantage Corn Processors LLC

ZVLA Vopak Terminal Los Angeles

ZWAO Watco Terminal And Port Services

ZWBZ Wiebe Transport

ZWHT Whitecap Resources

ZWLC Westlake Corporation

ZWLT Wolf Lake Terminals, Inc.

ZWOC Whitaker Oil Company

ZWRK WestRock Mill Company

ZWRV Twin Rivers Paper Company

ZWTN Watco Transloading, LLC

ZXCL CLARIOS, LLC

ZXCO COMO Oil of Florida

ZXMC MITSUBISHI CHEMICAL AMERICA

ZYET Yuma Ethanol, LLC

ZZAC Zaclon, Inc.

ZZAL A&R Logistics Inc.

164
ZZAR The Andersons, Inc.

ZZWM Waste Management

165