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Violation Tracker Summary for Offense Group

Offense Group: financial offenses
Penalty Total since 2000: $295,516,055,451
Number of Penalty Records: 11,145
Note: The totals here are adjusted to account for the fact that each current parent's entries may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. They are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the individual records list below.
Top 10 Current Parent CompaniesTotal Penalty $Number of Records
Bank of America$41,333,342,096156
UBS$27,713,994,893137
JPMorgan Chase$27,358,534,167125
Citigroup$19,750,393,935106
Deutsche Bank$15,638,617,27868
Goldman Sachs$13,128,062,84158
NatWest Group PLC$12,129,162,85723
Wells Fargo$10,735,730,989130
Morgan Stanley$9,905,512,956168
BNP Paribas$9,167,798,00012

Individual Penalty Records:

Click on the company or penalty amount for more information on each case. Click on the current parent name to reach the summary page for that parent company.

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CompanyCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearAgencyPenalty Amount sort icon
Pamrapo Savings Bank S.L.A. anti-money-laundering deficiencies2010DOJ_CRIMINAL$5,000,000
Miller Energy Resources accounting fraud or deficiencies2016SEC$5,000,000
AlphaBridge Capital Management accounting fraud or deficiencies2015SEC$5,000,000
LavaFlow Inc.Citigroupfinancial servicesinvestor protection violation2014SEC$5,000,000
Diamond FoodsCampbell Soupfood productsaccounting fraud or deficiencies2014SEC$5,000,000
U.S. Trust CorporationBank of Americafinancial servicesbanking violation2001FED$5,000,000
PricewaterhouseCoopers LLPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2002SEC$5,000,000
Overseas Shipholding GroupOverseas Shipholding Groupfreight and logisticsaccounting fraud or deficiencies2017SEC$5,000,000
Mid America Bank and Trust banking violation2017FED$5,000,000
NPB Neue Privat Bank tax violations2018DOJ_TAX$5,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2018SEC$5,000,000
LendingClub Asset Management LLCLendingClub Corp.financial servicesinvestor protection violation2018SEC$5,000,000
Citibank N.A.Citigroupfinancial servicesbankruptcy professional violation2018DOJ_UTP$5,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2018SEC$5,000,000
UBS Financial Services Inc.UBSfinancial servicesanti-money-laundering deficiencies2018FINCEN$5,000,000
Deer Park Road Management Company LP investor protection violation2019SEC$5,000,000
Commercial Bank of New York anti-money-laundering deficiencies2001NY-AG$5,000,000
Inviva, Inc. investor protection violation2004NY-AG$5,000,000
Comscore, Inc.ComScoreinformation servicesaccounting fraud or deficiencies2019SEC$5,000,000
Prime Partners SA tax violations2017USAO$5,000,000
Hudson United Bank anti-money-laundering deficiencies2004NY-MANDA$5,000,000
Diageo plcDiageobeveragesinvestor protection violation2020SEC$5,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2020SEC$5,000,000
Bloomberg Tradebook LLCBloomberginformation technologyinvestor protection violation2020SEC$5,000,000
Regions BankRegions Financialfinancial servicesbanking violation2014AL-SBD$5,000,000
State Street Global AdvisorsState Street Corp.financial servicesinvestor protection violation2012MA-SEC$5,000,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2012MA-SEC$5,000,000
Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2007NJ-BOS$5,000,000
U.S. Trust CorporationBank of Americafinancial servicesanti-money-laundering deficiencies2001NY-DFS$5,000,000
Credit AgricoleCredit Agricolefinancial servicesbanking violation2004NY-DFS$5,000,000
E*TRADE Securities LLCMorgan Stanleyfinancial servicesinvestor protection violation2011MULTI-FIN$5,000,000
Thomas Weisel Partners LLCStifel Financialfinancial servicesinvestor protection violation2005MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $5,000,000
Anheuser-Busch, LLCAnheuser-Busch InBevbeveragestax violations2020ATTTB$5,000,000
Morgan Stanley Capital Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020CFTC$5,000,000
Kik Interactive Inc. investor protection violation2020SEC$5,000,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2020SEC$5,000,000
Interface Inc. accounting fraud or deficiencies2020SEC$5,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2016FINRA$5,000,000
SunTrust Robinson Humphrey, Inc.Truist Financialfinancial servicesinvestor protection violation2011FINRA$5,000,000
MetLife, Inc.MetLifefinancial servicesinvestor protection violation2006FINRA$5,000,000
RiverSource Distributors Inc. investor protection violation2022SEC$5,000,000
RiverSource Distributors, Inc. investor protection violation2022SEC$5,000,000
Bittrex, Inc. anti-money-laundering deficiencies2022FINCEN$5,000,000
Bloomberg Finance L.P.Bloomberginformation technologyinvestor protection violation2023SEC$5,000,000
The Options Clearing Corporation investor protection violation2023CFTC$5,000,000
Coinbase, Inc.Coinbase Global Inc.financial servicesinvestor protection violation2023NJ-AG$5,000,000
Shinhan Bank America anti-money-laundering deficiencies2023FDIC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $5,000,000
Holtec InternationalHoltec Internationalmiscellaneous energy products and systemstax violations2024NJ-AG$5,000,000
Capital Solutions Distributors, LLC and Capital Solutions Management, LP accounting fraud or deficiencies2013SEC$4,997,077
Bear, Stearns & Co. Inc.JPMorgan Chasefinancial servicesinvestor protection violation2004FINRA$4,950,000
PlexCorps investor protection violation2019SEC$4,911,613
Financial Leverage LLC et al. investor protection violation2023AZ-CC$4,879,122
Merrill LynchBank of Americafinancial servicesinvestor protection violation2010NJ-AG$4,871,620
Automata FX Ltd investor protection violation2023AZ-CC$4,866,465
Tri-Core Companies, LLC et al. investor protection violation2017AZ-CC$4,822,311
Delaware Asset Advisers investor protection violation2012SEC$4,814,520
Burrill Capital Management accounting fraud or deficiencies2016SEC$4,785,000
Community Trust Bank, Inc. banking violation2018FED$4,750,000
Citigroup Global Markets Inc.Citigroupfinancial servicestoxic securities abuses2016VA-AG$4,750,000
Pine Tree Meat & Produce Inc. et al. tax violations2020NY-AG$4,700,000
ProSky, Inc. investor protection violation2021SEC$4,700,000
Premier Asset Management Group LLC investor protection violation2022AZ-CC$4,695,136
Business Owners Tax Relief LLC investor protection violation2020AZ-CC$4,674,873
Klytie's Developments, Inc. et al. investor protection violation2010CO-SEC$4,667,724
Barclays Capital Inc.Barclaysfinancial servicestoxic securities abuses2021NM-AG$4,642,857
Citigroup Global Markets Inc.Citigroupfinancial servicestoxic securities abuses2021NM-AG$4,642,857
Goldman Sachs & Co. LLCGoldman Sachsfinancial servicestoxic securities abuses2021NM-AG$4,642,857
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicestoxic securities abuses2021NM-AG$4,642,857
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicestoxic securities abuses2021NM-AG$4,642,857
NatWest Markets Securities Inc.NatWest Group PLCfinancial servicestoxic securities abuses2021NM-AG$4,642,857
Washington Mutual Mortgage Securities Corp.JPMorgan Chasefinancial servicestoxic securities abuses2021NM-AG$4,642,857
Ameritas Advisory Services, LLCAmeritas Mutual Holding Companyfinancial servicesinvestor protection violation2022SEC$4,628,194
Berner Kantonalbank AG tax violations2015DOJ_TAX$4,619,000
MJG Enterprises, Inc. dba Mike's Lock Club investor protection violation2010AZ-CC$4,609,627
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2013MULTI-FIN$4,600,000
Kelly's Mobile Home Sales, Inc. investor protection violation2008AZ-CC$4,592,939
Haidar Capital Management, LLC investor protection violation2007SEC$4,580,000
UBS Financial Services, IncUBSfinancial servicesinvestor protection violation2013MULTI-AG$4,580,000
Acme Refining Co. tax violations2017USAO$4,545,243
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2006MT-FIN$4,503,166
Grant Thornton LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2015SEC$4,500,000
William Blair & Company, L.L.C. investor protection violation2017SEC$4,500,000
Ameriprise Financial Services Inc.Ameriprise Financialfinancial servicesinvestor protection violation2018SEC$4,500,000
Acuity Lending Corporation investor protection violation2013OR-FIN$4,500,000
Wachovia SecuritiesWells Fargofinancial servicesinvestor protection violation2009FINRA$4,500,000
OWNZONES Media Network, Inc. investor protection violation2021AZ-CC$4,500,000
Global Infrastructure Management, LLC investor protection violation2021SEC$4,500,000
Premier Marketing and Investments, Inc. investor protection violation2003SEC$4,497,451
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2018SEC$4,450,000
47 East 34th Street (NY), LP tax violations2015NY-AG$4,446,153
First Chicago Capital Markets, Inc. investor protection violation2000FINRA$4,420,000
One Vision Children's Foundation, Inc. investor protection violation2003AZ-CC$4,407,140
Aracoma Contracting LLC anti-money-laundering deficiencies2014USAO$4,405,000
Meta 1 Coin Trust investor protection violation2023AZ-CC$4,404,361
Swisspartners Investment Network AG tax violations2014USAO$4,400,000
Ironridge Global Partners, LLC and Ironridge Global IV, Ltd. investor protection violation2017SEC$4,400,000
Danfoss A/SDanfossindustrial equipmenteconomic sanction violation2022OFAC$4,379,810
Trickling Springs Creamery, LLC investor protection violation2020PA-BKG$4,375,000
Amerada HessHess Corp.oil and gastax violations2000LA-AG$4,360,000
ConocoConocoPhillipsoil and gastax violations2000LA-AG$4,360,000
Energen tax violations2000LA-AG$4,360,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.