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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
Energen tax violations2000LA-AG$4,360,000
ShellShell PLCoil and gastax violations2000LA-AG$4,360,000
UnocalChevronoil and gastax violations2000LA-AG$4,360,000
AutoChina International Limited accounting fraud or deficiencies2014SEC$4,350,000
Red Mountain Funding, Inc. investor protection violation2015AZ-CC$4,344,885
PanAmerican Seed Company economic sanction violation2016OFAC$4,320,000
Bancorp Bank banking violation2015FDIC$4,300,000
GFI Securities LLCBGC Partnersfinancial servicesinvestor protection violation2019SEC$4,300,000
Coin Cafe investor protection violation2023NY-AG$4,300,000
Gagosian Gallery tax violations2016NY-AG$4,280,000
Hughes Energy Inc. investor protection violation2009USAO$4,261,211
Vadian Bank AG tax violations2015DOJ_TAX$4,253,000
Commercial Bank of New York anti-money-laundering deficiencies2001NY-DFS$4,250,000
Service Station Vending Equipment, Inc. tax violations2021NY-AG$4,250,000
ICBC Standard Bank PlcIndustrial and Commercial Bank of Chinafinancial servicesinvestor protection violation2015SEC$4,200,000
Verto Capital Management investor protection violation2017SEC$4,158,517
Bank Linth LLB AG tax violations2015DOJ_TAX$4,150,000
Robert W. Baird & Co. Incorporated investor protection violation2019SEC$4,149,167
Berkshire Hathaway Inc.Berkshire Hathawaydiversifiedeconomic sanction violation2020OFAC$4,144,651
Milan Group Inc. investor protection violation2013SEC$4,141,148
Global Corporate Strategies LLC investor protection violation2019SEC$4,120,000
Aegerion PharmaceuticalsAmryt Pharmapharmaceuticalsinvestor protection violation2017SEC$4,100,000
Investment Placement Group investor protection violation2011SEC$4,072,027
Ernst & Young LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2014SEC$4,070,000
Nasdaq, Inc.Nasdaq Inc.financial serviceseconomic sanction violation2023OFAC$4,040,923
H.D. Vest Investment Services investor protection violation2005FINRA$4,015,000
KA Investments, Inc. investor protection violation2018ID-SEC$4,011,806
Concordia Financing Company, Ltd. and ER Financial & Advisory Services, LLC investor protection violation2019AZ-CC$4,007,986
Trends Investments Inc. investor protection violation2023SEC$4,007,027
Wells Fargo Bank, National AssociationWells Fargofinancial servicesbanking violation2015OCC$4,000,000
Capital One, National AssociationCapital One Financialfinancial servicesbanking violation2014OCC$4,000,000
Gibraltar Private Bank and Trust Company anti-money-laundering deficiencies2016FINCEN$4,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2016SEC$4,000,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2014SEC$4,000,000
AVEO Pharmaceuticals Inc.LGdiversifiedinvestor protection violation2016SEC$4,000,000
SeaWorld Entertainment Inc.SeaWorld Entertainmententertainmentinvestor protection violation2018SEC$4,000,000
British Arab Commercial Bank plc economic sanction violation2019OFAC$4,000,000
Wells Fargo Securities, LLC and Wells Fargo Prime Services, LLCWells Fargofinancial servicesinvestor protection violation2016FINRA$4,000,000
Trustmark National BankTrustmarkfinancial servicesbanking violation2021OCC$4,000,000
KPMG S.A.S.KPMGbusiness servicesaccounting fraud or deficiencies2022PCAOB$4,000,000
Goldman Sachs Asset Management, L.P.Goldman Sachsfinancial servicesinvestor protection violation2022SEC$4,000,000
Ensign Peak Advisers Inc. investor protection violation2023SEC$4,000,000
Gentex CorporationGentexautomotive partsinvestor protection violation2023SEC$4,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2023SEC$4,000,000
Exchange Traded Managers Group LLC investor protection violation2023SEC$4,000,000
Kroll Bond Rating Agency, LLC investor protection violation2023SEC$4,000,000
PricewaterhouseCoopersPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2023PCAOB$4,000,000
OEP Capital Advisors, L.P. investor protection violation2023SEC$4,000,000
The New Wealth, LLC and Main Street Estate Group, Inc. and Jenny DB Properties, LLC investor protection violation2018MD-SEC$3,999,715
High Point Wealth Management investor protection violation2018MD-SEC$3,990,000
AllianceBernstein Investment Research and Management, Inc.Equitable Holdingsfinancial servicesinvestor protection violation2005FINRA$3,984,087
Fifth Street Management, LLC investor protection violation2018SEC$3,983,660
USA Barcelona Realty Advisors, LLC investor protection violation2018AZ-CC$3,965,700
Jefferies LLCJefferies Financial Groupdiversifiedinvestor protection violation2019SEC$3,918,000
Equity Acquisition Company Ltd. investor protection violation2023SEC$3,917,436
HF Foods Group Inc. investor protection violation2024SEC$3,900,000
Legacy Hospitality II, LLC investor protection violation2023SEC$3,892,012
RBC Capital Markets LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2020SEC$3,889,007
First Capital Real Estate Investments, LLC investor protection violation2021SEC$3,876,400
Banque Heritage S.A. tax violations2015DOJ_TAX$3,846,000
Family Tree Estate Planning, LLC, investor protection violation2023AZ-CC$3,838,040
New York Rent-A-Car Corp. tax violations2003NY-QCDA$3,800,000
Yankee Financial Group, Inc. investor protection violation2005FINRA$3,800,000
Zuger Kantonalbank tax violations2015DOJ_TAX$3,798,000
UBS Securities LLC and UBS Financial Services, IncUBSfinancial servicesinvestor protection violation2011NJ-AG$3,790,487
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.financial servicesinsider trading2006SEC$3,755,839
STATE BANK OF INDIA banking violation2001FDIC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $3,750,000
State Bank of India anti-money-laundering deficiencies2001FED$3,750,000
State Bank of India anti-money-laundering deficiencies2001NY-DFS$3,750,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2013FINRA$3,750,000
RSM US LLP accounting fraud or deficiencies2022SEC$3,750,000
EFG International AG economic sanction violation2024OFAC$3,740,442
WMF Management, LLC et al. investor protection violation2018AZ-CC$3,732,894
The Financial Group, LLC investor protection violation2022AZ-CC$3,706,451
Senior Resources Asset Fund, LLC investor protection violation2006SEC$3,699,203
Secure Resolutions, Inc. investor protection violation2010AZ-CC$3,685,653
Locke Capital Management Inc. investor protection violation2011SEC$3,673,996
Real Estate Finance Corp. and WIN Opportunity Fund, LLC investor protection violation2019AZ-CC$3,668,565
Angel Oak Capital Partners, LLC investor protection violation2017SEC$3,666,370
Denari Capital, LLC investor protection violation2021CFTC$3,663,282
Severns Properties, LLC and Severns Capital, LLC investor protection violation2008AZ-CC$3,631,115
Kornitzer Capital Management, Inc. investor protection violation2019SEC$3,626,995
Chatfield PCS Ltd. and GO ECO Manufacturing, Inc. investor protection violation2022SEC$3,625,263
Nato Enterprises, LLC investor protection violation2010AZ-CC$3,625,127
Flagstar Bank, FSBNew York Community Bancorpfinancial servicesbanking violation2021OCC$3,620,000
Graubundner Kantonalbank tax violations2015DOJ_TAX$3,616,000
Linsco/Private Ledger Corp. investor protection violation2005FINRA$3,602,398
Voya Holdings Inc.Voya Financialfinancial servicesinvestor protection violation2018SEC$3,600,000
Madigan Enterprises, Inc. et al. investor protection violation2018CFTC$3,589,913
PlanMember Securities Corporation investor protection violation2019SEC$3,550,660
5A Holdings, LLC investor protection violation2018MO-SEC$3,548,483
Oppenheimer & Co. Inc. and Oppenheimer Asset Management Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2019SEC$3,528,377
Up Global SEZC investor protection violation2023SEC$3,520,000
Cole Taylor BankFifth Third Bancorpfinancial servicesbanking violation2014FED$3,510,000
Murad, LLC economic sanction violation2023OFAC$3,508,286
Capital One Financial CorporationCapital One Financialfinancial servicesaccounting fraud or deficiencies2013SEC$3,500,000
Assurant Inc.Assurantfinancial servicesaccounting fraud or deficiencies2010SEC$3,500,000
America Online, Inc.Apollo Global Managementprivate equity (including portfolio companies)accounting fraud or deficiencies2000SEC$3,500,000
Wells Fargo Advisors, LLCWells Fargofinancial servicesanti-money-laundering deficiencies2017SEC$3,500,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2017SEC$3,500,000
First Reserve Management, L.P. investor protection violation2016SEC$3,500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.