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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
Goldman, Sachs & Co.Goldman Sachsfinancial servicestoxic securities abuses2016VA-AG$2,900,000
Stifel Nicolaus & Company, Inc.Stifel Financialfinancial servicesinvestor protection violation2015FINRA$2,900,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2023SEC$2,900,000
Equitystar Capital Management, LLC investor protection violation2018SEC$2,890,518
Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLCOppenheimer Holdingsfinancial servicesinvestor protection violation2013SEC$2,886,677
Fiduciary Asset Management LLC investor protection violation2012SEC$2,859,858
Tradewale LLC and Tradewale Managed Fund investor protection violation2023CFTC$2,853,810
Jorge Romero Investments, Inc. and Maximum Return Investments, Inc. investor protection violation2011CA-DFPI$2,840,868
Decolar.com, Inc. economic sanction violation2014OFAC$2,809,800
Hawaiian Gardens Casino, Inc. d/b/a The Gardens Casino anti-money-laundering deficiencies2016FINCEN$2,800,000
Oppenheimer & Company, Inc.Oppenheimer Holdingsfinancial servicesanti-money-laundering deficiencies2005FINCEN$2,800,000
Peoples Bank banking violation2017FED$2,800,000
Maxwell Technologies, Inc.Tesla Inc.motor vehiclesaccounting fraud or deficiencies2018SEC$2,800,000
Charles Schwab & Co., Inc.Charles Schwab Corp.financial servicesinvestor protection violation2018SEC$2,800,000
Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLCOppenheimer Holdingsfinancial servicesinvestor protection violation2013MA-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,800,000
Offutt Group, LLC et al. investor protection violation2009MD-SEC$2,800,000
J.P. Morgan SecuritiesJPMorgan Chasefinancial servicesinvestor protection violation2014MULTI-FIN$2,800,000
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2014MULTI-FIN$2,800,000
Hydrogen Technology Corporation investor protection violation2023SEC$2,796,234
Yantai Jereh Oilfield Services Group Co., Ltd., economic sanction violation2018OFAC$2,774,972
GLR Advisers LLC accounting fraud or deficiencies2015SEC$2,772,475
Ultimate Ventures, Inc. investor protection violation2005ID-SEC$2,771,378
St. Joe CompanySt. Joe Companyreal estateaccounting fraud or deficiencies2015SEC$2,750,000
Neovest Inc. investor protection violation2021SEC$2,750,000
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2024PCAOB$2,750,000
KPMG AustraliaKPMGbusiness servicesaccounting fraud or deficiencies2011SEC$2,742,000
NB Alternatives Advisers LLC investor protection violation2018SEC$2,733,608
General Electric CompanyGeneral Electricdiversifiedeconomic sanction violation2019OFAC$2,718,581
GLG Partners, LP investor protection violation2007SEC$2,703,635
Stifel, Nicolaus & Co., Inc.Stifel Financialfinancial servicesinvestor protection violation2019SEC$2,700,000
Worldwide Entertainment, Inc. investor protection violation2005MO-SEC$2,698,892
Lucrative Pips Corporation investor protection violation2019CFTC$2,694,799
TeamVinh.com LLC investor protection violation2017SEC$2,681,072
SEED Corp. investor protection violation2014AZ-CC$2,674,654
Sun Village Juan Dolio Associates, LLC investor protection violation2010ID-SEC$2,653,880
Carlson Capital, L.P. investor protection violation2010SEC$2,653,234
B&B Equity Group LLC et al. investor protection violation2011MO-SEC$2,650,649
Blackstreet Capital Management, LLC investor protection violation2016SEC$2,622,737
New England Securities Corp.MetLifefinancial servicesinvestor protection violation2006SEC$2,614,865
PNC Bank, National AssociationPNC Financial Servicesfinancial servicesbanking violation2022OCC$2,614,456
Golden Signals LLC investor protection violation2022CFTC$2,613,276
ABM Management, Inc. et al. investor protection violation2017MO-SEC$2,605,226
Privatbank Reichmuth & Co. tax violations2015DOJ_TAX$2,592,000
Premiere Power LLC investor protection violation2015SEC$2,587,523
Sigma Planning Corp. investor protection violation2019SEC$2,546,718
BSK Enterprises, LLC investor protection violation2009AZ-CC$2,539,225
Financial American Corp. investor protection violation2010AZ-CC$2,536,692
Aegis Capital Corp. investor protection violation2022SEC$2,520,865
Monster Worldwide, Inc.Randstadbusiness servicesaccounting fraud or deficiencies2009SEC$2,500,000
TALX CorporationEquifaxmiscellaneous servicesaccounting fraud or deficiencies2005SEC$2,500,000
RBC Capital Markets LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2016SEC$2,500,000
FMC TechnologiesTechnipFMCoilfield services and suppliesaccounting fraud or deficiencies2016SEC$2,500,000
Louis Capital Markets, LP investor protection violation2017SEC$2,500,000
Credit Suisse Alternative Capital, LLC and Credit Suisse Asset Management, LLCUBSfinancial servicesinvestor protection violation2011SEC$2,500,000
KBR Inc.KBRconstruction and engineeringaccounting fraud or deficiencies2018SEC$2,500,000
HSBC Securities (USA) Inc.HSBCfinancial servicestoxic securities abuses2016VA-AG$2,500,000
Spa Castle Inc. tax violations2018NY-AG$2,500,000
Ari Enterprises, Ltd. and Bolero Records, Ltd. tax violations2007NY-MANDA$2,500,000
Black Diamond Capital Appreciation Fund, L.P. et al. investor protection violation2015NJ-BOS$2,500,000
Trolice Consulting Services, LLC investor protection violation2016NJ-BOS$2,500,000
Precigen, Inc.Precigenagribusinessinvestor protection violation2020SEC$2,500,000
SunAmerica Securities, Inc.American International Groupfinancial servicesinvestor protection violation2005FINRA$2,500,000
United States Commodity Funds LLC investor protection violation2021CFTC$2,500,000
S&P Global RatingsS&P Globalinformation technologyinvestor protection violation2022SEC$2,500,000
Elegance Brands et al. investor protection violation2022SEC$2,500,000
STIFEL, NICOLAUS & COMPANY, INC.Stifel Financialfinancial servicesinvestor protection violation2023MA-SEC$2,500,000
BHP Capital NY, Inc. investor protection violation2023SEC$2,500,000
Suez Rajan Limited economic sanction violation2023DOJ_NATSEC$2,500,000
Perella Weinberg Partners LP investor protection violation2023SEC$2,500,000
BlackRock Advisors, LLCBlackRockfinancial servicesinvestor protection violation2023SEC$2,500,000
Barclays Bank PLCBarclaysfinancial serviceseconomic sanction violation2016OFAC$2,485,890
IBC Funds, LLC investor protection violation2016SEC$2,482,850
Rothschild Investment Corporation investor protection violation2021SEC$2,471,667
Innovative Financial Solutions, LLC et al. investor protection violation2019MO-SEC$2,466,092
SR&B Investment Enterprises, Inc. investor protection violation2023CFTC$2,461,877
Wise Enterprises, LLC and Wise Lending, LLC investor protection violation2010ID-SEC$2,443,637
Wedbush SecuritiesWedbush Securitiesfinancial servicesinvestor protection violation2014SEC$2,440,000
Choice Equity investor protection violation2018SEC$2,430,850
Assisted Living Development Company, Inc. et al. investor protection violation2011AZ-CC$2,410,895
Gelfman Blueprint, Inc. investor protection violation2018CFTC$2,408,734
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2004SEC$2,400,000
United AirlinesUnited Airlines Holdingsairlinesaccounting fraud or deficiencies2016SEC$2,400,000
Allied Markets, LLC investor protection violation2019CFTC$2,400,000
COLUMBUS BANK AND TRUST COMPANY banking violation2008FDIC$2,400,000
FSC Securities Corp. investor protection violation2005FINRA$2,400,000
Securities America, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2005FINRA$2,400,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2004FINRA$2,400,000
Industrial and Commercial Bank of China Ltd.Industrial and Commercial Bank of Chinafinancial servicesbanking violation2024FED$2,400,000
Windsor Jones, LLC investor protection violation2022IA-INS$2,398,373
Bill Few Associates Inc. investor protection violation2019SEC$2,398,304
TIAA-CREF Individual & Institutional Services, LLCTIAAfinancial servicesinvestor protection violation2019SEC$2,395,722
MAG T, Inc. investor protection violation2012AZ-CC$2,370,455
Insight Venture Management LLC investor protection violation2023SEC$2,364,958
CTAX Series, LLC investor protection violation2022CFTC$2,358,661
Capital One Bank (USA) N.A.Capital One Financialfinancial servicesbankruptcy professional violation2011DOJ_UTP$2,350,000
Carr Miller Capital, LLC investor protection violation2013NJ-BOS$2,340,000
Hancock Whitney Investment Services, Inc. investor protection violation2020SEC$2,337,792
Bank of China (UK) LimitedBank of Chinafinancial serviceseconomic sanction violation2021OFAC$2,329,991
Banque Cantonal du Valais tax violations2015DOJ_TAX$2,311,000
Performance Realty Management, LLC investor protection violation2021AZ-CC$2,309,101
Lincolnshire Management investor protection violation2014SEC$2,300,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.