Warning: Undefined array key 1 in /usr/home/goodjobsfirst/public_html/violationtrackerlive/function.php on line 727
Basic Search  |  Summaries  |  Advanced Search

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearAgencyPenalty Amount sort icon
Lincolnshire Management investor protection violation2014SEC$2,300,000
211 Ventures LLC investor protection violation2013SEC$2,300,000
WL Ross & Co. LLCInvescofinancial servicesinvestor protection violation2016SEC$2,300,000
Popular Bank banking violation2023FED$2,300,000
Nordstrom Nordstrom I, Inc. and Nordstrom Imports, Inc.Nordstromretailinginvestor protection violation2014AZ-CC$2,263,142
Theodore J. Hogan & Associates, LLC investor protection violation2011AZ-CC$2,253,310
Clean Energy Capital, LLC investor protection violation2014SEC$2,246,030
Apuro Holdings Ltd et al. investor protection violation2019CFTC$2,243,344
The Alista Group, LLC investor protection violation2021CFTC$2,242,162
Cifuentes Fund Management, LLC investor protection violation2018CFTC$2,227,120
Innospec Inc.Innospecchemicalseconomic sanction violation2010OFAC$2,200,000
Bank of Mingo anti-money-laundering deficiencies2015USAO(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,200,000
Cemtrex, Inc. investor protection violation2022SEC$2,200,000
TIAA-CREF Individual & Institutional Services LLCTIAAfinancial servicesinvestor protection violation2024SEC$2,200,000
Strong Capital Management, Inc.Wells Fargofinancial servicesinvestor protection violation2006SEC$2,185,927
Paradigm Capital Management, Inc. investor protection violation2014SEC$2,181,771
Chronos Asset Management, Inc. investor protection violation2008SEC$2,176,915
Heartland Payment Systems, LLCGlobal Payments Inc.financial servicesinvestor protection violation2018SEC$2,160,000
Skytec Security Services, LLC and Skytec Service KC, LLC investor protection violation2021MO-SEC$2,151,130
SAP SESAPinformation technologyeconomic sanction violation2021OFAC$2,132,174
Brookside Capital, LLC investor protection violation2011SEC$2,124,079
MML Investors Services, LLCMassachusetts Mutual Life Insurancefinancial servicesinvestor protection violation2021SEC$2,109,458
BDO USABDO Internationalbusiness servicesaccounting fraud or deficiencies2015SEC$2,100,000
Six Stars Auto Sales tax violations2003NY-QCDA$2,100,000
Cantone Research, Inc. and Cantone Office Center, LLC investor protection violation2017NJ-BOS$2,100,000
GMC Holding Corporation investor protection violation2009SEC$2,090,000
Equitec Proprietary Markets, LLC investor protection violation2009SEC$2,080,000
Ersparniskasse Schaffhausen AG tax violations2015DOJ_TAX$2,066,000
ESCO Corporation economic sanction violation2014OFAC$2,057,540
ShipChain, Inc. investor protection violation2020SEC$2,050,000
Knight Financial Products, LLCVirtu Financialfinancial servicesinvestor protection violation2009SEC$2,040,000
BRC Neighborhood Planning, LP investor protection violation2022PA-BKG$2,040,000
2 West, Inc., et al. investor protection violation2016SEC$2,025,179
RPM International Inc.RPM Internationalchemicalsaccounting fraud or deficiencies2020SEC$2,022,500
TelexElectric, LLLP investor protection violation2018SEC$2,022,239
National Investment Consultants, Inc. and Pacific Best Group Ltd. investor protection violation2006CA-DFPI$2,021,500
A.L. Russell & Associates LLC and Re-Star LLC and Re-Star Holdings LLC investor protection violation2012AZ-CC$2,016,570
Integrowth Financial Group investor protection violation2004AZ-CC$2,016,524
Kroll Bond Rating Agency Inc. investor protection violation2020SEC$2,010,000
BAIC, Inc. investor protection violation2019AZ-CC$2,004,649
Citizens Bank, National AssociationCitizens Financial Groupfinancial servicesbanking violation2015OCC$2,000,000
PNC Bank, National AssociationPNC Financial Servicesfinancial servicesbanking violation2014OCC$2,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasefinancial servicesbanking violation2011OCC$2,000,000
PostFinance AG tax violations2015DOJ_TAX$2,000,000
Swisher HygieneEcolabchemicalsaccounting fraud or deficiencies2016SEC$2,000,000
Ocwen Financial Corp.Ocwen Financialfinancial servicesaccounting fraud or deficiencies2016SEC$2,000,000
Liquidnet Inc. investor protection violation2014SEC$2,000,000
Chevron CorporationChevronoil and gaseconomic sanction violation2007OFAC$2,000,000
Zomax Inc. insider trading2005SEC$2,000,000
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankfinancial servicesinvestor protection violation2004SEC$2,000,000
Gardere Wynne Sewell LLP accounting fraud or deficiencies2003SEC$2,000,000
Exxon MobilExxon Mobiloil and gaseconomic sanction violation2017OFAC$2,000,000
First Niagara Bank, National AssociationKeyCorpfinancial servicesbanking violation2016OCC$2,000,000
LendingClub CorporationLendingClub Corp.financial servicesbanking violation2018USAO$2,000,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2004SEC$2,000,000
Baron Capital, Inc. investor protection violation2003SEC$2,000,000
Deloitte Touche Tohmatsu LLCDeloittebusiness servicesaccounting fraud or deficiencies2019SEC$2,000,000
Dreyfus CorporationBank of New York Mellonfinancial servicesinvestor protection violation2000NY-AG$2,000,000
Global Strategy Group investor protection violation2010NY-AG$2,000,000
Pacific Corporate Group Holdings, LLC investor protection violation2009NY-AG$2,000,000
Omgeo Matching Services US, LLC investor protection violation2019SEC$2,000,000
Friedman's Inc. accounting fraud or deficiencies2005USAO$2,000,000
JB Oxford Holdings, Inc. accounting fraud or deficiencies2000USAO$2,000,000
Deloitte & Touche LLPDeloittebusiness servicesaccounting fraud or deficiencies2013PCAOB$2,000,000
Ernst & Young LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2012PCAOB$2,000,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2012MA-SEC$2,000,000
White Cedar Group, LLC investor protection violation2014NJ-BOS$2,000,000
Cifuentes Fund Management, LLC investor protection violation2016NJ-BOS$2,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2019FINRA$2,000,000
RBS Securities, Inc.NatWest Group PLCfinancial servicesinvestor protection violation2016FINRA$2,000,000
Charles Schwab & Co.Charles Schwab Corp.financial servicesinvestor protection violation2015FINRA$2,000,000
American Renal Associates Holdings, Inc. investor protection violation2021SEC$2,000,000
Surgalign Holdings, Inc. investor protection violation2022SEC$2,000,000
KPMG LLP(United Kingdom)KPMGbusiness servicesaccounting fraud or deficiencies2022PCAOB$2,000,000
Gaia Inc. investor protection violation2023SEC$2,000,000
BDO USA, P.CBDO Internationalbusiness servicesaccounting fraud or deficiencies2023PCAOB$2,000,000
WithumSmith+Brown, PC accounting fraud or deficiencies2024PCAOB$2,000,000
JPMorgan Chase & Co.JPMorgan Chasefinancial servicesinvestor protection violation2008SEC$1,998,143
Parker Skylar &Associates, LLC investor protection violation2013AZ-CC$1,992,000
Weiss Research, Inc investor protection violation2006SEC$1,991,141
Aargauische Kantonalbank tax violations2015DOJ_TAX$1,983,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2023SEC$1,975,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2015MULTI-FIN$1,965,000
Jonathan Roberts Advisory Group, Inc. d/b/a J.W. Cole Advisors, Inc. investor protection violation2021SEC$1,957,053
BMO Capital Markets Corp.Bank of Montrealfinancial servicesinvestor protection violation2019SEC$1,950,000
Monomoy Capital Management, L.P.Monomoy Capital Partnersprivate equity (including portfolio companies)investor protection violation2020SEC$1,926,579
St. Germain Investment Management, Inc. investor protection violation2021SEC$1,925,250
Jefferies & Company, Inc.Jefferies Financial Groupdiversifiedinvestor protection violation2011FINRA$1,925,000
Park Avenue Country Club tax violations2006NY-MANDA$1,920,136
Ribbon Communications Inc. (fka Sonus Networks)Ribbon Communicationstelecommunicationsinvestor protection violation2018SEC$1,900,000
Massachusetts Financial Services CompanySun Life Financialfinancial servicesinvestor protection violation2018SEC$1,900,000
Banco Espirito Santo, S.A. investor protection violation2011NJ-AG$1,900,000
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2009MULTI-FIN$1,900,000
CohnReznick LLP accounting fraud or deficiencies2022SEC$1,900,000
BGC Derivative Markets, L.P. investor protection violation2022CFTC$1,900,000
YieldStreet Inc. investor protection violation2023SEC$1,900,000
Moors & Cabot, Inc. investor protection violation2023SEC$1,899,456
RLGMAN Corp. and STABLE, LLC investor protection violation2012AZ-CC$1,897,393
Foresight Wealth Management, LLC investor protection violation2023SEC$1,893,486
Banco Comercial Portugues, S.A. investor protection violation2013SEC$1,892,058
FTN Financial Securities Corp. investor protection violation2011SEC$1,873,636
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.