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Violation Tracker Summary for Offense Group

Offense Group: financial offenses
Penalty Total since 2000: $287,268,054,805
Number of Penalty Records: 11,008
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$41,332,842,096155
UBS$27,709,494,893134
JPMorgan Chase$27,007,359,167119
Citigroup$19,742,743,935103
Deutsche Bank$15,634,467,27866
Goldman Sachs$13,126,412,84157
NatWest Group PLC$12,235,546,85725
Wells Fargo$10,735,220,989127
Morgan Stanley$9,877,862,956163
BNP Paribas$9,164,773,00010

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
AR Capital LLC investor protection violation2019SEC$53,000,000
Apollo Global ManagementApollo Global Managementprivate equity (including portfolio companies)investor protection violation2016SEC$52,700,000
Ally Financial Inc.Ally Financialfinancial servicestoxic securities abuses2016USAO$52,000,000
RBS Financial Products Inc.NatWest Group PLCfinancial servicestoxic securities abuses2011MA-AG$52,000,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesbanking violation2014OCC$51,900,000
America Modern Green Senior (Houston) LLC, America Modern Green Community (Houston) LLC, and America Modern Green Residential (Houston) LLC investor protection violation2018SEC$51,400,000
Industrial Bank of KoreaIndustrial Bank of Koreafinancial servicesanti-money-laundering deficiencies2020USAO$51,000,000
Credit SuisseUBSfinancial servicestoxic securities abuses2016NCUA$50,300,000
Golden California Regional Center, LLC investor protection violation2019SEC$50,295,232
Wachovia Bank N.A.Wells Fargofinancial servicesbanking violation2010OCC$50,000,000
THE ROYAL BANK OF SCOTLAND GROUP PLCNatWest Group PLCfinancial servicesbanking violation2013FED$50,000,000
JPMorgan Chase Bank N.A.JPMorgan Chasefinancial servicesbankruptcy professional violation2015DOJ_UTP$50,000,000
UBS SecuritiesUBSfinancial servicestoxic securities abuses2013SEC$50,000,000
BDO USA, LLPBDO Internationalbusiness servicestax violations2012USAO$50,000,000
General Electric CompanyGeneral Electricdiversifiedaccounting fraud or deficiencies2009SEC$50,000,000
Federal Home Loan Mortgage Corporation (Freddie Mac)Freddie Mac (Federal Home Loan Mortgage Corporation)financial servicesinvestor protection violation2007SEC$50,000,000
MBIA Inc.MBIAfinancial servicesaccounting fraud or deficiencies2007SEC$50,000,000
Tyco International Ltd.Johnson Controlsautomotive partsaccounting fraud or deficiencies2006SEC$50,000,000
McAfee, Inc.Advent Internationalprivate equity (including portfolio companies)accounting fraud or deficiencies2006SEC$50,000,000
Deloitte & Touche LLPDeloittebusiness servicesaccounting fraud or deficiencies2005SEC$50,000,000
AIM Advisors, Inc. and AIM Distributors, Inc.Invescofinancial servicesinvestor protection violation2004SEC$50,000,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLCAllianzfinancial servicesinvestor protection violation2004SEC$50,000,000
Franklin Advisers, Inc.Franklin Resourcesfinancial servicesinvestor protection violation2004SEC$50,000,000
Banc One Investment Advisors CorporationJPMorgan Chasefinancial servicesinvestor protection violation2004SEC$50,000,000
Massachusetts Financial Services CompanySun Life Financialfinancial servicesinvestor protection violation2004SEC$50,000,000
Vivendi Universal, S.A.Comcasttelecommunicationsaccounting fraud or deficiencies2003SEC$50,000,000
Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2003SEC$50,000,000
Societe Generale S.A.Societe Generalefinancial servicestoxic securities abuses2017USAO$50,000,000
Wachovia Bank N.A.Wells Fargofinancial servicesanti-money-laundering deficiencies2010USAO$50,000,000
Rabobank, National AssociationRabobankfinancial servicesanti-money-laundering deficiencies2018OCC$50,000,000
Waddell & Reed, Inc.Macquariefinancial servicesinvestor protection violation2006SEC$50,000,000
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2019SEC$50,000,000
Beazer Homes USA Inc.Beazer Homes USAconstruction and engineeringaccounting fraud or deficiencies2009USAO(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000
Royal Bank of ScotlandNatWest Group PLCfinancial serviceseconomic sanction violation2013NY-DFS$50,000,000
Goldman SachsGoldman Sachsfinancial servicesinvestor protection violation2015NY-DFS$50,000,000
Bank of AmericaBank of Americafinancial servicesinvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000
Wachovia Securities LLCWells Fargofinancial servicesinvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000
The Bank of Nova ScotiaScotiabankfinancial servicesinvestor protection violation2020CFTC$50,000,000
Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2003FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000
Credit Suisse First Boston CorporationUBSfinancial servicesinvestor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000
HDR Global Trading Limited et al. investor protection violation2021CFTC$50,000,000
BlockFi Lending LLC investor protection violation2022MULTI-AG$50,000,000
BlockFi Lending LLC investor protection violation2022SEC$50,000,000
Grand River Enterprises Six Nations, Ltd. and Native Wholesale Supply Company, Inc. tax violations2022NY-AG$50,000,000
Equitable Financial Life Insurance CompanyEquitable Holdingsfinancial servicesinvestor protection violation2022SEC$50,000,000
Nomura SecuritiesNomurafinancial servicesinvestor protection violation2022CFTC$50,000,000
Jefferies LLCJefferies Financial Groupdiversifiedinvestor protection violation2022SEC$50,000,000
Nomura Securities International, Inc.Nomurafinancial servicesinvestor protection violation2022SEC$50,000,000
Centurion Asset Management, Inc. investor protection violation2011CFTC$49,700,000
HSZH Verwaltungs AG tax violations2016DOJ_TAX$49,000,000
Volkswagen AGVolkswagenmotor vehiclesinvestor protection violation2024SEC$48,750,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasefinancial servicesbanking violation2016OCC$48,000,000
Las Vegas Sands Corp.Las Vegas Sands Corp.entertainmentanti-money-laundering deficiencies2013USAO$47,400,300
Forward Investment Group, LLC investor protection violation2011CFTC$46,900,000
Regions BankRegions Financialfinancial servicesbanking violation2014FED$46,000,000
American International Group, Inc.American International Groupfinancial servicesinvestor protection violation2004SEC$46,000,000
Stratcomm Media Ltd. investor protection violation2003SEC$45,400,000
Spear, Leeds & Kellogg Specialists LLCGoldman Sachsfinancial servicesinvestor protection violation2004SEC$45,272,478
Edmond de Rothschild (Suisse) SA and Edmond de Rothschild (Lugano) SA tax violations2015DOJ_TAX$45,245,000
ConAgra Foods, Inc.ConAgra Brandsfood productsaccounting fraud or deficiencies2007SEC$45,000,000
Salomon Smith Barney Inc.Morgan Stanleyfinancial servicesinvestor protection violation2000SEC$45,000,000
Fred Alger Management, Inc.Alger Associatesfinancial servicesinvestor protection violation2007NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $45,000,000
Merrill Lynch & Co.Bank of Americafinancial servicesinvestor protection violation2013NJ-AG$45,000,000
Bausch HealthBausch Healthpharmaceuticalsaccounting fraud or deficiencies2020SEC$45,000,000
HSBC Bank USA, N.A.HSBCfinancial servicesinvestor protection violation2023CFTC$45,000,000
Winsome Investment Trust and US Ventures investor protection violation2014CFTC$44,000,000
RBS Securities Inc.NatWest Group PLCfinancial servicestoxic securities abuses2017USAO$44,000,000
Value Line Inc. investor protection violation2009SEC$43,705,765
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinafinancial servicesinvestor protection violation2019SEC$42,700,000
Super Absorbent Co., Synchronized Funding, LLC investor protection violation2010CA-DFPI$42,650,000
Hon Hai Precision Industry Company Ltd. And E-Star Inc.Foxconn Technology Group (Hon Hai Precision Industry Company)electrical and electronic equipmenttax violations2007USAO$42,000,000
Merrill Lynch, Pierce, Fenner & SmithBank of Americafinancial servicesinvestor protection violation2018SEC$42,000,000
Bank of America Merrill LynchBank of Americafinancial servicesinvestor protection violation2018NY-AG$42,000,000
RBS Financial ProductsNatWest Group PLCfinancial servicestoxic securities abuses2012NV-AG$42,000,000
Oriental New Investments, Ltd. and Orienstar Finance, Ltd. investor protection violation2008SEC$41,774,923
Shreveport Wireless Cable Television Partnership, Complete Communications Corporation, Champion Communications Corporation, B.R. Cable Communications investor protection violation2001SEC$41,727,403
Banque Cantonale Vaudoise tax violations2015DOJ_TAX$41,677,000
Trigon Group LLC investor protection violation2010CFTC$41,200,000
ChinaMedia Express Holdings investor protection violation2013SEC$41,144,082
Axcess Automation LLC and Axcess Fund Management LLC investor protection violation2012CFTC$41,000,000
Deutsche Bank AGDeutsche Bankfinancial servicesanti-money-laundering deficiencies2017FED$41,000,000
Aurora Loan Services, LLC toxic securities abuses2018USAO$41,000,000
Tether Holdings Limited et al. investor protection violation2021CFTC$41,000,000
Barki LLC investor protection violation2011CFTC$40,904,000
Tycoon Trading, LLC et al. investor protection violation2023AK-DBS$40,684,525
Putnam Investment Management, LLCFranklin Resourcesfinancial servicesinvestor protection violation2005SEC$40,000,001
Ernst & YoungErnst & Youngbusiness servicesbanking violation2004FDIC$40,000,000
ABN AMRO Bank, N.V.ABN AMROfinancial serviceseconomic sanction violation2006OFAC$40,000,000
Evergreen Investment Management Company LLCWells Fargofinancial servicesinvestor protection violation2009SEC$40,000,000
Fred Alger Management, Inc.Alger Associatesfinancial servicesinvestor protection violation2007SEC$40,000,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2005SEC$40,000,000
Morgan Stanley & Co.Morgan Stanleyfinancial servicesinvestor protection violation2005SEC$40,000,000
Harbert Management CorporationHarbert Managementdiversifiedtax violations2017NY-AG$40,000,000
Ritchie Capital Management, L.L.C. and Ritchie Capital Global Trading, Ltd., investor protection violation2008NY-AG$40,000,000
Fiat Chrysler Automobiles N.V.Stellantismotor vehiclesaccounting fraud or deficiencies2019SEC$40,000,000
G.B. Enterprises Inc. tax violations2004USAO$40,000,000
Mashreqbank PSC anti-money-laundering deficiencies2018NY-DFS$40,000,000
Ritchie Multi-Strategy Global Trading Ltd. and Ritchie Capital Management LLC investor protection violation2008SEC$39,900,000
VALIC Financial Advisors Inc.American International Groupfinancial servicesinvestor protection violation2020SEC$39,900,000
Trade, LLC investor protection violation2013CFTC$39,800,000
First Eagle Investment Management and FEF Distributors investor protection violation2015SEC$39,748,260
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.