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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
First Eagle Investment Management and FEF Distributors investor protection violation2015SEC$39,748,260
Sidley Austin LLPSidley Austinbusiness servicestax violations2007IRS$39,400,000
Blackstone GroupBlackstoneprivate equity (including portfolio companies)investor protection violation2015SEC$39,000,000
Akazoo S.A. investor protection violation2021SEC$38,800,000
Citibank N.A.Citigroupfinancial servicesinvestor protection violation2018SEC$38,700,000
Protege Financial & Insurance Service, Inc. et al. investor protection violation2014CA-DFPI$38,200,000
InovaTrade, Inc. investor protection violation2013CFTC$38,000,000
The Bank of New YorkBank of New York Mellonfinancial servicesanti-money-laundering deficiencies2005USAO$38,000,000
Monex Deposit Company et al. investor protection violation2022CFTC$38,000,000
BMO Harris Financial Advisors Inc. and BMO Asset Management Corp.Bank of Montrealfinancial servicesinvestor protection violation2019SEC$37,980,000
TD Bank, National AssociationToronto-Dominion Bankfinancial servicesbanking violation2013OCC$37,500,000
U.S. BankU.S. Bancorpfinancial servicesbanking violation2022CFPB$37,500,000
Navellier & Associates, Inc. investor protection violation2020SEC$37,478,190
Bio Defense Corp. investor protection violation2019SEC$37,475,717
Bank Hapoalim B.M,Bank Hapoalimfinancial servicestax violations2020FED$37,350,000
UniCredit S.p.A.UniCreditfinancial serviceseconomic sanction violation2019OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $37,316,322
EverbankTIAAfinancial servicesbanking violation2013OCC$37,000,000
Wachovia CorporationWells Fargofinancial servicesinvestor protection violation2004SEC$37,000,000
Symbol Technologies, Inc.Zebra Technologieselectrical and electronic equipmentaccounting fraud or deficiencies2004SEC$37,000,000
Deutsche Bank Securities, Inc.Deutsche Bankfinancial servicesinvestor protection violation2016NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $37,000,000
Goldman Sachs GroupGoldman Sachsfinancial servicesbanking violation2016FED$36,300,000
Veras Capital Master Fund, VEY Partners Master Fund and Veras Investment Partners, LLC investor protection violation2005SEC$36,200,488
Veras Capital Master Fund and VEY Partners Master Funds investor protection violation2005NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $36,200,488
Barclays Bank PLCBarclaysfinancial servicestoxic securities abuses2013MA-AG$36,100,000
G.B. Enterprises Inc. tax violations2004USAO$36,005,649
Hercules IncorporatedAshland Global Holdingschemicalstax violations2004IRS$36,000,000
IB Capital FX, LLC investor protection violation2016CFTC$35,420,000
State Street Bank and Trust CompanyState Street Corp.financial servicesinvestor protection violation2017SEC$35,300,000
Banca IMI Securities Corp.Intesa Sanpaolofinancial servicesinvestor protection violation2017SEC$35,300,000
FedEx Ground Package System, Inc.FedExfreight and logisticstax violations2019NY-AG$35,300,000
Advanta Bank Corporation banking violation2009FDIC$35,150,000
National City Bank and its successor PNC BankPNC Financial Servicesfinancial servicesbanking violation2013CFPB$35,000,000
HSBC Bank USA, National AssociationHSBCfinancial servicesbanking violation2016OCC$35,000,000
Citibank, N.A.Citigroupfinancial servicesbanking violation2015OCC$35,000,000
Capital One Bank (USA), National AssociationCapital One Financialfinancial servicesbanking violation2012OCC$35,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasefinancial servicesbanking violation2011OCC$35,000,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2016SEC$35,000,000
OppenheimerFunds Inc.Invescofinancial servicesinvestor protection violation2012SEC$35,000,000
Royal Bank of CanadaRoyal Bank of Canadafinancial servicesinvestor protection violation2014CFTC$35,000,000
F-Squared Investments investor protection violation2014SEC$35,000,000
AmeriFirst Management LLC investor protection violation2014CFTC$35,000,000
Wells Fargo BankWells Fargofinancial servicesbanking violation2016OCC$35,000,000
Nortel Networks Corporation accounting fraud or deficiencies2007SEC$35,000,000
Cardinal Health, Inc.Cardinal Healthwholesalersaccounting fraud or deficiencies2007SEC$35,000,000
Altaba Inc. investor protection violation2018SEC$35,000,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2016NY-AG$35,000,000
UBS Financial Services, Inc. and UBS Securities LLCUBSfinancial servicestoxic securities abuses2008MA-AG$35,000,000
Wells Fargo Clearing Services and Wells Fargo Advisors Financial NetworkWells Fargofinancial servicesinvestor protection violation2020SEC$35,000,000
International Investment Group, LLC investor protection violation2020SEC$35,000,000
Industrial Bank of KoreaIndustrial Bank of Koreafinancial servicesanti-money-laundering deficiencies2020NY-DFS$35,000,000
Morgan StanleyMorgan Stanleyfinancial 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. $35,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2020SEC$35,000,000
National Bank of Pakistan anti-money-laundering deficiencies2022NY-DFS$35,000,000
National Bank of Pakistan anti-money-laundering deficiencies2022NY-DFS$35,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2022SEC$35,000,000
Sparkster Ltd investor protection violation2022SEC$35,000,000
Activision Blizzard Inc.Microsoftinformation technologyinvestor protection violation2023SEC$35,000,000
Bank of MontrealBank of Montrealfinancial servicesinvestor protection violation2023CFTC$35,000,000
BNP Paribas Securities Corp.BNP Paribasfinancial servicesinvestor protection violation2023SEC$35,000,000
SG Americas Securities, LLCSociete Generalefinancial servicesinvestor protection violation2023SEC$35,000,000
Wells Fargo Clearing Services LLCWells Fargofinancial servicesinvestor protection violation2023SEC$35,000,000
Interactive Brokers Corp.Interactive Brokers Groupfinancial servicesinvestor protection violation2023SEC$35,000,000
WEX Bank and Higher One, Inc.WEX Inc.financial servicesbanking violation2015FDIC$34,980,000
Empires Consulting Corp. investor protection violation2023SEC$34,839,951
Wells Fargo Bank, National AssociationWells Fargofinancial servicesbanking violation2011OCC$34,500,000
Walgreens Boots Alliance Inc.Walgreens Boots Allianceretailinginvestor protection violation2018SEC$34,500,000
BDO USA, LLPBDO Internationalbusiness servicestax violations2012IRS$34,400,000
Navient Solutions, Inc.Navientfinancial servicesbanking violation2014FDIC$33,300,000
Beaulieu GroupEngineered Floorsbuilding materialstax violations2007USAO$33,184,364
Woodforest National BankWoodforest National Bankfinancial servicesbanking violation2010OCC$33,000,000
Royal Bank of Scotland PLCNatWest Group PLCfinancial serviceseconomic sanction violation2013OFAC$33,000,000
Bank of America CorporationBank of Americafinancial servicesinvestor protection violation2009SEC$33,000,000
Robertson Stephens Inc. investor protection violation2003SEC$33,000,000
INGVoya Financialfinancial servicesinvestor protection violation2006MULTI-AG$33,000,000
MUFG Bank Ltd.U.S. Bancorpfinancial servicesbanking violation2019NY-DFS$33,000,000
Hudson City Savings BankM&T Bankfinancial servicesbanking violation2015CFPB$32,750,000
Prudential Financial Inc.Prudential Financialfinancial servicesinvestor protection violation2019SEC$32,600,000
Evergreen Investment Management CompanyWells Fargofinancial servicesinvestor protection violation2007SEC$32,500,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2003SEC$32,500,000
HSBC Bank USA, National AssociationHSBCfinancial servicesbanking violation2017OCC$32,500,000
Deutsche BankDeutsche Bankfinancial servicesinvestor protection violation2012private lawsuit-federal$32,500,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2014FINRA$32,400,000
Circle Society, Corp. investor protection violation2021CFTC$32,141,375
Lehman Brothers, Inc. investor protection violation2014WA-AG$31,300,000
Deutsche Bank (Suisse) SADeutsche Bankfinancial servicestax violations2015DOJ_TAX$31,026,000
Executive Management Advisors L.L.C. investor protection violation2015CFTC$31,000,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2010MULTI-AG$31,000,000
RBC Capital Markets LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2011SEC$30,400,000
City National Rochdale, LLC investor protection violation2022SEC$30,361,803
Bank Hapoalim B.M.Bank Hapoalimfinancial servicesanti-money-laundering deficiencies2020DOJ_CRIMINAL$30,063,317
JPMorgan Chase Bank, National AssociationJPMorgan Chasefinancial servicesbanking violation2015OCC$30,000,000
Bank of America, National AssociationBank of Americafinancial servicesbanking violation2015OCC$30,000,000
ArthroCare CorporationSmith & Nephewmedical equipment and suppliesaccounting fraud or deficiencies2014DOJ_CRIMINAL$30,000,000
Kohlberg Kravis Roberts & Co.KKR & Co.private equity (including portfolio companies)investor protection violation2015SEC$30,000,000
W.P. Carey & Co.W.P. Carey Inc.real estateaccounting fraud or deficiencies2008SEC$30,000,000
Ameriprise Financial, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2005SEC$30,000,000
Deutsche Bank AG and Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2018CFTC$30,000,000
Credit Suisse SecuritiesUBSfinancial servicesinvestor protection violation2016NY-AG$30,000,000
Harbinger Capital Partners Offshore Manager LLC tax violations2018NY-AG$30,000,000
Riverstone Holdings LLCRiverstone Holdingsprivate equity (including portfolio companies)investor protection violation2009NY-AG$30,000,000
RS Investment Management L.P. investor protection violation2004NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $30,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.