Basic Search  |  Summaries  |  Advanced Search

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.

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
Bittrex, Inc. economic sanction violation2022OFAC$24,280,829
Crowd Machine, Inc. and Metavine, Inc. investor protection violation2024SEC$24,234,548
Dreyfus Sons & Co Ltd, Banquiers tax violations2015DOJ_TAX$24,161,000
AK Equity Group LLC and Xapphire LLC investor protection violation2023CFTC$24,080,325
BNY Mellon Securities LLCBank of New York Mellonfinancial servicesinvestor protection violation2011SEC$24,045,447
Queen Shoals, LLC, Queen Shoals II, LLC, and Select Fund, LLC investor protection violation2011CFTC$24,000,000
Arab Bank PLC anti-money-laundering deficiencies2005OCC$24,000,000
Block.one investor protection violation2019SEC$24,000,000
Bittrex Inc. et al. investor protection violation2023SEC$24,000,000
Bittrex Inc. investor protection violation2023SEC$24,000,000
BofA Securities, Inc.Bank of Americafinancial servicesinvestor protection violation2023FINRA$24,000,000
Maerki Baumann & Co. AG tax violations2015DOJ_TAX$23,920,000
Executive Commodity Corp. investor protection violation2008CFTC$23,910,000
Liechtensteinische Landesbank AG tax violations2013USAO$23,800,000
Silver Star FX LLC dba Silver Star Live and Silver Star Live Software LLC investor protection violation2021CFTC$23,506,392
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2017NY-AG$23,500,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2007NY-AG$23,300,000
Summitcrest Capital, Inc. investor protection violation2023SEC$23,181,761
Phaetra Capital GP LLC, Phaetra Capital Management LP, and Argenta Group LLC investor protection violation2018CFTC$23,117,551
Commercial Express, LLC and Progressive Financial, Inc. investor protection violation2002SEC$23,032,869
Complete Developments, LLC and Investment International Inc. investor protection violation2013CFTC$23,000,000
Time Warner Inc. et al. accounting fraud or deficiencies2006PA-AG$23,000,000
Fabio Bretas de Freitas and Phy Capital Investments LLC investor protection violation2019CFTC$22,986,190
Voya Financial Advisors, Inc.Voya Financialfinancial servicesinvestor protection violation2020SEC$22,919,155
Zilmil, Inc. investor protection violation2019CFTC$22,854,289
Trader's International Return Network investor protection violation2013CFTC$22,800,000
eAdGear Inc. accounting fraud or deficiencies2016SEC$22,640,000
Calvert Investment Distributors, Inc. and Calvert Investment Management, Inc. investor protection violation2017SEC$22,614,534
Citadel Securities LLC investor protection violation2017SEC$22,600,000
Dinar Corp., Inc. and My Monex, Inc. investor protection violation2020CFTC$22,600,000
Century Maxim Fund and AJR Capital investor protection violation2007CFTC$22,500,000
Morgan StanleyMorgan Stanleyfinancial servicestoxic securities abuses2016IL-AG$22,500,000
Goldman SachsGoldman Sachsfinancial 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. $22,500,000
Nexo Capital, Inc. investor protection violation2023MULTI-FIN$22,500,000
Nexo Capital Inc. investor protection violation2023SEC$22,500,000
KuCoin securities issuance or trading violation2023NY-AG$22,066,642
Citigroup Inc.Citigroupfinancial servicesbanking violation2012FED$22,000,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2012SEC$22,000,000
Risk Capital Trading Group, Inc investor protection violation2006CFTC$22,000,000
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2005SEC$22,000,000
Rahn + Bodmer Co. tax violations2021USAO$22,000,000
Commodity Investment Group Inc., International Commodity Clearing LLC and National Commodities Corporation Inc. investor protection violation2007CFTC$21,819,785
Union Bank of California, N.A.U.S. Bancorpfinancial servicesanti-money-laundering deficiencies2007DOJ_CRIMINAL$21,600,000
Banco Popular de Puerto RicoPopular Inc.financial servicesanti-money-laundering deficiencies2003DOJ_CRIMINAL$21,600,000
Level Global Investors LP investor protection violation2013SEC$21,514,274
Taberna Capital Management investor protection violation2015SEC$21,500,000
SmartWear Technologies, Inc. investor protection violation2012CA-DFPI$21,420,639
BISYS Fund Services, Inc. investor protection violation2006SEC$21,400,000
Tyche Asset Management LLC et al. investor protection violation2023CFTC$21,308,692
SunTrust Mortgage Inc.Truist Financialfinancial servicesbanking violation2012DOJ_RIGHTS$21,000,000
D.H. Blair & Co. accounting fraud or deficiencies2002NY-MANDA$21,000,000
Genesis Global Capital, LLC investor protection violation2024SEC$21,000,000
CSK Auto CorporationO'Reilly Automotiveretailingaccounting fraud or deficiencies2011DOJ_CRIMINAL$20,900,000
Trigon Group, Inc. investor protection violation2012CFTC$20,600,000
Chemical Trust, U.S. Guarantee Corp., and United Marketing Trust investor protection violation2000SEC$20,590,000
CitigroupCitigroupfinancial servicestoxic securities abuses2011NCUA$20,500,000
Prime Group Holdings LLC investor protection violation2023SEC$20,500,000
Synergy Oil, LLC investor protection violation2014CA-DFPI$20,400,047
National Bank of Pakistan anti-money-laundering deficiencies2022FED$20,400,000
UniCredit Bank Austria AGUniCreditfinancial 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. $20,326,340
ITG Inc. investor protection violation2015SEC$20,300,000
First Capitol Futures Group investor protection violation2010CFTC$20,300,000
Renaissance Management, LLC et al. investor protection violation2016CA-DFPI$20,275,000
Oppenheimer & Co., Inc.Oppenheimer Holdingsfinancial servicesanti-money-laundering deficiencies2015FINCEN$20,000,000
Edward D. Jones & Co. LPJones Financialfinancial servicesinvestor protection violation2015SEC$20,000,000
JPMorgan Chase BankJPMorgan Chasefinancial servicesaccounting fraud or deficiencies2012CFTC$20,000,000
Guggenheim Partners Investment Management LLCGuggenheim Partnersfinancial servicesinvestor protection violation2015SEC$20,000,000
CVS Caremark Corp.CVS Healthretailingaccounting fraud or deficiencies2014SEC$20,000,000
Scientific-Atlanta, Inc.Cisco Systemselectrical and electronic equipmentaccounting fraud or deficiencies2006SEC$20,000,000
New York Stock Exchange, Inc.IntercontinentalExchange Groupfinancial servicesinvestor protection violation2005SEC$20,000,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2005SEC$20,000,000
Franklin Advisers, Inc. and Franklin Templeton Distributors, Inc.Franklin Resourcesfinancial servicesinvestor protection violation2004SEC$20,000,000
Bank of America CorporationBank of Americafinancial servicesinvestor protection violation2014SEC$20,000,000
Tesla Inc.Tesla Inc.motor vehiclesinvestor protection violation2018SEC$20,000,000
Clovis Oncology Inc.Clovis Oncologypharmaceuticalsinvestor protection violation2018SEC$20,000,000
Carlyle GroupCarlyle Groupprivate equity (including portfolio companies)investor protection violation2009NY-AG$20,000,000
CitigroupCitigroupfinancial servicestoxic securities abuses2008MA-AG$20,000,000
OppenheimerFunds Inc.Invescofinancial servicesinvestor protection violation2009OR-AG$20,000,000
Royal Bank of ScotlandNatWest Group PLCfinancial servicestoxic securities abuses2018IL-AG$20,000,000
The Hartford Financial Services GroupHartford Financial Servicesfinancial servicesinvestor protection violation2006MULTI-AG$20,000,000
Herbalife Nutrition Ltd.Herbalifefood productsaccounting fraud or deficiencies2019SEC$20,000,000
UniCredit Bank Austria AGUniCreditfinancial serviceseconomic sanction violation2019NY-MANDA$20,000,000
ABN AMROABN AMROfinancial serviceseconomic sanction violation2005NY-DFS$20,000,000
Wells Fargo & Co.Wells Fargofinancial servicesinvestor protection violation2020MD-AG$20,000,000
Andeavor LLCMarathon Petroleumoil and gasaccounting fraud or deficiencies2020SEC$20,000,000
Deloitte Touche Tohmatsu Certified Public Accountants LLP (Deloitte-China)Deloittebusiness servicesaccounting fraud or deficiencies2022SEC$20,000,000
Interactive Brokers Corp. and Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2023CFTC$20,000,000
Deloitte & ToucheDeloittebusiness servicesinvestor protection violation2012MI-AG$19,900,000
Pacific Investment Management Company (PIMCO) investor protection violation2016SEC$19,829,807
John Hancock Investment Management Services, LLCManulife Financialfinancial servicesinvestor protection violation2007SEC$19,787,879
American Financial Investments, LLC investor protection violation2022AZ-CC$19,724,875
Harrington Advisory Services SL, Richmond Royce Advisory Services SLU, and Stratford Advisory Services investor protection violation2006CFTC$19,555,041
UBS AGUBSfinancial servicesinvestor protection violation2015SEC$19,500,000
Countrywide Securities Corporation and Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicestoxic securities abuses2016VA-AG$19,500,000
Williams Advisory Group, LLC investor protection violation2018CFTC$19,450,034
Western Asset Management CompanyFranklin Resourcesfinancial servicesinvestor protection violation2014SEC$19,400,000
DFRF Enterprises LLC and DFRF Enterprises, LLC investor protection violation2019SEC$19,390,352
Deutsche Investment Management Americas, Inc. et al.Deutsche Bankfinancial servicesinvestor protection violation2006SEC$19,329,729
CRW Management LP investor protection violation2011CFTC$19,000,000
Citigroup, Inc.Citigroupfinancial servicesaccounting fraud or deficiencies2003SEC$19,000,000
QwestLumen Technologiestelecommunicationsaccounting fraud or deficiencies2007AK-AG$19,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.