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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
Andersen, LLP accounting fraud or deficiencies2002AZ-AG$217,000,000
Agricultural Bank of ChinaAgricultural Bank of Chinafinancial servicesanti-money-laundering deficiencies2016NY-DFS$215,000,000
BSI SA tax violations2015DOJ_TAX$211,000,000
America OnlineApollo Global Managementprivate equity (including portfolio companies)accounting fraud or deficiencies2004DOJ_CRIMINAL$210,000,000
Ivy Asset Management, LLC investor protection violation2012NY-AG$210,000,000
U.S. BankU.S. Bancorpfinancial servicesbanking violation2013OCC$208,156,501
Citigroup, Inc.Citigroupfinancial servicesinvestor protection violation2005SEC$208,000,000
Deutsche Bank AGDeutsche Bankfinancial servicesinvestor protection violation2006NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $208,000,000
Ally Financial Inc.Ally Financialfinancial servicesbanking violation2012FED$207,000,000
BANK OF AMERICA CORPORATIONBank of Americafinancial servicesbanking violation2015FED$205,000,000
Blue Moon Investments Inc. investor protection violation2024CFTC$204,622,580
Deutsche Bank AGDeutsche Bankfinancial servicestoxic securities abuses2012USAO$202,300,000
COMMERZBANK AGCommerzbankfinancial servicesbanking violation2015FED$200,000,000
JPMORGAN CHASE & CO.JPMorgan Chasefinancial servicesbanking violation2013FED$200,000,000
JPMorgan & Co.JPMorgan Chasefinancial servicesaccounting fraud or deficiencies2013SEC$200,000,000
Morgan Keegan & CompanyRaymond James Financialfinancial servicestoxic securities abuses2011SEC$200,000,000
UBS AGUBSfinancial servicestax violations2009SEC$200,000,000
Credit Suisse First Boston LLCUBSfinancial servicesinvestor protection violation2003SEC$200,000,000
Merrill Lynch, Pierce, Fenner & Smith, IncorporatedBank of Americafinancial servicesinvestor protection violation2003SEC$200,000,000
Credit Suisse First Boston Corp.UBSfinancial servicesinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $200,000,000
WellCare Health Plans Inc.Centenehealthcare servicesinvestor protection violation2010MULTI-AG$200,000,000
Deutsche BankDeutsche Bankfinancial serviceseconomic sanction violation2015NY-DFS$200,000,000
General Electric Co.General Electricdiversifiedaccounting fraud or deficiencies2020SEC$200,000,000
Boeing CompanyBoeingaerospace and military contractinginvestor protection violation2022SEC$200,000,000
Credit Suisse Group AGUBSfinancial servicesinvestor protection violation2014SEC$196,000,000
Mizrahi-Tefahot Bank Ltd. tax violations2019USAO$195,000,000
HSBC Private Bank (Suisse) SAHSBCfinancial servicestax violations2019USAO$192,350,000
Computer Sciences CorporationDXC Technologyinformation technologyaccounting fraud or deficiencies2015SEC$190,000,000
Radical Bunny, L.L.C. investor protection violation2013AZ-CC$189,800,867
HSBC Holdings plcHSBCfinancial serviceseconomic sanction violation2012NY-MANDA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $187,500,000
Union Bancaire PriveeUnion Bancaire Priveefinancial servicestax violations2016DOJ_TAX$187,000,000
Charles Schwab & Co., Inc. et al.Charles Schwab Corp.financial servicesinvestor protection violation2022SEC$187,000,000
Deutsche Bank AGDeutsche Bankfinancial servicesanti-money-laundering deficiencies2023FED$186,000,000
CKB168 Holdings Ltd. Et al. investor protection violation2022SEC$182,624,545
PNC Bank N.A.PNC Financial Servicesfinancial servicesbanking violation2013OCC$180,526,382
Citigroup Global Markets Inc. and Citigroup Alternative Investments LLCCitigroupfinancial servicesinvestor protection violation2015SEC$180,000,000
Mega International Commercial Bank anti-money-laundering deficiencies2016NY-DFS$180,000,000
Standard Chartered BankStandard Charteredfinancial serviceseconomic sanction violation2019NY-DFS$180,000,000
Luckin Coffee Inc. accounting fraud or deficiencies2020SEC$180,000,000
Bank of America CorporationBank of Americafinancial servicesbanking violation2012FED$175,500,000
Lloyds TSB Bank PLCLloyds Banking Groupfinancial serviceseconomic sanction violation2009DOJ_CRIMINAL$175,000,000
HSBC HoldingsHSBCfinancial servicesbanking violation2017FED$175,000,000
Lloyds TSB Bank plcLloyds Banking Groupfinancial serviceseconomic sanction violation2009NY-MANDA$175,000,000
Commerzbank AGCommerzbankfinancial serviceseconomic sanction violation2015NY-MANDA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $171,000,000
BlueCrest Capital Management Limited investor protection violation2020SEC$170,000,000
Wachovia Bank, National AssociationWells Fargofinancial servicesbanking violation2008OCC$168,900,000
Bank of New York MellonBank of New York Mellonfinancial servicesbanking violation2015NY-AG$167,500,000
HSBC HOLDINGS PLCHSBCfinancial servicesbanking violation2012FED$165,000,000
Bank of AmericaBank of Americafinancial servicestoxic securities abuses2013NCUA$165,000,000
Standard Chartered plcStandard Charteredfinancial servicesbanking violation2019FED$164,000,000
Societe GeneraleSociete Generalefinancial serviceseconomic sanction violation2018NY-MANDA$162,800,000
Broadcom Corp.Broadcomelectrical and electronic equipmentinvestor protection violation2009NM-AG$160,500,000
SunTrust Banks, Inc.Truist Financialfinancial servicesbanking violation2014FED$160,000,000
UniCredit, S.p.A.UniCreditfinancial servicesbanking violation2019FED$158,000,000
Credit Agricole Corporate and Investment Bank (CACIB)Credit Agricolefinancial serviceseconomic sanction violation2015USAO$156,000,000
Credit Agricole Corporate and Investment BankCredit Agricolefinancial serviceseconomic sanction violation2015NY-MANDA$156,000,000
Goldman Sachs Group, Inc.Goldman Sachsfinancial servicesbanking violation2020FED$154,000,000
RBS Securities Inc.NatWest Group PLCfinancial servicestoxic securities abuses2013SEC$153,700,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicestoxic securities abuses2011SEC$153,600,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2024USAO$153,431,223
Clearstream Banking SADeutsche Borsefinancial serviceseconomic sanction violation2014OFAC$152,000,000
Bank of AmericaBank of Americafinancial servicesinvestor protection violation2010SEC$150,000,000
Bristol-Myers Squibb CompanyBristol-Myers Squibbpharmaceuticalsaccounting fraud or deficiencies2004SEC$150,000,000
JPMorgan ChaseJPMorgan Chasefinancial servicesinvestor protection violation2015MULTI-AG$150,000,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2019CA-AG$150,000,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $150,000,000
UBS Securities LLC and UBS Financial Services Inc.UBSfinancial 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. $150,000,000
Deutsche Bank AG and Deutsche Bank Trust Co. AmericaDeutsche Bankfinancial servicesbanking violation2020NY-DFS$150,000,000
Goldman Sachs GroupGoldman Sachsfinancial servicesinvestor protection violation2020NY-DFS$150,000,000
Barclays plcBarclaysfinancial serviceseconomic sanction violation2010NY-MANDA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $149,000,000
Millennium Partners, L.P., Millennium Management, L.L.C., Millennium International Management investor protection violation2005SEC$148,000,000
Argent Asset Group LLC and First State Depository Company, LLC investor protection violation2023CFTC$145,700,000
Deutsche Bank SecuritiesDeutsche Bankfinancial servicestoxic securities abuses2011NCUA$145,000,000
Pershing Square Capital Management investor protection violation2017MULTI-AG$145,000,000
Valeant Pharmaceuticals International, Inc.Bausch Healthpharmaceuticalsinvestor protection violation2017MULTI-AG$145,000,000
Banamex USACitigroupfinancial servicesbanking violation2015FDIC$140,000,000
Columbia Management Advisors Inc. and Columbia Funds Distributor Inc.Ameriprise Financialfinancial servicesinvestor protection violation2005SEC$140,000,000
FleetBoston Financial CorporationBank of Americafinancial servicesinvestor protection violation2004SEC$140,000,000
Weatherford InternationalWeatherford Internationaloilfield services and suppliesaccounting fraud or deficiencies2016SEC$140,000,000
SCANA Corp.Dominion Energyutilities and power generationinvestor protection violation2020SEC$137,500,000
JPMorgan Chase Bank N.A.JPMorgan Chasefinancial servicesinvestor protection violation2018SEC$135,100,000
J.P. Morgan Chase & Co.JPMorgan Chasefinancial servicesaccounting fraud or deficiencies2003SEC$135,000,000
Standard Chartered BankStandard Charteredfinancial serviceseconomic sanction violation2012OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $132,000,000
Merrill LynchBank of Americafinancial servicestoxic securities abuses2013SEC$131,800,000
HSBC North America Holdings, Inc.HSBCfinancial servicesbanking violation2016FED$131,000,000
Bank LeumiBank Leumifinancial servicestax violations2014NY-DFS$130,000,000
Royal Bank of Scotland plcNatWest Group PLCfinancial servicestoxic securities abuses2015NCUA$129,600,000
Mizuho Financial GroupMizuho Financialfinancial servicesinvestor protection violation2012SEC$127,500,000
Canadian Imperial Bank of CommerceCanadian Imperial Bank of Commercefinancial servicesinvestor protection violation2005SEC$125,000,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2003SEC$125,000,000
MoneyGram International Inc.Madison Dearborn Partnersprivate equity (including portfolio companies)anti-money-laundering deficiencies2018DOJ_CRIMINAL$125,000,000
AIM AdvisorsInvescofinancial servicesinvestor protection violation2004MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $125,000,000
Canadian Imperial Bank of CommerceCanadian Imperial Bank of Commercefinancial servicesinvestor 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. $125,000,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $125,000,000
Royal Bank of ScotlandNatWest Group PLCfinancial servicestoxic securities abuses2017CA-AG$125,000,000
Merrill LynchBank 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. $125,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2021SEC$125,000,000
Nikola CorporationNikola Corporationmotor vehiclesinvestor protection violation2021SEC$125,000,000
Bank of America NABank of Americafinancial servicesbanking violation2022OCC$125,000,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2022SEC$125,000,000
BofA Securities Inc. and Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2022SEC$125,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.