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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 TypeYearAgency sort iconPenalty Amount
Apple Nine Advisors Inc. accounting fraud or deficiencies2014SEC$250,000
Onyx Capital Advisors investor protection violation2014SEC$9,100,000
Western Asset Management CompanyFranklin Resourcesfinancial servicesinvestor protection violation2014SEC$19,400,000
KPMGKPMGbusiness servicesaccounting fraud or deficiencies2014SEC$8,200,000
Diamond FoodsCampbell Soupfood productsaccounting fraud or deficiencies2014SEC$5,000,000
Instinet LLC investor protection violation2013SEC$813,280
ConvergEx GroupToronto-Dominion Bankfinancial servicesinvestor protection violation2013SEC$107,424,429
GLG Partners L.P. accounting fraud or deficiencies2013SEC$8,954,346
Sherb & Co. LLP accounting fraud or deficiencies2013SEC$75,000
Greater Wenatchee Regional Events Center Public Facilities District investor protection violation2013SEC$20,000
Milan Group Inc. investor protection violation2013SEC$4,141,148
Further Lane Asset Management investor protection violation2013SEC$150,000
Knelman Asset Management Group investor protection violation2013SEC$60,000
GW & Wade investor protection violation2013SEC$250,000
Modern Portfolio Management Inc. investor protection violation2013SEC$175,000
Equitas Capital Advisers LLC investor protection violation2013SEC$225,000
Petro-Suisse Ltd. investor protection violation2013SEC$8,370,000
Patrizio & Zhao LLC accounting fraud or deficiencies2013SEC$30,000
Universal Travel Group accounting fraud or deficiencies2013SEC$750,000
TD BankToronto-Dominion Bankfinancial servicesinvestor protection violation2013SEC$15,000,000
Medifast Inc.Medifast Inc.miscellaneous servicesaccounting fraud or deficiencies2013SEC$200,000
City Securities Corporation investor protection violation2013SEC$580,000
Fuqi International Inc. accounting fraud or deficiencies2013SEC$1,000,000
RevlonMacAndrews & Forbesdiversifiedinvestor protection violation2013SEC$850,000
China Natural Gas Inc. accounting fraud or deficiencies2013SEC$815,000
PACCARPaccarmotor vehiclesaccounting fraud or deficiencies2013SEC$225,000
MedLink International Inc. accounting fraud or deficiencies2013SEC$8,084,515
Capital Solutions Distributors, LLC and Capital Solutions Management, LP accounting fraud or deficiencies2013SEC$4,997,077
211 Ventures LLC investor protection violation2013SEC$2,300,000
J.C. Reed & Co. investor protection violation2013SEC$14,910,003
Ranieri Partners investor protection violation2013SEC$375,000
Keyuan Petrochemicals accounting fraud or deficiencies2013SEC$1,000,000
Fiduciary Asset Management LLC investor protection violation2012SEC$2,859,858
Deloitte & Touche South AfricaDeloittebusiness servicesaccounting fraud or deficiencies2012SEC$247,043
eBX LLC investor protection violation2012SEC$800,000
Advanced Equities Inc investor protection violation2012SEC$1,000,000
ICP Asset Management investor protection violation2012SEC$18,275,033
Worldwide Energy and Manufacturing USA Inc. investor protection violation2012SEC$100,000
Focus Point Solutions and The H Group investor protection violation2012SEC$1,100,000
Huron Consulting Group Inc.Huron Consulting Groupmiscellaneous servicesaccounting fraud or deficiencies2012SEC$1,000,000
AMMB Consultant Sendirian Berhad investor protection violation2012SEC$1,550,000
New Futures Trading International Corporation investor protection violation2012SEC$1,433,889
Martin Currie investor protection violation2012SEC$8,300,000
Banco Espirito Santo S.A. investor protection violation2011SEC$7,000,000
Long Term-Short Term Inc., d/b/a BetterTrades investor protection violation2011SEC$750,000
Wall Street Capital Funding LLC investor protection violation2011SEC$300,000
Locke Capital Management Inc. investor protection violation2011SEC$3,673,996
LaBarge Inc. accounting fraud or deficiencies2011SEC$200,000
Thor Industries Inc.Thor Industriesmotor vehiclesaccounting fraud or deficiencies2011SEC$1,000,000
Satyam Computer Services LimitedTech Mahindramiscellaneous servicesaccounting fraud or deficiencies2011SEC$10,000,000
PricewaterhouseCoopersPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2011SEC$6,000,000
Aerokinetic Energy Corporation investor protection violation2011SEC$859,571
LandOak Securities LLC investor protection violation2011SEC$992,140
Navigators International Management Co., Ltd. investor protection violation2011SEC$45,000
KPMG AustraliaKPMGbusiness servicesaccounting fraud or deficiencies2011SEC$2,742,000
AXA RosenbergAXAfinancial servicesinvestor protection violation2011SEC$242,000,000
Deerfield Capital Corp. accounting fraud or deficiencies2011SEC$1,277,070
Merrill LynchBank of Americafinancial servicesinvestor protection violation2011SEC$10,000,000
NIC Inc.Tyler Technologiesinformation technologyaccounting fraud or deficiencies2011SEC$500,000
Hudson Highland Group accounting fraud or deficiencies2011SEC$200,000
Enzyme Environmental Solutions, Inc. investor protection violation2011SEC$371,135
Vitesse Semiconductor Corp.Microchip Technology Inc.electrical and electronic equipmentaccounting fraud or deficiencies2010SEC$3,000,000
BroCo Investments, Inc. accounting fraud or deficiencies2010SEC$627,633
Berkshire Resources, L.L.C. investor protection violation2010SEC$16,255,846
Prime Time Group Inc. investor protection violation2010SEC$325,000
Regions BankRegions Financialfinancial servicesinvestor protection violation2010SEC$1,000,001
U.S. Pension Trust Corp. and U.S. College Trust Corp.U.S. Pension Trust Corp.financial servicesinvestor protection violation2010SEC$112,600,000
ASMAC Financial, Inc. investor protection violation2010SEC$133,995
K&L International Enterprises, Inc., Signature Leisure, Inc., and Signature Worldwide Advisors, LLC investor protection violation2010SEC$12,574,582
Thompson Consulting Inc. investor protection violation2010SEC$400,000
Dell Inc.Dell Technologieselectrical and electronic equipmentaccounting fraud or deficiencies2010SEC$100,000,000
Diebold, Inc.Diebold Nixdorfmiscellaneous manufacturingaccounting fraud or deficiencies2010SEC$25,000,000
CFO-5 LLC investor protection violation2010SEC$3,197,222
Presstek Inc. investor protection violation2010SEC$400,000
Wealth Management LLC investor protection violation2010SEC$1,471,002
Assurant Inc.Assurantfinancial servicesaccounting fraud or deficiencies2010SEC$3,500,000
General Re CorporationBerkshire Hathawaydiversifiedaccounting fraud or deficiencies2010SEC$12,200,000
Health Net Inc.Centenehealthcare servicesinvestor protection violation2016SEC$340,000
Ernst & Young LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2009SEC$8,500,000
GMC Holding Corporation investor protection violation2009SEC$2,090,000
SafeNet, Inc. accounting fraud or deficiencies2009SEC$1,000,000
Value Line Inc. investor protection violation2009SEC$43,705,765
Thompson Price Holding Inc. investor protection violation2009SEC$288,815
Lion Gate Capital, Inc. investor protection violation2009SEC$150,000
VeriFone Holdings, Inc.Francisco Partnersprivate equity (including portfolio companies)accounting fraud or deficiencies2009SEC$25,000
Terex CorporationTerexheavy equipmentaccounting fraud or deficiencies2009SEC$8,000,000
General Electric CompanyGeneral Electricdiversifiedaccounting fraud or deficiencies2009SEC$50,000,000
Bank of America CorporationBank of Americafinancial servicesinvestor protection violation2009SEC$33,000,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2009SEC$500,000
Marshall Holdings International, Inc. investor protection violation2009SEC$8,974,033
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2009SEC$17,300,000
Colonial Fund LLC and Colonial Investment Management LLC investor protection violation2009SEC$1,400,000
Monster Worldwide, Inc.Randstadbusiness servicesaccounting fraud or deficiencies2009SEC$2,500,000
Take-Two Interactive Software, Inc.Take-Two Interactive Software Inc.entertainmentaccounting fraud or deficiencies2009SEC$3,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2009SEC$7,000,000
M.A.G. Capital LLC investor protection violation2009SEC$100,000
UBS AGUBSfinancial servicestax violations2009SEC$200,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2009SEC$1,000,000
Zurich Financial ServicesZurich Insurancefinancial servicesaccounting fraud or deficiencies2008SEC$25,000,000
AmSouth BankRegions Financialfinancial servicesinvestor protection violation2008SEC$11,400,000
Conversion Solutions Holding Corporation accounting fraud or deficiencies2008SEC$250,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.