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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
Conversion Solutions Holding Corporation accounting fraud or deficiencies2008SEC$250,000
United Rentals, IncUnited Rentalsmiscellaneous servicesaccounting fraud or deficiencies2008SEC$14,000,000
Scottrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2008SEC$950,000
Analog Devices, Inc.Analog Devices Inc.electrical and electronic equipmentaccounting fraud or deficiencies2008SEC$3,000,000
Marvell Technology Group, Ltd.Marvell Technologyelectrical and electronic equipmentaccounting fraud or deficiencies2008SEC$10,000,000
Banc of America Investment Services, Inc.Bank of Americafinancial servicesinvestor protection violation2008SEC$9,763,634
McCann-Erickson WorldwideInterpublicmiscellaneous servicesaccounting fraud or deficiencies2008SEC$12,000,000
Broadcom Corp.Broadcomelectrical and electronic equipmentinvestor protection violation2008SEC$12,000,000
Biovail CorporationBausch Healthpharmaceuticalsaccounting fraud or deficiencies2008SEC$10,000,000
W.P. Carey & Co.W.P. Carey Inc.real estateaccounting fraud or deficiencies2008SEC$30,000,000
Halt, Buzas & Powell, Ltd. accounting fraud or deficiencies2008SEC$101,711
K.W. Brown & Company, 21st Century Advisors Inc., and K.W. Brown Investments, Inc. accounting fraud or deficiencies2008SEC$9,983,586
Nortel Networks Corporation accounting fraud or deficiencies2007SEC$35,000,000
Federal Home Loan Mortgage Corporation (Freddie Mac)Freddie Mac (Federal Home Loan Mortgage Corporation)financial servicesinvestor protection violation2007SEC$50,000,000
Electronic Data Systems Corporation accounting fraud or deficiencies2007SEC$490,902
HSBC Bank USA, N.A.HSBCfinancial servicesinvestor protection violation2007SEC$10,500,000
First BanCorpFirst Bancorp (Puerto Rico)financial servicesaccounting fraud or deficiencies2007SEC$8,500,000
Cardinal Health, Inc.Cardinal Healthwholesalersaccounting fraud or deficiencies2007SEC$35,000,000
ConAgra Foods, Inc.ConAgra Brandsfood productsaccounting fraud or deficiencies2007SEC$45,000,000
International Business MachinesIBM Corp.information technologyaccounting fraud or deficiencies2007SEC$7,000,000
Brocade Communications Systems, Inc.Broadcomelectrical and electronic equipmentaccounting fraud or deficiencies2007SEC$7,000,000
Mercury Interactive, LLC accounting fraud or deficiencies2007SEC$28,000,000
Barclays Bank PLCBarclaysfinancial servicesinsider trading2007SEC$10,943,561
The BISYS GroupCitigroupfinancial servicesaccounting fraud or deficiencies2007SEC$25,000,000
Motorola Inc.Motorola Solutionstelecommunicationsaccounting fraud or deficiencies2007SEC$25,000,000
Nicor, Inc.Southern Companyutilities and power generationaccounting fraud or deficiencies2007SEC$10,000,000
Crestview Capital Partners investor protection violation2007SEC$394,640
GetAnswers, Inc. investor protection violation2007SEC$15,713,676
RenaissanceRe Holdings Ltd.RenaissanceRe Holdingsfinancial servicesaccounting fraud or deficiencies2007SEC$15,000,000
MBIA Inc.MBIAfinancial servicesaccounting fraud or deficiencies2007SEC$50,000,000
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.financial servicesinsider trading2006SEC$3,755,839
1st Global Capital Corp. investor protection violation2006SEC$100,000
Hartford Financial Services Group, Inc.Hartford Financial Servicesfinancial servicesinvestor protection violation2006SEC$55,000,000
BISYS Fund Services, Inc. investor protection violation2006SEC$21,400,000
Doral Financial Corporation accounting fraud or deficiencies2006SEC$25,000,000
American-Amicable Life Insurance Company of Texas, Pioneer American Insurance Company, and Pioneer Security Life Insurance Company investor protection violation2006SEC$10,000,000
Endocare, Inc. accounting fraud or deficiencies2006SEC$750,000
Raytheon CompanyRTX Corporationaerospace and military contractingaccounting fraud or deficiencies2006SEC$12,000,000
Scientific-Atlanta, Inc.Cisco Systemselectrical and electronic equipmentaccounting fraud or deficiencies2006SEC$20,000,000
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2006SEC$125,000
Banc of America Securities LLCBank of Americafinancial servicesinvestor protection violation2006SEC$750,000
Bear, Stearns & Co., Inc.JPMorgan Chasefinancial servicesinvestor protection violation2006SEC$1,500,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2006SEC$1,500,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2006SEC$1,500,000
J.P. Morgan Securities, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2006SEC$1,500,000
Lehman Brothers Inc. investor protection violation2006SEC$1,500,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2006SEC$1,500,000
Morgan Keegan & Company, Inc.Raymond James Financialfinancial servicesinvestor protection violation2006SEC$125,000
Morgan Stanley & Co. Incorporated/ Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2006SEC$1,500,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2006SEC$125,000
RBC Dain Rauscher IncRoyal Bank of Canadafinancial servicesinvestor protection violation2006SEC$1,500,000
SunTrust Capital Markets Inc.Truist Financialfinancial servicesinvestor protection violation2006SEC$125,000
Wachovia Capital Markets, LLCWells Fargofinancial servicesinvestor protection violation2006SEC$125,000
Federal National Mortgage Association (Fannie Mae)Fannie Maefinancial servicesaccounting fraud or deficiencies2006SEC$400,000,000
Deephaven Capital Management, LLC insider trading2006SEC$5,709,958
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
Ameriprise Financial, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2005SEC$30,000,000
KPMG LLP (KPMG Canada)KPMGbusiness servicesaccounting fraud or deficiencies2005SEC$73,682
HealthSouth CorporationEncompass Healthhealthcare servicesaccounting fraud or deficiencies2005SEC$100,000,000
Take-Two Interactive Software, Inc.Take-Two Interactive Software Inc.entertainmentaccounting fraud or deficiencies2005SEC$7,500,000
Zomax Inc. insider trading2005SEC$2,000,000
Huntington Bancshares, Inc.Huntington Bancsharesfinancial servicesaccounting fraud or deficiencies2005SEC$7,500,000
Tyson Foods, Inc.Tyson Foodsfood productsaccounting fraud or deficiencies2005SEC$1,500,000
Deloitte & Touche LLPDeloittebusiness servicesaccounting fraud or deficiencies2005SEC$375,000
Deloitte & Touche LLPDeloittebusiness servicesaccounting fraud or deficiencies2005SEC$50,000,000
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2005SEC$22,000,000
Dollar General CorporationDollar Generalretailingaccounting fraud or deficiencies2005SEC$10,000,000
Capital Concept Marketing, Inc. investor protection violation2005SEC$580,000
Flowserve CorporationFlowserveindustrial equipmentinvestor protection violation2005SEC$350,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2005SEC$20,000,000
TALX CorporationEquifaxmiscellaneous servicesaccounting fraud or deficiencies2005SEC$2,500,000
Elan Corporation, plcPerrigopharmaceuticalsaccounting fraud or deficiencies2005SEC$15,000,000
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2004SEC$75,000,000
PanaMed Corp. investor protection violation2004SEC$5,000
Knight Securities, L.P.Virtu Financialfinancial servicesinvestor protection violation2004SEC$66,500,000
First Command Financial Planning, Inc. investor protection violation2004SEC$12,000,000
Franklin Advisers, Inc. and Franklin Templeton Distributors, Inc.Franklin Resourcesfinancial servicesinvestor protection violation2004SEC$20,000,000
Wachovia CorporationWells Fargofinancial servicesinvestor protection violation2004SEC$37,000,000
Beacon Hill Asset Management, LLC investor protection violation2004SEC$600,000
Qwest Communications International Inc.Lumen Technologiestelecommunicationsaccounting fraud or deficiencies2004SEC$250,000,000
Computer Associates International, Inc.Broadcomelectrical and electronic equipmentaccounting fraud or deficiencies2004SEC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $225,000,000
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankfinancial servicesinvestor protection violation2004SEC$2,000,000
A.C.L.N. Ltd. and Scandinavian Car Carriers investor protection violation2004SEC$27,000,000
Bridgeway Capital Management investor protection violation2004SEC$5,116,464
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLCAllianzfinancial servicesinvestor protection violation2004SEC$11,600,000
Dean Foods CompanyDairy Farmers of America (DFA)food productsaccounting fraud or deficiencies2004SEC$400,000
Digital Exchange Systems, Inc. accounting fraud or deficiencies2004SEC$100,000
Kemps LLC, f/k/a Marigold Foods LLC accounting fraud or deficiencies2004SEC$150,000
National Institute Companies of America, Inc. investor protection violation2004SEC$1,600,000
ACI Inc. investor protection violation2004SEC$7,756,750
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2004SEC$87,500,000
Thomas Weisel Partners LLCStifel Financialfinancial servicesinvestor protection violation2004SEC$12,500,000
Van Wagoner Capital Management, Inc. investor protection violation2004SEC$800,000
Adams Harkness, Inc. f/k/a Adams Harkness & Hill, Inc. investor protection violation2004SEC$575,000
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.financial servicesinvestor protection violation2004SEC$125,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2004SEC$875,000
Morgan Keegan & Co., Inc.Raymond James Financialfinancial servicesinvestor protection violation2004SEC$875,000
Needham & Company, Inc. investor protection violation2004SEC$700,000
Prudential Equity Group, LLC f/k/a Prudential Securities Inc.Prudential Financialfinancial servicesinvestor protection violation2004SEC$375,000
SG Cowen & Co., LLC f/k/a SG Cowen Securities CorporationToronto-Dominion Bankfinancial servicesinvestor protection violation2004SEC$125,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.