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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
SG Cowen & Co., LLC f/k/a SG Cowen Securities CorporationToronto-Dominion Bankfinancial servicesinvestor protection violation2004SEC$125,000
Royal Dutch Petroleum CompanyShell PLCoil and gasaccounting fraud or deficiencies2004SEC$120,000,000
Doeren Mayhew & Co. P.C. accounting fraud or deficiencies2004SEC$115,126
Grant Thornton LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2004SEC$1,500,000
Bristol-Myers Squibb CompanyBristol-Myers Squibbpharmaceuticalsaccounting fraud or deficiencies2004SEC$150,000,000
Fidelity Brokerage Services, LLCFidelity Investmentsfinancial servicesinvestor protection violation2004SEC$1,000,000
Halliburton Co.Halliburtonoilfield services and suppliesaccounting fraud or deficiencies2004SEC$7,500,000
Global Telecom Services, L.L.C. d/b/a Medical Disposal Devices investor protection violation2004SEC$1,431,369
Measurement Specialties, Inc. accounting fraud or deficiencies2004SEC$1,000,000
Gemstar-TV Guide International, Inc. accounting fraud or deficiencies2004SEC$10,000,000
Wilmington Trust CompanyM&T Bankfinancial servicesinvestor protection violation2004SEC$125,000
i2 Technologies, Inc. accounting fraud or deficiencies2004SEC$10,000,000
Symbol Technologies, Inc.Zebra Technologieselectrical and electronic equipmentaccounting fraud or deficiencies2004SEC$37,000,000
Del Global Technologies Corp., Inc. accounting fraud or deficiencies2004SEC$400,000
Lucent Technologies Inc.Nokiatelecommunicationsaccounting fraud or deficiencies2004SEC$25,000,000
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2004SEC$2,400,000
Vivendi Universal, S.A.Comcasttelecommunicationsaccounting fraud or deficiencies2003SEC$50,000,000
Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2003SEC$50,000,000
Premier Marketing and Investments, Inc. investor protection violation2003SEC$4,497,451
American International Group, Inc.American International Groupfinancial servicesaccounting fraud or deficiencies2003SEC$10,000,000
Schering-Plough CorporationMerckpharmaceuticalsinvestor protection violation2003SEC$1,000,000
Gardere Wynne Sewell LLP accounting fraud or deficiencies2003SEC$2,000,000
Deutsche Asset Management, Inc.Deutsche Bankfinancial servicesinvestor protection violation2003SEC$750,000
Citigroup, Inc.Citigroupfinancial servicesaccounting fraud or deficiencies2003SEC$101,000,000
Citigroup, Inc.Citigroupfinancial servicesaccounting fraud or deficiencies2003SEC$19,000,000
J.P. Morgan Chase & Co.JPMorgan Chasefinancial servicesaccounting fraud or deficiencies2003SEC$135,000,000
Prudential Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2003SEC$382,000
WorldCom Inc.Verizon Communicationstelecommunicationsaccounting fraud or deficiencies2003SEC$500,000,000
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2003SEC$1,000,000
Bear, Stearns & Co. Inc.JPMorgan Chasefinancial servicesinvestor protection violation2003SEC$80,000,000
Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc.Citigroupfinancial servicesinvestor protection violation2003SEC$400,000,000
Credit Suisse First Boston LLCUBSfinancial servicesinvestor protection violation2003SEC$200,000,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2003SEC$110,000,000
J.P. Morgan Securities Inc.JPMorgan Chasefinancial servicesinvestor protection violation2003SEC$80,000,000
Lehman Brothers Inc. investor protection violation2003SEC$80,000,000
Merrill Lynch, Pierce, Fenner & Smith, IncorporatedBank of Americafinancial servicesinvestor protection violation2003SEC$200,000,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2003SEC$125,000,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2003SEC$32,500,000
UBS Warburg LLCUBSfinancial servicesinvestor protection violation2003SEC$80,000,000
Merrill Lynch & Co. Inc.Bank of Americafinancial servicesaccounting fraud or deficiencies2003SEC$80,000,000
North American Medical Products, Inc. investor protection violation2003SEC$120,000
ICN Pharmaceuticals, Inc.Bausch Healthpharmaceuticalsaccounting fraud or deficiencies2002SEC$1,000,000
Siebel Systems, Inc.Oracleinformation technologyinvestor protection violation2002SEC$250,000
Dynegy Inc.Vistra Energyutilities and power generationaccounting fraud or deficiencies2002SEC$3,000,000
Oxford Health Plans, Inc.UnitedHealth Grouphealthcare servicesaccounting fraud or deficiencies2002SEC$250,000
PricewaterhouseCoopers LLPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2002SEC$5,000,000
Texon Energy Corp. and Lonestar Petroleum Corp. investor protection violation2002SEC$1,268,253
Moret Ernst & Young Accountants accounting fraud or deficiencies2002SEC$400,000
Advance Local Development Corp. investor protection violation2002SEC$9,509,736
Xerox CorporationXeroxmiscellaneous servicesaccounting fraud or deficiencies2002SEC$10,000,000
Big Country AGS, Inc. d/b/a AGS, Inc. investor protection violation2002SEC$242,840
Financial Asset Management, Inc. accounting fraud or deficiencies2002SEC$25,000
World Financial & Investment Co., Inc. investor protection violation2001SEC$175,000
Arthur Andersen LLP accounting fraud or deficiencies2001SEC$7,000,000
TPG CapitalTPG Capitalprivate equity (including portfolio companies)investor protection violation2001SEC$50,000
Yes Entertainment, LLC investor protection violation2000SEC$14,546,808
EquityAlert.com, Inc. investor protection violation2000SEC$20,000
Chemical Trust, U.S. Guarantee Corp., and United Marketing Trust investor protection violation2000SEC$20,590,000
JW Charles Financial Services, Inc. investor protection violation2000SEC$20,000
Liberty Capital Group, Inc. investor protection violation2000SEC$35,000
America Online, Inc.Apollo Global Managementprivate equity (including portfolio companies)accounting fraud or deficiencies2000SEC$3,500,000
RBC Capital Markets LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2016SEC$2,500,000
Raymond James & AssociatesRaymond James Financialfinancial servicesinvestor protection violation2016SEC$600,000
Robert W. Baird & Co. investor protection violation2016SEC$250,000
BOK Financial CorporationBOK Financialfinancial servicesinvestor protection violation2016SEC$1,667,720
Portugal Telecom SGPS S.A. accounting fraud or deficiencies2016SEC$125,000
Ernst & YoungErnst & Youngbusiness servicesaccounting fraud or deficiencies2016SEC$9,300,000
Park National CorporationPark National Corp.financial servicesaccounting fraud or deficiencies2016SEC$500,000
Orrstown Financial Services, Inc. accounting fraud or deficiencies2016SEC$1,000,000
Weatherford InternationalWeatherford Internationaloilfield services and suppliesaccounting fraud or deficiencies2016SEC$140,000,000
UBS Financial ServicesUBSfinancial servicesinvestor protection violation2016SEC$15,025,882
International Game TechnologyInternational Game Technologymiscellaneous manufacturingaccounting fraud or deficiencies2016SEC$500,000
Credit Suisse AGUBSfinancial servicesaccounting fraud or deficiencies2016SEC$90,000,000
Forcerank LLC investor protection violation2016SEC$50,000
Lime Energy Co. accounting fraud or deficiencies2016SEC$1,000,000
Bank LeumiBank Leumifinancial servicesinvestor protection violation2016SEC$1,600,000
Ernst & Young LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2016SEC$11,800,000
FMC TechnologiesTechnipFMCoilfield services and suppliesaccounting fraud or deficiencies2016SEC$2,500,000
Powersecure International, Inc. accounting fraud or deficiencies2016SEC$470,000
Pacific Investment Management Company (PIMCO) investor protection violation2016SEC$19,829,807
United AirlinesUnited Airlines Holdingsairlinesaccounting fraud or deficiencies2016SEC$2,400,000
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2016SEC$230,000
Deutsche BankDeutsche Bankfinancial servicesinvestor protection violation2016SEC$18,500,000
NeuStar IncTransUnionmiscellaneous servicesinvestor protection violation2016SEC$180,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2016SEC$7,500,000
Jack Henry & Associates, Inc.Jack Henry & Associatesinformation technologyaccounting fraud or deficiencies2016SEC$780,000
Adams Capital Management investor protection violation2017SEC$45,000
Aisling Capital investor protection violation2017SEC$70,456
Allergan Inc.AbbViepharmaceuticalsinvestor protection violation2017SEC$15,000,000
Alta Communications investor protection violation2017SEC$35,000
Commonwealth Venture Management Corporation investor protection violation2017SEC$75,000
Cypress Advisors investor protection violation2017SEC$35,000
FFL Partners investor protection violation2017SEC$75,000
Lime Rock Management investor protection violation2017SEC$75,000
NGN Capital investor protection violation2017SEC$100,000
Pershing Square Capital Management investor protection violation2017SEC$75,000
The Banc Funds Company investor protection violation2017SEC$75,000
Citadel Securities LLC investor protection violation2017SEC$22,600,000
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2017SEC$13,000,000
BNY MellonBank of New York Mellonfinancial servicesinvestor protection violation2017SEC$6,600,000
L3 Technologies Inc.L3Harris Technologiesaerospace and military contractingaccounting fraud or deficiencies2017SEC$1,600,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.