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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
UBS Securities LLCUBSfinancial servicestoxic securities abuses2016VA-AG$850,000
JPMorgan Chase BankJPMorgan Chasefinancial servicesanti-money-laundering deficiencies2014USAO$1,700,000,000
Lebanese Canadian Bank anti-money-laundering deficiencies2013USAO$102,000,000
Ernst & Young LLPErnst & Youngbusiness servicestax violations2013USAO$123,000,000
PokerStars and Full Tilt PokerFlutter Entertainment PLCentertainmentanti-money-laundering deficiencies2012USAO$731,000,000
BDO USA, LLPBDO Internationalbusiness servicestax violations2012USAO$50,000,000
Deutsche Bank AGDeutsche Bankfinancial servicestax violations2010USAO$553,633,153
Pacific Western Bank banking violation2017USAO$1,750,000
Prevezon Holdings Ltd. anti-money-laundering deficiencies2017USAO$5,896,333
Acme Refining Co. tax violations2017USAO$4,545,243
SRC Construction Inc. tax violations2016USAO$250,000
CG Technology LP (formerly Cantor Gaming) anti-money-laundering deficiencies2016USAO$16,500,000
Credit Agricole Corporate and Investment Bank (CACIB)Credit Agricolefinancial serviceseconomic sanction violation2015USAO$156,000,000
Hong Kong Entertainment (Overseas) Investments, LTD. dba Tinian Dynasty Hotel & Casino anti-money-laundering deficiencies2015USAO$3,036,969
House of Oxford Inc. tax violations2014USAO$13,600,000
Tantus Tobacco LLC tax violations2014USAO$750,000
M&T BankM&T Bankfinancial servicesanti-money-laundering deficiencies2014USAO$560,000
Fokker Services B.V. economic sanction violation2014USAO$10,500,000
Swisspartners Investment Network AG tax violations2014USAO$4,400,000
Aracoma Contracting LLC anti-money-laundering deficiencies2014USAO$4,405,000
Shake-N-Go Fashion Inc. and Model Model Hair Fashion Inc. anti-money-laundering deficiencies2014USAO$15,000,000
First Independence Bank anti-money-laundering deficiencies2013USAO$250,000
Las Vegas Sands Corp.Las Vegas Sands Corp.entertainmentanti-money-laundering deficiencies2013USAO$47,400,300
Liechtensteinische Landesbank AG tax violations2013USAO$23,800,000
GB Check Cashing LLC anti-money-laundering deficiencies2013USAO$1,086,894
Katelyn & Claire, Inc. and Alex T, Inc. dba Quality Express anti-money-laundering deficiencies2013USAO$992,462
Univision Auto LLC anti-money-laundering deficiencies2011USAO$866,427
Nick's Amusements Inc. anti-money-laundering deficiencies2010USAO$50,000
Wachovia Bank N.A.Wells Fargofinancial servicesanti-money-laundering deficiencies2010USAO$50,000,000
American Italian Pasta CompanyTreeHouse Foodsfood productsaccounting fraud or deficiencies2008USAO$7,500,000
Beaulieu GroupEngineered Floorsbuilding materialstax violations2007USAO$33,184,364
Hon Hai Precision Industry Company Ltd. And E-Star Inc.Foxconn Technology Group (Hon Hai Precision Industry Company)electrical and electronic equipmenttax violations2007USAO$42,000,000
BAYERISCHE HYPO- UND VEREINSBANK AG tax violations2006USAO$29,635,125
The Bank of New YorkBank of New York Mellonfinancial servicesanti-money-laundering deficiencies2005USAO$38,000,000
Riggs BankPNC Financial Servicesfinancial servicesanti-money-laundering deficiencies2005USAO$16,000,000
Elemetal LLC anti-money-laundering deficiencies2018USAO$15,000,000
U.S. BancorpU.S. Bancorpfinancial servicesanti-money-laundering deficiencies2018USAO$453,000,000
Zurcher Kantonalbank tax violations2018USAO$98,500,000
Rabobank N.A.Rabobankfinancial servicesanti-money-laundering deficiencies2018USAO$500,000
Societe Generale S.A.Societe Generalefinancial serviceseconomic sanction violation2018USAO$717,200,000
LendingClub CorporationLendingClub Corp.financial servicesbanking violation2018USAO$2,000,000
Mizrahi-Tefahot Bank Ltd. tax violations2019USAO$195,000,000
Prime Partners SA tax violations2017USAO$5,000,000
National Oilwell VarcoNOV Inc.oilfield services and supplieseconomic sanction violation2016USAO$25,000,000
Bank of Mingo anti-money-laundering deficiencies2015USAO(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,200,000
Ripple Labs Inc. anti-money-laundering deficiencies2015USAO$700,000
Ocean Bank anti-money-laundering deficiencies2011USAO$10,988,136
Baystar Capital Management LLC investor protection violation2011USAO$12,112,416
Beazer Homes USA Inc.Beazer Homes USAconstruction and engineeringaccounting fraud or deficiencies2009USAO(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000
Friedman's Inc. accounting fraud or deficiencies2005USAO$2,000,000
New York Racing Association Inc. tax violations2005USAO$3,000,000
Computer Associates International, Inc.Broadcomelectrical and electronic equipmentaccounting fraud or deficiencies2004USAO$225,000,000
G.B. Enterprises Inc. tax violations2004USAO$36,005,649
BDO SeidmanBDO Internationalbusiness servicesaccounting fraud or deficiencies2002USAO$16,000,000
JB Oxford Holdings, Inc. accounting fraud or deficiencies2000USAO$2,000,000
Metabolife International Inc. tax violations2005USAO$600,000
Hughes Energy Inc. investor protection violation2009USAO$4,261,211
KFNS-AM, KFNS-FM and KFRT-AM anti-money-laundering deficiencies2004USAO$158,000
Alpha Technologies Inc. tax violations2004USAO$500,000
G.B. Enterprises Inc. tax violations2004USAO$40,000,000
HSBC Private Bank (Suisse) SAHSBCfinancial servicestax violations2019USAO$192,350,000
Rahn + Bodmer Co. tax violations2021USAO$22,000,000
GPOMCT Grupo Empresarial S.A. de C.V. anti-money-laundering deficiencies2021USAO$1,100,000
Bicycle Hotel & Casino anti-money-laundering deficiencies2021USAO$500,000
Wells Fargo Bank, N.A.Wells Fargofinancial servicesbanking violation2021USAO$72,600,000
LLC Wholesale Supply LLC money laundering2022USAO$98,000,000
Amani Investments LLC anti-money-laundering deficiencies2023USAO$1,000,000
Oregon Tool, Inc.Platinum Equityprivate equity (including portfolio companies)anti-money-laundering deficiencies2023USAO$1,700,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2024USAO$153,431,223
Mountain States Capital Inc. investor protection violation2000TX-SEC$30,000
Burke, Lawton, Brewer & Burke investor protection violation2000TX-SEC$7,500
The Reserve Fund investor protection violation2000TX-SEC$150,000
American Express Financial Advisors Inc.Ameriprise Financialfinancial servicesinvestor protection violation2000TX-SEC$9,000
Supertrade Securities Inc. investor protection violation2000TX-SEC$15,000
The Williams Financial Group Inc. investor protection violation2000TX-SEC$10,000
Woodlands Securities Corporation investor protection violation2001TX-SEC$5,000
Protrader Securities Corporation investor protection violation2001TX-SEC$20,000
Asset Planning Group Inc. investor protection violation2002TX-SEC$20,000
Kleinheinz Capital Partners Inc. investor protection violation2002TX-SEC$60,000
Willingham Asset Management Inc. investor protection violation2003TX-SEC$5,000
Lone Star Securities Inc. investor protection violation2003TX-SEC$10,000
Laradorbecker Securities Corporation investor protection violation2003TX-SEC$5,000
Premier Group Inc. investor protection violation2003TX-SEC$5,000
Northstar Energy Inc. investor protection violation2003TX-SEC$75,000
Ameritas Investment CorporationAmeritas Mutual Holding Companyfinancial servicesinvestor protection violation2003TX-SEC$25,000
Top of Texas Financial Strategies Inc. investor protection violation2003TX-SEC$5,000
Woodbury Financial Services Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2004TX-SEC$12,500
Allied Energy Group et al. investor protection violation2004TX-SEC$8,000
Pruco Securities LLCPrudential Financialfinancial servicesinvestor protection violation2004TX-SEC$10,000
Milkie/Ferguson Investments Inc. investor protection violation2004TX-SEC$12,000
Flyline Management L.P. investor protection violation2004TX-SEC$16,000
Flyline Genpar L.P. investor protection violation2004TX-SEC$16,000
Tarpon Capital Management L.P. investor protection violation2005TX-SEC$80,000
Cornerstone Ministries Investments Inc. et al. investor protection violation2005TX-SEC$20,000
FlexVest Securities Group Inc. investor protection violation2005TX-SEC$10,000
Kaizen Management LP investor protection violation2005TX-SEC$10,000
BAMC Investment Management Inc. investor protection violation2005TX-SEC$6,000
Tamborello Capital Management LLC investor protection violation2005TX-SEC$75,015
Prospera Financial Services Inc. investor protection violation2006TX-SEC$5,000
The Wilson Williams Financial Group investor protection violation2006TX-SEC$65,000
MDK Financial Group Inc. investor protection violation2006TX-SEC$10,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.