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Violation Tracker Summary for Offense Group

Offense Group: financial offenses
Penalty Total since 2000: $286,391,284,995
Number of Penalty Records: 10,968
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$26,659,159,167117
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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Company sort iconCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearAgencyPenalty Amount
Zuvan Technologies, Inc. investor protection violation2018MI-SEC$30,000
Zurigo Trading, Inc. economic sanction violation2011OFAC$7,000
Zurich Life Insurance Company LtdZurich Insurancefinancial servicestax violations2019DOJ_TAX$5,115,000
Zurich Financial ServicesZurich Insurancefinancial servicesaccounting fraud or deficiencies2008SEC$25,000,000
Zurcher Kantonalbank tax violations2018USAO$98,500,000
Zulutrade, Inc. economic sanction violation2014OFAC$200,000
Zulutoys Limited investor protection violation2016MO-SEC$27,367
Zuger Kantonalbank tax violations2015DOJ_TAX$3,798,000
Ztegrity, Inc. investor protection violation2022CFTC$943,570
Zomax Inc. insider trading2005SEC$2,000,000
Zoltek Companies, Inc.Toray Industrieschemicalseconomic sanction violation2018OFAC$7,772,102
Zirtual, Inc. tax violations2015CT-AG$5,085
Zions Direct, Inc.Zions Bancorporationfinancial servicesinvestor protection violation2010FINRA$225,000
Zimmer Dental Inc.Zimmer Biometmedical equipment and supplieseconomic sanction violation2007OFAC$82,850
Zim American Israeli Shipping Co., Inc economic sanction violation2003OFAC$250,000
Zilmil, Inc. investor protection violation2019CFTC$22,854,289
Ziff Brothers Investments, LLC tax violations2012CT-AG$15,480
Zhonghua Certified Public Accountants LLP accounting fraud or deficiencies2020PCAOB$10,000
Zhang Hongling CPA, P.C. accounting fraud or deficiencies2018PCAOB$15,000
Zeromax LLC economic sanction violation2007OFAC$481,983
ZeroEx, Inc. investor protection violation2023CFTC$200,000
Zenith Sterling Advisers LLC investor protection violation2022MO-SEC$15,000
ZBS Group LLP investor protection violation2019SEC$48,461
ZAG IP, LLC economic sanction violation2019OFAC$506,250
Z Touch Systems, Inc. investor protection violation2006IL-SEC$5,000
Yucatan Resorts dba Avalon Resorts investor protection violation2008OR-FIN$300,000
Yucaipa Master Manager, LLC investor protection violation2018SEC$2,934,312
YP Management, LLC tax violations2012CT-AG$8,378
YourPeople, Inc., dba Zenefits FTW Insurance ServicesTriNet Groupbusiness servicesinvestor protection violation2017SEC$450,000
YourPeople, Inc.TriNet Groupbusiness servicestax violations2016CT-AG$8,070
Your Local Market, LLC investor protection violation2014WA-FIN$10,000
Your Living Trust investor protection violation2004AZ-CC$75,500
Youngevity International, Inc. investor protection violation2016MT-FIN$10,000
Young Oil Corporation investor protection violation2006RI-FIN$31,000
Young Oil Corp. et al. investor protection violation2017KY-FIN$1,000,000
York International CorporationJohnson Controlsautomotive partseconomic sanction violation2008OFAC$669,507
Yokozuna Pearls & Gems, Inc. economic sanction violation2010OFAC$25,000
YoFresh Yogurts Franchising, Inc. investor protection violation2015CT-SEC$10,000
YOFRESH YOGURTS FRANCHISING, INC. investor protection violation2016VA-SEC$205,000
Yofast, LP investor protection violation2013WA-FIN$15,000
YieldStreet Inc. investor protection violation2023SEC$1,900,000
Yes Entertainment, LLC investor protection violation2000SEC$14,546,808
Yellowstone Capital, LLC and Bainbridge Views, LLC and Imperium Builder, LLC investor protection violation2016WA-FIN$30,000
Yellowstone Capital et al. investor protection violation2023NJ-AG$27,375,000
Yarn & Company, Inc. investor protection violation2010MD-SEC$464,333
Yarel + Partners accounting fraud or deficiencies2022PCAOB$35,000
Yantai Jereh Oilfield Services Group Co., Ltd., economic sanction violation2018OFAC$2,774,972
Yankee Financial Group, Inc. investor protection violation2005FINRA$3,800,000
Yale Partners, LLC investor protection violation2022WA-SEC$5,000
Yakira Partners, LP tax violations2012CT-AG$8,378
XP Investments US, LLC investor protection violation2022CFTC$500,000
Xerox CorporationXeroxmiscellaneous servicesaccounting fraud or deficiencies2002SEC$10,000,000
Xerox (UK) LimitedXeroxmiscellaneous serviceseconomic sanction violation2004OFAC$5,207
XBT Corp. SARL d/b/a First Global Credit investor protection violation2019CFTC$100,000
XBT Corp Sarl dba First Global Credit investor protection violation2019SEC$131,952
X-Change Financial Access LLC investor protection violation2018CFTC$150,000
X Plus One Solutions, Inc. tax violations2013CT-AG$7,838
Wyser-Pratte Management Co., Inc. and Wyser-Pratte and Co., Inc. investor protection violation2001SEC$400,000
Wyoming Investment Management Services, LLC investor protection violation2015SEC$10,000
Wyoming Financial Securities, Inc. investor protection violation2005MO-SEC$10,000
Wynn Investments LLC investor protection violation2020FL-OFR$7,000
WWW.EXNOWAPP.VIP investor protection violation2023OR-FIN$20,000
WWW Advisors, Inc. investor protection violation2000SEC$5,000
WWC, P.C. accounting fraud or deficiencies2022PCAOB$50,000
Wunderlich Securities, Inc. investor protection violation2011SEC$532,624
Wunderlich Securities, Inc. investor protection violation2007IL-SEC$10,000
WSK Energy, L.L.C. investor protection violation2006AZ-CC$5,000
WSG Advisors, LLC investor protection violation2022SC-SEC$50,000
Wright Direction.com, LLC investor protection violation2013FL-OFR$6,000
Wren's Oil Field Recovery Co. investor protection violation2009IN-SEC$63,000
WR&A Financial Services LLC investor protection violation2015SC-SEC$10,000
WPP Group USA, Inc.WPPbusiness servicestax violations2016CT-AG$5,400
Woso Energy Corporation investor protection violation2006ME-SEC$6,000
Worthington Energy Inc. investor protection violation2014SEC$25,000
Wortham Oil & Gas Enterprises, LLC investor protection violation2008WA-FIN$5,000
Wortham Oil & Gas investor protection violation2008WA-FIN$5,000
Worldwide Forex, Inc. investor protection violation2005AZ-CC$5,000
Worldwide Entertainment, Inc. investor protection violation2005MO-SEC$2,698,892
Worldwide Energy and Manufacturing USA Inc. investor protection violation2012SEC$100,000
Worldwide Capital, Inc. investor protection violation2014SEC$7,253,726
WorldCom Inc.Verizon Communicationstelecommunicationsaccounting fraud or deficiencies2003SEC$500,000,000
Worldco, LLC investor protection violation2002FINRA$175,000
Worldco LLC investor protection violation2004FINRA$1,500,000
World-Wide Sires Inc. economic sanction violation2004OFAC$5,500
World's Foremost BankBass Proretailingbanking violation2014FDIC$1,000,000
World's Foremost BankBass Proretailingbanking violation2012FDIC$200,000
World Trend Financial Planning Services, Ltd investor protection violation2019VA-SEC$40,000
World Tree Financial, LLC investor protection violation2021SEC$647,947
World Phantasy Tours investor protection violation2008OR-FIN$300,000
WORLD ONLINE 247, INC. investor protection violation2003VA-SEC$31,500
World Interactive Gaming Corporation investor protection violation2000NY-AG$6,300,000
World Group Securities, Inc.Aegonfinancial servicesinvestor protection violation2010SEC$200,000
World Group Securities, Inc.Aegonfinancial servicesinvestor protection violation2004ID-SEC$15,000
World Group Securities, Inc.Aegonfinancial servicesinvestor protection violation2006MO-SEC$228,600
World Group Securities, Inc.Aegonfinancial servicesinvestor protection violation2004FINRA$150,000
World Fuel Services CorporationWorld Kinect Corporationwholesalerseconomic sanction violation2013OFAC$39,501
World Financial & Investment Co., Inc. investor protection violation2001SEC$175,000
World Courier Management, Inc. economic sanction violation2003OFAC$18,000
World Class Technology Corporation economic sanction violation2016OFAC$43,200
World Auto Parts economic sanction violation2003OFAC$5,500
Workplace Essentials, Inc. tax violations2016CT-AG$6,116
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.