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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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Company sort iconCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearAgencyPenalty Amount
The Home Email Business Corp. investor protection violation2016TN-SEC$5,000
THE HOME BANK banking violation2006FDIC$13,300
The Heroic Life Assurance Company, LLC investor protection violation2015MO-SEC$397,955
The Hartford Financial Services GroupHartford Financial Servicesfinancial servicesinvestor protection violation2006MULTI-AG$20,000,000
The Hansbury Group, LLC investor protection violation2020CT-BKG$5,000
The Hansbury Group, LLC investor protection violation2020CT-SEC$5,000
THE HALSTEAD BANK banking violation2003FDIC$6,300
The Greatest Only Divine Productions, L.L.C. investor protection violation2009AZ-CC$353,000
THE GLOVE LADY, LLC investor protection violation2010VA-SEC$54,472
The Gerber State Bank banking violation2012FDIC$8,000
The Game Agency, LLC tax violations2015CT-AG$6,600
The Fremont National Bank and Trust Company banking violation2003OCC$5,000
The Frazer Lanier Company, Incorporated investor protection violation2015SEC$100,000
The Four Oaks Foundation, Inc. economic sanction violation2005OFAC$7,500
The Fortitude Foundation et al. investor protection violation2020AZ-CC$1,386,024
The First State Bank of Dongola banking violation2018FED$15,000
THE FIRST STATE BANK OF BURLINGAME banking violation2009FDIC$8,000
THE FIRST STATE BANK banking violation2010FDIC$58,900
The First National Bank of McConnelsville banking violation2012OCC$10,000
The First National Bank of Brewster banking violation2006OCC$20,000
The First National Bank of Arvada banking violation2005OCC$50,000
The Financial Planning Group, Inc. investor protection violation2013MN-FIN$10,000
The Financial Group, LLC investor protection violation2022AZ-CC$3,706,451
The Federal Savings Bank banking violation2021OCC$193,106
THE EXCHANGE BANK OF ALABAMA banking violation2011FDIC$9,460
The Evangeline Bank and Trust Company banking violation2015FDIC$123,000
The Energy Group, Inc. investor protection violation2009IN-SEC$240,000
The Endowment TEI Fund, L.P. investor protection violation2011MD-SEC$25,000
The Eideard Group, LLC investor protection violation2023SEC$80,000
The Dow Chemical CompanyDow Inc.chemicalsinvestor protection violation2018SEC$1,750,000
THE DIME BANK banking violation2010FDIC$7,620
THE DICKINSON COUNTY BANK banking violation2005FDIC$15,600
The Delaware County Bank and Trust Company banking violation2012FDIC$11,000
The Davidan Corp. and Lajobejo, LLC investor protection violation2015MO-SEC$451,931
THE DART BANK banking violation2011FDIC$7,750
The CSI Companies, Inc. tax violations2015CT-AG$8,370
The Credit Engineers, Inc. investor protection violation2019AZ-CC$25,000
THE COULEE STATE BANK banking violation2004FDIC$12,000
THE COTTONPORT BANK banking violation2001FDIC$12,250
THE CONVERSE COUNTY BANK banking violation2007FDIC$7,385
THE COLUMBIA BANKFulton Financialfinancial servicesbanking violation2002FDIC$7,000
The Coca-Cola CompanyCoca-Cola Co.beverageseconomic sanction violation2006OFAC$136,500
The Coastal Bank banking violation2012FDIC$53,550
The Citizens State Bank of Cheney, Kansas banking violation2012FDIC$6,000
THE CITIZENS BANK OF PHILADELPHIA, MISSISSIPPI banking violation2011FDIC$15,030
The Citizens Bank banking violation2012FDIC$12,705
THE CITIZENS BANK banking violation2011FDIC$7,000
The Cheesecake Factory IncorporatedCheesecake Factoryrestaurants and foodserviceaccounting fraud or deficiencies2020SEC$125,000
The Chamber Group, Inc. investor protection violation2002AZ-CC$16,342,404
The Cavanaugh Group Inc. investor protection violation2021SEC$50,000
The Calvary Group, LLC investor protection violation2019MD-SEC$35,000
THE BUFFALO EXTENSION LLP investor protection violation2011VA-SEC$15,000
The Buckingham Research Group, Inc. and Buckingham Capital Management investor protection violation2010SEC$125,000
The Boston Home, Inc. accounting fraud or deficiencies2001MA-AG$12,500
The Borrowing Station, LLC investor protection violation2013MD-SEC$50,000
The BISYS GroupCitigroupfinancial servicesaccounting fraud or deficiencies2007SEC$25,000,000
THE BATH STATE BANK banking violation2011FDIC$8,000
THE BANK OF WAYNESBORO banking violation2011FDIC$18,095
THE BANK OF NEW YORK MELLONBank of New York Mellonfinancial servicesbanking violation2012FED$6,000,000
The Bank of New YorkBank of New York Mellonfinancial serviceseconomic sanction violation2005OFAC$5,844
The Bank of New YorkBank of New York Mellonfinancial servicesanti-money-laundering deficiencies2005USAO$38,000,000
The Bank Of New YorkBank of New York Mellonfinancial servicesinvestor protection violation2007SEC$750,000
The Bank of New Glarus banking violation2023FDIC$9,375
The Bank of Monroe banking violation2015FED$28,640
The Bank of Holly Springs banking violation2018FDIC$7,000
The Bank of Currituck banking violation2003FED$16,000
The Bank banking violation2005FED$46,050
The Bancorp, Inc. investor protection violation2019SEC$1,400,000
The Bancorp, Inc. investor protection violation2022SEC$1,750,000
The Bancorp Bank banking violation2018FDIC$3,300,000
The Bancorp Bank banking violation2012FDIC$172,000
The Bancorp Bank banking violation2019FDIC$7,500,000
The Banc Funds Company investor protection violation2017SEC$75,000
The Baltimore Land Trust Development Group, LP investor protection violation2019MD-SEC$15,000
The Baker Group investor protection violation2019OK-SEC$15,000
The BABCO Group, LLC investor protection violation2007ID-SEC$17,877
The Alista Group, LLC investor protection violation2021CFTC$2,242,162
The African Diamond Company, Inc. nka Coal Corporation investor protection violation2013CT-SEC$50,000
The Chinese American Bank economic sanction violation2006OFAC$7,370
THC Pharmaceutical, Inc. investor protection violation2016OR-FIN$60,000
Thayer O'Neal Company, LLC accounting fraud or deficiencies2019PCAOB$15,000
Thakkar CPA, PLLC investor protection violation2016SEC$359,487
TFS-ICAP LLC and TFS-ICAP Ltd. investor protection violation2020CFTC$7,000,000
TFS Securities, Inc. investor protection violation2021NJ-BOS$75,000
TF6 Advisors, LLC and Pacific Ventures & Trading LLC investor protection violation2013AZ-CC$215,887
Texon Energy Corp. and Lonestar Petroleum Corp. investor protection violation2002SEC$1,268,253
Texas State Energy Corp. investor protection violation2011WA-FIN$15,000
Texas Securities Partners, Inc. investor protection violation2008AL-SEC$10,000
Texas International Resources, L.L.C. investor protection violation2016MO-SEC$11,165
Texas Energy Mutual, LLC investor protection violation2014AR-SEC$5,000
Texas Energy Investment Solutions, inc. investor protection violation2007MO-SEC$17,831
Texas Coastal Energy Company investor protection violation2018SEC$7,200,000
TEXAS BAR-B-Q FACTORY, ET AL. investor protection violation2009VA-SEC$8,300
TEXAS BANK banking violation2011FDIC$6,000
Tether Holdings Limited et al. investor protection violation2021CFTC$41,000,000
Tesla Inc.Tesla Inc.motor vehiclesinvestor protection violation2018SEC$20,000,000
Tesla Energy Solutions (fka SolarCity) and Novogradac & Company LLPTesla Inc.motor vehiclestax violations2018OR-AG$13,000,000
Terre Haute First National Bank banking violation2003OCC$12,950
TerraTherm, Inc. tax violations2015CT-AG$10,155
Terra Nova Trading LLC investor protection violation2000TN-SEC$7,500
Terra Firma Investments, Inc. investor protection violation2012OR-FIN$200,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.