Warning: Undefined array key 1 in /usr/home/goodjobsfirst/public_html/violationtrackerlive/function.php on line 727
Basic Search  |  Summaries  |  Advanced Search

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
Company sort iconCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearAgencyPenalty Amount
USAA Federal Savings BankUSAAfinancial servicesbanking violation2020OCC$85,000,000
USAA Federal Savings BankUSAAfinancial servicesbanking violation2020OCC$382,500
USAA Federal Savings BankUSAAfinancial servicesanti-money-laundering deficiencies2022FINCEN$80,000,000
USA Tax & Insurance Services, Inc. investor protection violation2012IL-SEC$22,100
USA Financial Securities Corporation investor protection violation2021SEC$249,455
USA Financial Securities Corporation investor protection violation2023ME-SEC$5,000
USA Barcelona Realty Advisors, LLC investor protection violation2018AZ-CC$3,965,700
US Petroleum LLC investor protection violation2003ND-SEC$14,000
US Mega Corporation et al. investor protection violation2006MD-SEC$195,000
US Energy Partners, Inc. investor protection violation2012KY-FIN$15,000
US Energy Partners, Inc. investor protection violation2012KY-FIN$15,000
US Business Brokers, Inc. investor protection violation2015IL-SEC$15,000
US Bancorp Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2001ND-SEC$23,250
US Bancorp Investments, Inc.U.S. Bancorpfinancial servicesinvestor protection violation2010FINRA$275,000
US BancorpU.S. Bancorpfinancial servicesbanking violation2018FED$15,000,000
Urban Traffic investor protection violation2019WA-FIN$35,000
URBAN BAR-B-QUE COMPANY investor protection violation2014VA-SEC$5,000
Urban and Sons Insulation Co.,Inc. tax violations2015CT-AG$14,483
UQM Technologies, Inc.Danfossindustrial equipmentinvestor protection violation2019SEC$500,000
Uptown National Bank of Chicago economic sanction violation2003OFAC$5,500
Upstream Solutions, LLC investor protection violation2015WA-FIN$18,000
Upstream Energy Services LLC investor protection violation2019CFTC$75,000
UPSTATE LAW GROUP, LLC investor protection violation2023MI-SEC$20,000
Upright Financial Corp. investor protection violation2021SEC$517,209
Upper Cumberland Media Group Inc. investor protection violation2004TN-SEC$11,200
Uphold HQ Inc. investor protection violation2021MN-FIN$10,270
Uphold HQ Inc. economic sanction violation2023OFAC$72,230
Up Global SEZC investor protection violation2023SEC$3,520,000
UnocalChevronoil and gastax violations2000LA-AG$4,360,000
Unlimited Cash, Inc. and Douglas Network Enterprises investor protection violation2007IL-SEC$75,000
Unlimited Cash Inc. investor protection violation2006OR-FIN$100,000
Univision Auto LLC anti-money-laundering deficiencies2011USAO$866,427
University of California at Los AngelesUniversity of Californiamiscellaneous serviceseconomic sanction violation2003OFAC$5,750
University Capital Solutions, LLC investor protection violation2017MI-SEC$10,000
University Bank banking violation2012FDIC$10,000
Universal Travel Group accounting fraud or deficiencies2013SEC$750,000
Universal Stock Transfer, Ltd. investor protection violation2017MT-FIN$56,852
Universal Services economic sanction violation2003OFAC$11,000
Universal FX Incorporated investor protection violation2005AZ-CC$5,000
Universal Financial Group investor protection violation2005MD-SEC$150,000
Universal Electronics Inc.Universal Electronics Inc.electrical and electronic equipmentinvestor protection violation2014SEC$75,000
Unity Oil & Gas investor protection violation2018MO-SEC$42,135
Unity Financial, LLC investor protection violation2004AZ-CC$1,642,564
Unity Bank banking violation2022FDIC$39,000
UNITED-AMERICAN SAVINGS BANK banking violation2010FDIC$5,500
United Stock Transfer Inc. investor protection violation2001SEC$10,000
United States Oil Fund LP and United States Commodity Funds LLC investor protection violation2021SEC$1,250,000
United States Commodity Funds LLC investor protection violation2021CFTC$2,500,000
UNITED SOUTHERN BANK banking violation2001FDIC$13,500
United Securities Alliance, Inc. investor protection violation2002FL-OFR$10,000
United Rentals, IncUnited Rentalsmiscellaneous servicesaccounting fraud or deficiencies2008SEC$14,000,000
United Radio, Inc. d/b/a BlueStar economic sanction violation2008OFAC$67,574
United Private Capital, Inc. investor protection violation2015IL-SEC$15,000
United Planners' Financial Services of America, A Limited Partnership investor protection violation2001AZ-CC$79,000
United Planners' Financial Services of America A Limited Partner investor protection violation2023ME-SEC$5,000
United Planners' Financial Services of America investor protection violation2019MA-SEC$100,000
United Pentecostal Church Developemnt Fund, Inc., dba United Pentecostal Church Loan Fund investor protection violation2022TN-SEC$5,000
United Nations Federal Credit Union economic sanction violation2010OFAC$500,000
United National Bank economic sanction violation2005OFAC$11,000
United Marine Ltd. and SG Global S.A economic sanction violation2003OFAC$6,200
United Industrial Corporation investor protection violation2009SEC$337,679
United Health Products, Inc. accounting fraud or deficiencies2022SEC$450,000
United Gold Direct, LLC investor protection violation2020CA-DFPI$45,112
United Global Securities, Inc. investor protection violation2009SEC$25,000
United Fidelity Funding Corp. investor protection violation2010AR-SEC$12,500
United Claims Service, Inc. tax violations2013CT-AG$7,080
United Citizens Bank of Southern Kentucky banking violation2013FDIC$15,000
UNITED CENTRAL BANK banking violation2011FDIC$9,850
United Bankers' Bank investor protection violation2016SEC$160,000
UNITED BANK OF MICHIGAN banking violation2011FDIC$8,000
United Bank of Iowa banking violation2021FDIC$8,000
United Bank For Africa PLC banking violation2007OCC$500,000
UNITED BANK banking violation2009FDIC$8,470
UNITED BANK banking violation2008FDIC$6,850
UNITED BANK banking violation2003FDIC$7,000
United Bank banking violation2006FED$16,350
UNITED BANK banking violation2011FDIC$10,500
United AirlinesUnited Airlines Holdingsairlinesaccounting fraud or deficiencies2016SEC$2,400,000
Unirisc, Inc. tax violations2015CT-AG$10,770
Union State Bank of West Salem banking violation2017FDIC$12,450
Union State Bank banking violation2012FDIC$9,000
UNION STATE BANK banking violation2011FDIC$8,000
Union de Banques Arabes et Francaises economic sanction violation2021OFAC$8,572,500
UNION CREDIT BANK banking violation2006FDIC$70,000
Union Bank of California, N.A.U.S. Bancorpfinancial servicesanti-money-laundering deficiencies2007DOJ_CRIMINAL$21,600,000
Union Bank of CaliforniaU.S. Bancorpfinancial serviceseconomic sanction violation2005OFAC$5,500
Union Bank of CAU.S. Bancorpfinancial serviceseconomic sanction violation2003OFAC$14,913
Union Bank of CAU.S. Bancorpfinancial serviceseconomic sanction violation2003OFAC$12,000
UNION BANK AND TRUST COMPANY banking violation2010FDIC$8,575
UNION BANK & TRUST COMPANY banking violation2006FDIC$9,500
Union Bancaire Privee, UBP SAUnion Bancaire Priveefinancial servicestax violations2020DOJ_TAX$14,000,000
Union Bancaire PriveeUnion Bancaire Priveefinancial servicestax violations2016DOJ_TAX$187,000,000
Unikrn Inc. investor protection violation2020WA-SEC$310,000
Unifi Manufacturing, Inc.Unifi Inc.miscellaneous manufacturingtax violations2016CT-AG$27,075
UniCredit S.p.A.UniCreditfinancial serviceseconomic sanction violation2019OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $37,316,322
UniCredit GroupUniCreditfinancial serviceseconomic sanction violation2019DOJ_CRIMINAL$413,536,632
UniCredit GroupUniCreditfinancial serviceseconomic sanction violation2019NY-DFS$405,000,000
UniCredit Bank Austria AGUniCreditfinancial serviceseconomic sanction violation2019OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $20,326,340
UniCredit Bank Austria AGUniCreditfinancial serviceseconomic sanction violation2019NY-MANDA$20,000,000
UniCredit Bank AGUniCreditfinancial serviceseconomic sanction violation2019OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $553,380,759
UniCredit Bank AGUniCreditfinancial serviceseconomic sanction violation2019NY-MANDA$316,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.