Violation Tracker

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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 Companies	Total Penalty $	Number of Records
Bank of America	$41,332,842,096	155
UBS	$27,709,494,893	134
JPMorgan Chase	$26,659,159,167	117
Citigroup	$19,742,743,935	103
Deutsche Bank	$15,634,467,278	66
Goldman Sachs	$13,126,412,841	57
NatWest Group PLC	$12,235,546,857	25
Wells Fargo	$10,735,220,989	127
Morgan Stanley	$9,877,862,956	163
BNP Paribas	$9,164,773,000	10

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	Current Parent	Current Parent Industry	Primary Offense Type	Year	Agency	Penalty Amount
BlueLinx Holdings Inc.	BlueLinx Holdings	wholesalers	investor protection violation	2016	SEC	$265,000
Cardinal Health, Inc.	Cardinal Health	wholesalers	accounting fraud or deficiencies	2007	SEC	$35,000,000
Lansing Trade Group, LLC	Andersons Inc.	wholesalers	investor protection violation	2018	CFTC	$3,400,000
World Fuel Services Corporation	World Kinect Corporation	wholesalers	economic sanction violation	2013	OFAC	$39,501
Graybar Electric Company, Inc.	Graybar Electric	wholesalers	investor protection violation	2006	CA-DFPI	$45,000
Avnet Asia Pte. Ltd.	Avnet	wholesalers	economic sanction violation	2021	DOJ_NATSEC	$1,508,000
Waste Management, Inc.	Waste Management Inc.	waste management and environmental services	investor protection violation	2001	CT-AG	$457,000,000
Broadwind Energy	Broadwind Inc.	utilities and power generation	accounting fraud or deficiencies	2015	SEC	$1,000,000
Dresser-Rand Group, Inc.	Siemens Energy	utilities and power generation	economic sanction violation	2006	OFAC	$171,305
Nicor, Inc.	Southern Company	utilities and power generation	accounting fraud or deficiencies	2007	SEC	$10,000,000
Dynegy Inc.	Vistra Energy	utilities and power generation	accounting fraud or deficiencies	2002	SEC	$3,000,000
GDF Suez Energy Marketing NA, Inc.	Engie	utilities and power generation	tax violations	2012	CT-AG	$8,730
SCANA Corp.	Dominion Energy	utilities and power generation	investor protection violation	2020	SEC	$137,500,000
Plug Power Inc.	Plug Power Inc.	utilities and power generation	investor protection violation	2023	SEC	$1,250,000
British American Tobacco	British American Tobacco	tobacco	economic sanction violation	2023	DOJ_NATSEC	$629,000,000
British American Tobacco p.l.c.	British American Tobacco	tobacco	economic sanction violation	2023	OFAC	$5,348,685
Perot Systems Corporation	Nippon Telegraph & Telephone	telecommunications	economic sanction violation	2005	OFAC	$21,776
Motorola Inc.	Motorola Solutions	telecommunications	accounting fraud or deficiencies	2007	SEC	$25,000,000
Qwest Communications International Inc.	Lumen Technologies	telecommunications	accounting fraud or deficiencies	2004	SEC	$250,000,000
Lucent Technologies Inc.	Nokia	telecommunications	accounting fraud or deficiencies	2004	SEC	$25,000,000
Vivendi Universal, S.A.	Comcast	telecommunications	accounting fraud or deficiencies	2003	SEC	$50,000,000
WorldCom Inc.	Verizon Communications	telecommunications	accounting fraud or deficiencies	2003	SEC	$500,000,000
Ericsson, Inc. and Ericsson AB	Ericsson	telecommunications	economic sanction violation	2018	OFAC	$145,893
Ribbon Communications Inc. (fka Sonus Networks)	Ribbon Communications	telecommunications	investor protection violation	2018	SEC	$1,900,000
Cablevision Lightpath CT LLC	Altice USA Inc.	telecommunications	tax violations	2015	CT-AG	$6,000
Deutsche Telekom North America Inc.	Deutsche Telekom	telecommunications	tax violations	2012	CT-AG	$8,355
MCI	Verizon Communications	telecommunications	tax violations	2005	MULTI-AG	$315,000,000
MCI	Verizon Communications	telecommunications	tax violations	2005	MS-AG	$100,000,000
Qwest	Lumen Technologies	telecommunications	accounting fraud or deficiencies	2007	AK-AG	$19,000,000
Time Warner Cable Enterprises LLC	Charter Communications	telecommunications	tax violations	2015	CT-AG	$6,900
Verizon Service Corp. and Verizon New England	Verizon Communications	telecommunications	tax violations	2012	MA-AG	$317,909
Verizon Business	Verizon Communications	telecommunications	accounting fraud or deficiencies	2007	OK-AG	$11,700,000
Comtech Telecommunications Corp.	Comtech Telecommunications	telecommunications	economic sanction violation	2020	OFAC	$894,111
AT&T	AT&T	telecommunications	investor protection violation	2022	SEC	$6,250,000
Charter Communications Inc.	Charter Communications	telecommunications	accounting fraud or deficiencies	2023	SEC	$25,000,000
CSK Auto Corporation	O'Reilly Automotive	retailing	accounting fraud or deficiencies	2011	DOJ_CRIMINAL	$20,900,000
Cabela's	Bass Pro	retailing	accounting fraud or deficiencies	2016	SEC	$1,000,000
CVS Caremark Corp.	CVS Health	retailing	accounting fraud or deficiencies	2014	SEC	$20,000,000
Aetna Life Insurance Company	CVS Health	retailing	economic sanction violation	2008	OFAC	$5,210
Wal-Mart Stores, Inc.	Walmart	retailing	economic sanction violation	2003	OFAC	$50,000
Dollar General Corporation	Dollar General	retailing	accounting fraud or deficiencies	2005	SEC	$10,000,000
Walgreens Boots Alliance Inc.	Walgreens Boots Alliance	retailing	investor protection violation	2018	SEC	$34,500,000
Dollar Tree Sourcing Company, LLC	Dollar Tree	retailing	tax violations	2016	CT-AG	$8,400
Fresh Direct, LLC	Ahold Delhaize	retailing	tax violations	2014	CT-AG	$13,800
Kroger Prescription Plans, Inc.	Kroger	retailing	tax violations	2014	CT-AG	$22,590
Office Depot Inc.	ODP Corporation	retailing	tax violations	2004	IL-AG	$803,904
Target Corp.	Target	retailing	tax violations	2004	IL-AG	$803,904
Tops Markets, Inc.	Tops Markets	retailing	tax violations	2000	NY-AG	$21,000
Wal-Mart Stores Inc.	Walmart	retailing	tax violations	2004	IL-AG	$803,904
World's Foremost Bank	Bass Pro	retailing	banking violation	2014	FDIC	$1,000,000
World's Foremost Bank	Bass Pro	retailing	banking violation	2012	FDIC	$200,000
Nordstrom Nordstrom I, Inc. and Nordstrom Imports, Inc.	Nordstrom	retailing	investor protection violation	2014	AZ-CC	$2,263,142
Amazon.com, Inc.	Amazon.com	retailing	economic sanction violation	2020	OFAC	$134,523
Trump Taj Mahal Casino Resort	Hard Rock International	restaurants and foodservice	anti-money-laundering deficiencies	2015	FINCEN	$10,000,000
The Cheesecake Factory Incorporated	Cheesecake Factory	restaurants and foodservice	accounting fraud or deficiencies	2020	SEC	$125,000
St. Joe Company	St. Joe Company	real estate	accounting fraud or deficiencies	2015	SEC	$2,750,000
W.P. Carey & Co.	W.P. Carey Inc.	real estate	accounting fraud or deficiencies	2008	SEC	$30,000,000
Jones Lang LaSalle Incorporated	Jones Lang LaSalle	real estate	investor protection violation	2014	SEC	$150,000
Trump Corp.	Trump Organization	real estate	tax violations	2023	NY-MANDA	$810,000
Trump Payroll Corp.	Trump Organization	real estate	tax violations	2023	NY-MANDA	$800,000
CBRE, Inc.	CBRE Group	real estate	investor protection violation	2023	SEC	$375,000
MoneyGram International Inc.	Madison Dearborn Partners	private equity (including portfolio companies)	anti-money-laundering deficiencies	2012	DOJ_CRIMINAL	$100,000,000
Blackstone Group	Blackstone	private equity (including portfolio companies)	investor protection violation	2015	SEC	$39,000,000
Kohlberg Kravis Roberts & Co.	KKR & Co.	private equity (including portfolio companies)	investor protection violation	2015	SEC	$30,000,000
Royal Alliance Associates, SagePoint Financial and FSC Securities Corporation	Reverence Capital Partners	private equity (including portfolio companies)	investor protection violation	2016	SEC	$9,500,000
JDA Software Group Inc.	New Mountain Capital	private equity (including portfolio companies)	accounting fraud or deficiencies	2014	SEC	$750,000
America Online	Apollo Global Management	private equity (including portfolio companies)	accounting fraud or deficiencies	2004	DOJ_CRIMINAL	$210,000,000
VeriFone Holdings, Inc.	Francisco Partners	private equity (including portfolio companies)	accounting fraud or deficiencies	2009	SEC	$25,000
McAfee, Inc.	Advent International	private equity (including portfolio companies)	accounting fraud or deficiencies	2006	SEC	$50,000,000
TPG Capital	TPG Capital	private equity (including portfolio companies)	investor protection violation	2001	SEC	$50,000
America Online, Inc.	Apollo Global Management	private equity (including portfolio companies)	accounting fraud or deficiencies	2000	SEC	$3,500,000
TPG Capital Advisors, LLC	TPG Capital	private equity (including portfolio companies)	investor protection violation	2017	SEC	$12,487,620
Platinum Equity Advisors, LLC	Platinum Equity	private equity (including portfolio companies)	investor protection violation	2017	SEC	$3,402,132
KMS Financial Services, Inc.	Reverence Capital Partners	private equity (including portfolio companies)	investor protection violation	2017	SEC	$552,086
Ladenburg Thalmann Asset Management Inc.	Reverence Capital Partners	private equity (including portfolio companies)	investor protection violation	2016	SEC	$200,000
Securities America Advisors Inc.	Reverence Capital Partners	private equity (including portfolio companies)	investor protection violation	2018	SEC	$5,828,448
Institutional Shareholder Services Inc.	Genstar Capital	private equity (including portfolio companies)	investor protection violation	2013	SEC	$300,000
EnCap Investments L.P.	Encap Investments	private equity (including portfolio companies)	investor protection violation	2018	SEC	$500,000
Ingram Micro Inc.	Platinum Equity	private equity (including portfolio companies)	investor protection violation	2009	SEC	$15,000,000
Royal Alliance Associates, Inc.	Reverence Capital Partners	private equity (including portfolio companies)	investor protection violation	2009	SEC	$500,001
Woodbury Financial Services, Inc.	Reverence Capital Partners	private equity (including portfolio companies)	investor protection violation	2009	SEC	$65,000
MoneyGram International Inc.	Madison Dearborn Partners	private equity (including portfolio companies)	anti-money-laundering deficiencies	2018	DOJ_CRIMINAL	$125,000,000
Cobham Holdings, Inc	Advent International	private equity (including portfolio companies)	economic sanction violation	2018	OFAC	$87,507
Woodbury Financial Services, Inc.	Reverence Capital Partners	private equity (including portfolio companies)	investor protection violation	2019	SEC	$1,171,028
ADT Inc.	Apollo Global Management	private equity (including portfolio companies)	investor protection violation	2018	SEC	$100,000
AmerUs Life Insurance Co. and American Investors Life Insurance Co.	Apollo Global Management	private equity (including portfolio companies)	investor protection violation	2008	MN-AG	$375,000
AOL	Apollo Global Management	private equity (including portfolio companies)	accounting fraud or deficiencies	2006	AK-AG	$25,000,000
Carlyle Group	Carlyle Group	private equity (including portfolio companies)	investor protection violation	2009	NY-AG	$20,000,000
Pharmerica Professional Services, LLC	KKR & Co.	private equity (including portfolio companies)	tax violations	2016	CT-AG	$5,100
Riverstone Holdings LLC	Riverstone Holdings	private equity (including portfolio companies)	investor protection violation	2009	NY-AG	$30,000,000
Verifone, Inc.	Francisco Partners	private equity (including portfolio companies)	tax violations	2012	CT-AG	$6,205
Barracuda Networks, Inc.	KKR & Co.	private equity (including portfolio companies)	economic sanction violation	2015	OFAC	$38,930
Ares Management LLC	Ares Management	private equity (including portfolio companies)	investor protection violation	2020	SEC	$1,000,000
Monomoy Capital Management, L.P.	Monomoy Capital Partners	private equity (including portfolio companies)	investor protection violation	2020	SEC	$1,926,579
Securities Services Network, Inc.	Reverence Capital Partners	private equity (including portfolio companies)	investor protection violation	2000	FL-OFR	$10,000
Securities Services Network, Inc.	Reverence Capital Partners	private equity (including portfolio companies)	investor protection violation	2002	FL-OFR	$14,938
Royal Alliance Associates, Inc.	Reverence Capital Partners	private equity (including portfolio companies)	investor protection violation	2012	IL-SEC	$10,000
Securities America, Inc.	Reverence Capital Partners	private equity (including portfolio companies)	investor protection violation	2011	IN-SEC	$11,018
Securities America Inc.	Reverence Capital Partners	private equity (including portfolio companies)	investor protection violation	2013	MA-SEC	$150,000
Royal Alliance Associates, Inc.	Reverence Capital Partners	private equity (including portfolio companies)	investor protection violation	2013	MA-SEC	$25,000
Woodbury Financial Services, Inc.	Reverence Capital Partners	private equity (including portfolio companies)	investor protection violation	2009	MO-SEC	$6,000