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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 Industry sort iconPrimary Offense TypeYearAgencyPenalty Amount
Woodbury Financial Services, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2009MO-SEC$6,000
American General Securities Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2010MS-SEC$215,000
Royal Alliance Associates, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2007MT-FIN$5,000
Securities America, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2012MT-FIN$115,000
Securities America, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2016NE-DBF$40,000
Royal Alliance Associates, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2019NH-BSR$190,000
Securities America Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2015OR-FIN$100,000
SagePoint Financial Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2017SC-SEC$40,000
Woodbury Financial Services Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2004TX-SEC$12,500
Royal Alliance Associates, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2020SEC$502,400
Securities America Advisors, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2020SEC$603,776
Securities America, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2009FINRA$55,000
American General Securities, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2006FINRA$1,100,000
Royal Alliance Associates, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2005FINRA$6,600,000
Securities America, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2005FINRA$2,400,000
Ladenburg Thalmann & Co.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2005FINRA$1,200,000
Securities America, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2021VA-SEC$25,000
MoneyGram Payment Systems, IncMadison Dearborn Partnersprivate equity (including portfolio companies)economic sanction violation2021OFAC$34,328
KMS Financial Services Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2021SEC$200,000
KMS Financial Services, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2021SEC$200,000
Securities America Advisors, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2021SEC$1,750,000
Schlumberger Rod Lift, Inc.KPS Capital Partnersprivate equity (including portfolio companies)economic sanction violation2021OFAC$160,000
MoneyGram International Inc.Madison Dearborn Partnersprivate equity (including portfolio companies)anti-money-laundering deficiencies2022NY-DFS$8,250,000
Energy Capital Partners Management LPEnergy Capital Partnersprivate equity (including portfolio companies)investor protection violation2022SEC$1,000,000
Woodbury Financial Services, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2023SEC$100,000
SagePoint Financial, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2023SEC$100,000
Oregon Tool, Inc.Platinum Equityprivate equity (including portfolio companies)anti-money-laundering deficiencies2023USAO$1,700,000
Sunoco LPEnergy Transferpipelinesinvestor protection violation2020CFTC$450,000
SunocoEnergy Transferpipelinestax violations2021AL-AG$122,314
EMD Chemicals, Inc.Merck KGaA (EMD)pharmaceuticalseconomic sanction violation2007OFAC$8,250
Chiron Corporation LtdNovartispharmaceuticalseconomic sanction violation2004OFAC$168,500
DuPont Pharmaceuticals CompanyBristol-Myers Squibbpharmaceuticalseconomic sanction violation2004OFAC$6,600
Fort Dodge Animal HealthZoetispharmaceuticalseconomic sanction violation2004OFAC$26,956
ICN Pharmaceuticals, IncBausch Healthpharmaceuticalseconomic sanction violation2004OFAC$5,500
Biovail CorporationBausch Healthpharmaceuticalsaccounting fraud or deficiencies2008SEC$10,000,000
Elan Corporation, plcPerrigopharmaceuticalsaccounting fraud or deficiencies2005SEC$15,000,000
Bristol-Myers Squibb CompanyBristol-Myers Squibbpharmaceuticalsaccounting fraud or deficiencies2004SEC$150,000,000
Schering-Plough CorporationMerckpharmaceuticalsinvestor protection violation2003SEC$1,000,000
ICN Pharmaceuticals, Inc.Bausch Healthpharmaceuticalsaccounting fraud or deficiencies2002SEC$1,000,000
Allergan Inc.AbbViepharmaceuticalsinvestor protection violation2017SEC$15,000,000
Galena Biopharma, Inc.SELLAS Life Sciences Grouppharmaceuticalsaccounting fraud or deficiencies2017SEC$200,000
Alere Inc.Abbott Laboratoriespharmaceuticalsaccounting fraud or deficiencies2017SEC$13,023,885
Aegerion PharmaceuticalsAmryt Pharmapharmaceuticalsinvestor protection violation2017SEC$4,100,000
Cytrx CorporationCytRxpharmaceuticalsinvestor protection violation2017SEC$75,000
Clovis Oncology Inc.Clovis Oncologypharmaceuticalsinvestor protection violation2018SEC$20,000,000
Mylan N.V.Viatrispharmaceuticalsinvestor protection violation2019SEC$30,000,000
GlaxoSmithKline Holdings (Americas)GlaxoSmithKlinepharmaceuticalstax violations2006IRS$3,400,000,000
Merck & Co., Inc.Merckpharmaceuticalstax violations2007IRS$2,300,000,000
Amyris, Inc.Amyrispharmaceuticalsinvestor protection violation2021SEC$300,000
Axalta Powder Coating Systems, USA, Inc.Axalta Coating Systemspaints and coatingstax violations2014CT-AG$6,428
Schlumberger Oilfield HoldingsSchlumbergeroilfield services and supplieseconomic sanction violation2015OFAC$232,708,356
Halliburton Atlantic LimitedHalliburtonoilfield services and supplieseconomic sanction violation2016OFAC$304,706
Bently Nevada CorporationBaker Hughesoilfield services and supplieseconomic sanction violation2003OFAC$8,250
Varco International, Inc.NOV Inc.oilfield services and supplieseconomic sanction violation2003OFAC$7,428
Halliburton Co.Halliburtonoilfield services and suppliesaccounting fraud or deficiencies2004SEC$7,500,000
National Oilwell Varco and Dreco Energy Services Ltd.NOV Inc.oilfield services and supplieseconomic sanction violation2016OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $5,976,028
Weatherford InternationalWeatherford Internationaloilfield services and suppliesaccounting fraud or deficiencies2016SEC$140,000,000
FMC TechnologiesTechnipFMCoilfield services and suppliesaccounting fraud or deficiencies2016SEC$2,500,000
Ameron International CorporationNOV Inc.oilfield services and supplieseconomic sanction violation2013OFAC$434,700
National Oilwell VarcoNOV Inc.oilfield services and supplieseconomic sanction violation2016USAO$25,000,000
Cameron International CorporationSchlumbergeroilfield services and supplieseconomic sanction violation2021OFAC$1,423,766
Magnum Hunter Resources CorporationBlue Ridge Mountain Resourcesoil and gasaccounting fraud or deficiencies2016SEC$250,000
Eni Petroleum Co. Inc.ENIoil and gaseconomic sanction violation2008OFAC$6,562
Chevron CorporationChevronoil and gaseconomic sanction violation2007OFAC$2,000,000
Conoco Middle East Ltd.ConocoPhillipsoil and gaseconomic sanction violation2004OFAC$16,500
Conoco, IncConocoPhillipsoil and gaseconomic sanction violation2004OFAC$16,500
Chevron/TexacoChevronoil and gaseconomic sanction violation2003OFAC$14,071
Exxon Mobil CorpExxon Mobiloil and gaseconomic sanction violation2003OFAC$50,000
Royal Dutch Petroleum CompanyShell PLCoil and gasaccounting fraud or deficiencies2004SEC$120,000,000
Exxon MobilExxon Mobiloil and gaseconomic sanction violation2017OFAC$2,000,000
SandRidge Energy, Inc.SandRidge Energyoil and gasinvestor protection violation2016SEC$1,400,000
Statoil, ASAEquinoroil and gasinvestor protection violation2006SEC$10,500,000
Amerada HessHess Corp.oil and gastax violations2000LA-AG$4,360,000
Chevron Oil Co.Chevronoil and gastax violations2004LA-AG$102,000,000
Chevron Oil Co.Chevronoil and gastax violations2000LA-AG$9,600,000
ConocoConocoPhillipsoil and gastax violations2000LA-AG$4,360,000
Hess Retail Services, Inc.Marathon Petroleumoil and gastax violations2015CT-AG$11,655
ShellShell PLCoil and gastax violations2000LA-AG$4,360,000
UnocalChevronoil and gastax violations2000LA-AG$4,360,000
Andeavor LLCMarathon Petroleumoil and gasaccounting fraud or deficiencies2020SEC$20,000,000
Navistar International Corp.Volkswagenmotor vehiclesinvestor protection violation2016SEC$7,500,000
PACCARPaccarmotor vehiclesaccounting fraud or deficiencies2013SEC$225,000
Thor Industries Inc.Thor Industriesmotor vehiclesaccounting fraud or deficiencies2011SEC$1,000,000
Volvo Construction Equipment North America, Inc.Volvomotor vehicleseconomic sanction violation2009OFAC$33,000
DaimlerChryslerStellantismotor vehicleseconomic sanction violation2004OFAC$32,500
General MotorsGeneral Motorsmotor vehiclesaccounting fraud or deficiencies2017SEC$1,000,000
American Honda Finance CorporationHondamotor vehicleseconomic sanction violation2017OFAC$87,255
Maxwell Technologies, Inc.Tesla Inc.motor vehiclesaccounting fraud or deficiencies2018SEC$2,800,000
Tesla Inc.Tesla Inc.motor vehiclesinvestor protection violation2018SEC$20,000,000
Daimler Trucks North AmericaDaimler Truck AGmotor vehiclesaccounting fraud or deficiencies2009OR-AG$150,000
PACCAR Inc.Paccarmotor vehicleseconomic sanction violation2019OFAC$1,709,325
Tesla Energy Solutions (fka SolarCity) and Novogradac & Company LLPTesla Inc.motor vehiclestax violations2018OR-AG$13,000,000
Toyota Motor Credit CorporationToyotamotor vehicleseconomic sanction violation2013OFAC$23,400
Fiat Chrysler Automobiles N.V.Stellantismotor vehiclesaccounting fraud or deficiencies2019SEC$40,000,000
NissanNissanmotor vehiclesaccounting fraud or deficiencies2019SEC$15,000,000
Fiat Chrysler Automobiles N.V.Stellantismotor vehiclesinvestor protection violation2020SEC$9,500,000
BMW AGBMWmotor vehiclesaccounting fraud or deficiencies2020SEC$18,000,000
General MotorsGeneral Motorsmotor vehiclesinvestor protection violation2021CA-AG$5,750,000
Nikola CorporationNikola Corporationmotor vehiclesinvestor protection violation2021SEC$125,000,000
Canoo Inc.Canoo Inc.motor vehiclesinvestor protection violation2023SEC$1,500,000
Lordstown Motors Corp.Lordstown Motorsmotor vehiclesinvestor protection violation2024SEC$25,500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.