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)
CompanyCurrent Parent sort iconCurrent Parent IndustryPrimary Offense TypeYearAgencyPenalty Amount
MetLife, Inc.MetLifefinancial servicesinvestor protection violation2018MA-SEC$1,000,000
MetLife Securities, Inc.MetLifefinancial servicesinvestor protection violation2006MS-SEC$50,000
Metlife Investors USA Insurance CoMetLifefinancial servicesinvestor protection violation2012MT-FIN$5,000
MetLife SecuritiesMetLifefinancial servicesinvestor protection violation2005OR-FIN$12,000
MetLife Securities, Inc.MetLifefinancial servicesinvestor protection violation2016FINRA$25,000,000
New England SecuritiesMetLifefinancial servicesinvestor protection violation2009FINRA$500,000
MetLife, Inc.MetLifefinancial servicesinvestor protection violation2006FINRA$5,000,000
Metropolitan Life Insurance Co.MetLifefinancial servicesinvestor protection violation2004FINRA$375,000
New England SecuritiesMetLifefinancial servicesinvestor protection violation2004FINRA$200,000
Facebook Inc.Meta Platforms Inc.information technologyinvestor protection violation2019SEC$100,000,000
EMD Chemicals, Inc.Merck KGaA (EMD)pharmaceuticalseconomic sanction violation2007OFAC$8,250
Schering-Plough CorporationMerckpharmaceuticalsinvestor protection violation2003SEC$1,000,000
Merck & Co., Inc.Merckpharmaceuticalstax violations2007IRS$2,300,000,000
Medtronic MiniMed, IncMedtronicmedical equipment and supplieseconomic sanction violation2004OFAC$12,500
Medifast Inc.Medifast Inc.miscellaneous servicesaccounting fraud or deficiencies2013SEC$200,000
McKinsey & Company, Inc.McKinseybusiness servicesbankruptcy professional violation2019DOJ_UTP$15,000,000
McKinsey & Company, Inc. Washington D.C.McKinseybusiness servicestax violations2014CT-AG$9,255
MBIA Inc.MBIAfinancial servicesaccounting fraud or deficiencies2007SEC$50,000,000
Ascend Management Innovations LLCMaximusmiscellaneous servicestax violations2016CT-AG$22,800
Maximus, Inc.Maximusmiscellaneous servicesinvestor protection violation2023SEC$500,000
Mattel Inc.Mattelmiscellaneous manufacturingaccounting fraud or deficiencies2022SEC$3,500,000
Massachusetts Mutual Life Insurance CompanyMassachusetts Mutual Life Insurancefinancial servicesinvestor protection violation2012SEC$1,625,000
MML Investors Services LLCMassachusetts Mutual Life Insurancefinancial servicesinvestor protection violation2015PA-BKG$100,000
MML Investor Services, Inc.Massachusetts Mutual Life Insurancefinancial servicesinvestor protection violation2004FINRA$250,000
MML Investors Services, LLCMassachusetts Mutual Life Insurancefinancial servicesinvestor protection violation2021SEC$2,109,458
MML Investors Services, LLCMassachusetts Mutual Life Insurancefinancial servicesinvestor protection violation2022MA-SEC$262,092
MML Investors Services, LLCMassachusetts Mutual Life Insurancefinancial servicesinvestor protection violation2023MI-SEC$10,000
Marvell Technology Group, Ltd.Marvell Technologyelectrical and electronic equipmentaccounting fraud or deficiencies2008SEC$10,000,000
Marvell Technology Group, Ltd.Marvell Technologyelectrical and electronic equipmentaccounting fraud or deficiencies2019SEC$5,500,000
Seabury & Smith Inc.Marsh & McLennanfinancial serviceseconomic sanction violation2005OFAC$46,341
Guy Carpenter & Company, IncMarsh & McLennanfinancial serviceseconomic sanction violation2003OFAC$50,000
Marsh and McLennanMarsh & McLennanfinancial servicesinvestor protection violation2009MULTI-AG$400,000,000
MercerMarsh & McLennanfinancial servicesaccounting fraud or deficiencies2010AK-AG$500,000,000
Starwood Hotel & Resorts Worldwide, Inc.Marriott Internationalhotelsinvestor protection violation2014SEC$75,000
Starwood Hotels & Resorts Worldwide Foundation, Inc.Marriott Internationalhotelstax violations2014CT-AG$9,000
Hess Retail Services, Inc.Marathon Petroleumoil and gastax violations2015CT-AG$11,655
Andeavor LLCMarathon Petroleumoil and gasaccounting fraud or deficiencies2020SEC$20,000,000
John Hancock Investment Management Services, LLCManulife Financialfinancial servicesinvestor protection violation2007SEC$19,787,879
John Hancock Assignment Co.Manulife Financialfinancial servicestax violations2014CT-AG$38,910
Maersk Line, Ltd.Maerskfreight and logisticseconomic sanction violation2004OFAC$5,500
Maersk Inc.Maerskfreight and logisticseconomic sanction violation2003OFAC$40,000
Maersk Line, LimitedMaerskfreight and logisticseconomic sanction violation2010OFAC$3,088,400
MoneyGram International Inc.Madison Dearborn Partnersprivate equity (including portfolio companies)anti-money-laundering deficiencies2012DOJ_CRIMINAL$100,000,000
MoneyGram International Inc.Madison Dearborn Partnersprivate equity (including portfolio companies)anti-money-laundering deficiencies2018DOJ_CRIMINAL$125,000,000
MoneyGram Payment Systems, IncMadison Dearborn Partnersprivate equity (including portfolio companies)economic sanction violation2021OFAC$34,328
MoneyGram International Inc.Madison Dearborn Partnersprivate equity (including portfolio companies)anti-money-laundering deficiencies2022NY-DFS$8,250,000
Macquarie Capital (USA) Inc.Macquariefinancial servicesinvestor protection violation2015SEC$15,000,000
Macquarie Capital Investment Management LLC, et alMacquariefinancial servicesinvestor protection violation2015SEC$120,000
Waddell & Reed, Inc.Macquariefinancial servicesinvestor protection violation2006SEC$50,000,000
Waddell & Reed, Inc.Macquariefinancial servicesinvestor protection violation2003FL-OFR$8,800
Waddell & Reed, Inc.Macquariefinancial servicesinvestor protection violation2006MO-SEC$172,161
Waddell & Reed, Inc.Macquariefinancial servicesinvestor protection violation2005MT-FIN$25,000
Waddell & Reed, Inc.Macquariefinancial servicesinvestor protection violation2016NH-BSR$900,000
Waddell & Reed Inc.Macquariefinancial servicesinvestor protection violation2008OK-SEC$10,000
Waddell & Reed, Inc.Macquariefinancial servicesinvestor protection violation2005MULTI-FIN$18,000,000
Macquarie Capital (USA) Inc.Macquariefinancial servicesinvestor protection violation2015FINRA$2,950,000
Waddell & Reed, Inc.Macquariefinancial servicesinvestor protection violation2005FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $16,000,000
Waddell & Reed, LLCMacquariefinancial servicesinvestor protection violation2022SEC$200,000
RevlonMacAndrews & Forbesdiversifiedinvestor protection violation2013SEC$850,000
Wilmington TrustM&T Bankfinancial servicesaccounting fraud or deficiencies2014SEC$18,500,000
Wilmington Trust CompanyM&T Bankfinancial servicesinvestor protection violation2004SEC$125,000
M&T BankM&T Bankfinancial servicesanti-money-laundering deficiencies2014USAO$560,000
Wilmington Trust CompanyM&T Bankfinancial servicesinvestor protection violation2007SEC$100,000
Wilmington Trust Co.M&T Bankfinancial servicesinvestor protection violation2005DE-SEC$50,000
M&T BankM&T Bankfinancial servicesbanking violation2020FED$546,000
M&T Securities, Inc.M&T Bankfinancial servicesinvestor protection violation2009FINRA$200,000
Wilmington Trust Investment Management, LLCM&T Bankfinancial servicesinvestor protection violation2023SEC$1,327,147
Lyft Inc.Lyft Inc.miscellaneous servicesinvestor protection violation2023SEC$10,000,000
Sephora USA Inc.LVMHappareltax violations2019IN-AG$159,349
Qwest Communications International Inc.Lumen Technologiestelecommunicationsaccounting fraud or deficiencies2004SEC$250,000,000
QwestLumen Technologiestelecommunicationsaccounting fraud or deficiencies2007AK-AG$19,000,000
Lufthansa Cargo AGLufthansaairlineseconomic sanction violation2005OFAC$31,787
LPL Financial CorporationLPL Financialfinancial servicesinvestor protection violation2008SEC$275,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2019SEC$9,333,516
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2019MULTI-AG$25,848,000
LPL Financial, LLCLPL Financialfinancial servicesinvestor protection violation2017NJ-AG$975,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2018AL-SEC$80,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2019AR-SEC$40,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2015DE-SEC$200,000
LPL Financial Corp.LPL Financialfinancial servicesinvestor protection violation2010IL-SEC$300,000
LPL Financial, LLCLPL Financialfinancial servicesinvestor protection violation2011IL-SEC$250,000
LPL Financial, LLCLPL Financialfinancial servicesinvestor protection violation2013IN-SEC$14,000
LPL Financial, LLCLPL Financialfinancial servicesinvestor protection violation2018IN-SEC$450,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2013MA-SEC$500,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2015MA-SEC$250,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2019MD-SEC$499,000
LPL Financial Corp.LPL Financialfinancial servicesinvestor protection violation2010MO-SEC$37,540
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2013MO-SEC$185,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2018MS-SEC$40,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2012MT-FIN$30,500
Investment Centers of America Inc.LPL Financialfinancial servicesinvestor protection violation2006ND-SEC$6,000
LPL Financial, LLCLPL Financialfinancial servicesinvestor protection violation2015NH-BSR$750,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2011OR-FIN$100,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2019SC-SEC$40,000
LPL Financial CorporationLPL Financialfinancial servicesinvestor protection violation2008TX-SEC$5,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2016TX-SEC$95,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2015MULTI-FIN$1,425,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2018MULTI-FIN$26,000,000
UVEST Financial Services Group, Inc.LPL Financialfinancial servicesinvestor protection violation2013MULTI-FIN$750,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2020NH-BSR$976,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2016FINRA$750,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.