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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 Parent sort iconCurrent Parent IndustryPrimary Offense TypeYearAgencyPenalty Amount
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2016FINRA$750,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2013FINRA$9,000,000
Investment Centers of America, Inc.LPL Financialfinancial servicesinvestor protection violation2005FINRA$363,500
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2021SEC$891,202
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2021CT-SEC$500,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2022TX-SEC$125,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2022NH-BSR$10,307
LPL Financial, LLCLPL Financialfinancial servicesinvestor protection violation2023PA-BKG$190,000
LPL Financial, LLCLPL Financialfinancial servicesinvestor protection violation2023MA-SEC$250,000
Lordstown Motors Corp.Lordstown Motorsmotor vehiclesinvestor protection violation2024SEC$25,500,000
Logitech InternationalLogitech Internationalelectrical and electronic equipmentaccounting fraud or deficiencies2016SEC$7,500,000
Lloyds TSB Bank PLCLloyds Banking Groupfinancial serviceseconomic sanction violation2009DOJ_CRIMINAL$175,000,000
Lloyds TSB Bank plcLloyds Banking Groupfinancial serviceseconomic sanction violation2009NY-MANDA$175,000,000
Lumber Liquidators Holdings Inc.LL Flooring Holdingshousewares and home furnishingsinvestor protection violation2019SEC$6,000,000
Lions Gate Entertainment Corp.Lions Gate Entertainmententertainmentaccounting fraud or deficiencies2014SEC$7,500,000
Lincoln Financial Advisors Corp.Lincoln Nationalfinancial servicesinvestor protection violation2013MA-SEC$100,000
Lincoln Financial Advisors Corp.Lincoln Nationalfinancial servicesinvestor protection violation2007RI-FIN$5,000
Lincoln Financial Securities CorporationLincoln Nationalfinancial servicesinvestor protection violation2010TX-SEC$40,000
JEFFERSON PILOT SECURITIESLincoln Nationalfinancial servicesinvestor protection violation2003VA-SEC$26,500
LINCOLN FINANCIAL SECURITIESLincoln Nationalfinancial servicesinvestor protection violation2018VA-SEC$20,000
Lincoln Financial Securities CorporationLincoln Nationalfinancial servicesinvestor protection violation2010VT-FIN$10,000
Lincoln Financial Advisors CorporationLincoln Nationalfinancial servicesinvestor protection violation2005FINRA$950,000
Jefferson Pilot Securities CorporationLincoln Nationalfinancial servicesinvestor protection violation2004FINRA$125,000
Lincoln Financial Advisors CorporationLincoln Nationalfinancial servicesinvestor protection violation2024SEC$8,500,000
AVEO Pharmaceuticals Inc.LGdiversifiedinvestor protection violation2016SEC$4,000,000
LendingClub CorporationLendingClub Corp.financial servicesbanking violation2018USAO$2,000,000
LendingClub Asset Management LLCLendingClub Corp.financial servicesinvestor protection violation2018SEC$5,000,000
LendingClub Corp.LendingClub Corp.financial servicesinvestor protection violation2015CA-DFPI$46,000
LendingClub Corp.LendingClub Corp.financial servicesinvestor protection violation2012FL-OFR$100,000
LendingClub CorporationLendingClub Corp.financial servicesinvestor protection violation2013ME-SEC$45,000
LendingClub Corp.LendingClub Corp.financial servicesinvestor protection violation2012MO-SEC$105,000
LendingClub CorporationLendingClub Corp.financial servicesinvestor protection violation2015SC-SEC$150,000
LendingClub CorporationLendingClub Corp.financial servicesinvestor protection violation2020TX-SEC$400,000
Reveal Imaging Technologies, Inc.Leidosinformation technologytax violations2013CT-AG$10,455
Lattice Semiconductor CorporationLattice Semiconductorelectrical and electronic equipmentinvestor protection violation2023SEC$185,000
Las Vegas Sands Corp.Las Vegas Sands Corp.entertainmentanti-money-laundering deficiencies2013USAO$47,400,300
Lactalis USA, Inc.Lactalisfood productseconomic sanction violation2009OFAC$20,950
L3 Technologies Inc.L3Harris Technologiesaerospace and military contractingaccounting fraud or deficiencies2017SEC$1,600,000
Kuehne & Nagel, Inc.Kuehne & Nagelfreight and logisticseconomic sanction violation2005OFAC$18,957
Kroger Prescription Plans, Inc.Krogerretailingtax violations2014CT-AG$22,590
Kraft Heinz CompanyKraft Heinzfood productsaccounting fraud or deficiencies2021SEC$62,000,000
Schlumberger Rod Lift, Inc.KPS Capital Partnersprivate equity (including portfolio companies)economic sanction violation2021OFAC$160,000
KPMGKPMGbusiness servicesaccounting fraud or deficiencies2014SEC$8,200,000
KPMG AustraliaKPMGbusiness servicesaccounting fraud or deficiencies2011SEC$2,742,000
KPMG LLPKPMGbusiness servicestax violations2005DOJ_TAX$456,000,000
KPMG LLP (KPMG Canada)KPMGbusiness servicesaccounting fraud or deficiencies2005SEC$73,682
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2005SEC$22,000,000
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2016SEC$230,000
KPMGKPMGbusiness servicesaccounting fraud or deficiencies2018SEC$241,305
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2019SEC$50,000,000
KPMG HuazhenKPMGbusiness servicesaccounting fraud or deficiencies2015SEC$500,000
KPMG Audit LimitedKPMGbusiness servicesaccounting fraud or deficiencies2019PCAOB$250,000
KPMG Auditores IndependentesKPMGbusiness servicesaccounting fraud or deficiencies2017PCAOB$15,000
KPMG AustraliaKPMGbusiness servicesaccounting fraud or deficiencies2021PCAOB$450,000
KPMG Inc.KPMGbusiness servicesaccounting fraud or deficiencies2022PCAOB$200,000
KPMG Samjong Accounting Corp.KPMGbusiness servicesaccounting fraud or deficiencies2022PCAOB$350,000
KPMG Accountants N.V.KPMGbusiness servicesaccounting fraud or deficiencies2022PCAOB$50,000
KPMG LLP (Canada)KPMGbusiness servicesaccounting fraud or deficiencies2022PCAOB$150,000
KPMG S.p.AKPMGbusiness servicesaccounting fraud or deficiencies2022PCAOB$75,000
KPMG Assurance and Consulting Services LLPKPMGbusiness servicesaccounting fraud or deficiencies2022PCAOB$1,000,000
KPMG LLP(United Kingdom)KPMGbusiness servicesaccounting fraud or deficiencies2022PCAOB$2,000,000
KPMG LLP (United Kingdom)KPMGbusiness servicesaccounting fraud or deficiencies2022PCAOB$600,000
KPMG S.A.S.KPMGbusiness servicesaccounting fraud or deficiencies2022PCAOB$4,000,000
KPMG Samjong Accounting Corp.KPMGbusiness servicesaccounting fraud or deficiencies2022PCAOB$30,000
KPMG ArgentinaKPMGbusiness servicesaccounting fraud or deficiencies2023PCAOB$40,000
KPMG Auditores Independentes Ltda.KPMGbusiness servicesaccounting fraud or deficiencies2023PCAOB$40,000
KPMG AZSA LLCKPMGbusiness servicesaccounting fraud or deficiencies2023PCAOB$500,000
KPMG Accountants N.V.KPMGbusiness servicesaccounting fraud or deficiencies2024PCAOB$25,000,000
Koppers Holdings Inc.Kopperschemicalsinvestor protection violation2022SEC$1,300,000
Koch Foods, L.L.C.Koch Foodsfood productseconomic sanction violation2006OFAC$43,947
Kohlberg Kravis Roberts & Co.KKR & Co.private equity (including portfolio companies)investor protection violation2015SEC$30,000,000
Pharmerica Professional Services, LLCKKR & Co.private equity (including portfolio companies)tax violations2016CT-AG$5,100
Barracuda Networks, Inc.KKR & Co.private equity (including portfolio companies)economic sanction violation2015OFAC$38,930
Kimberly-Clark Global Sales, LLCKimberly-Clarkhousehold and personal care productstax violations2012CT-AG$9,465
Keysight Technologies, IncKeysight Technologiesautomotive partseconomic sanction violation2020OFAC$473,157
Keybank National AssociationKeyCorpfinancial servicesbanking violation2015OCC$5,005
First Niagara Bank, National AssociationKeyCorpfinancial servicesbanking violation2011OCC$10,000
KeyBanc Capital Markets Inc.KeyCorpfinancial servicesaccounting fraud or deficiencies2016SEC$175,000
Key Bank National AssociationKeyCorpfinancial serviceseconomic sanction violation2008OFAC$200,000
Keybank National AssociationKeyCorpfinancial servicesbanking violation2007OCC$27,750
Keybanc Capital Markets Inc.KeyCorpfinancial servicesinvestor protection violation2016SEC$440,000
First Niagara Bank, National AssociationKeyCorpfinancial servicesbanking violation2016OCC$2,000,000
KeyBanc Capital Markets Inc.KeyCorpfinancial servicesinvestor protection violation2023SEC$397,135
Kemper Distributors, Inc.Kemperfinancial servicesinvestor protection violation2000FINRA$100,000
KBR, Inc.KBRconstruction and engineeringinvestor protection violation2015SEC$130,000
KBR Inc.KBRconstruction and engineeringaccounting fraud or deficiencies2018SEC$2,500,000
Bank Julius Baer & Co. Ltd.Julius Baer Groupfinancial servicestax violations2016DOJ_TAX$547,000,000
Bank Julius Baer & Co. Ltd.Julius Baer Groupfinancial servicesmoney laundering2021DOJ_CRIMINAL$79,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasefinancial servicesbanking violation2015OCC$30,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasefinancial servicesbanking violation2014OCC$350,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasefinancial servicesbanking violation2013OCC$60,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasefinancial servicesbanking violation2011OCC$35,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasefinancial servicesbanking violation2011OCC$2,000,000
JPMORGAN CHASE & CO.JPMorgan Chasefinancial servicesbanking violation2015FED$342,000,000
JPMORGAN CHASE & CO.JPMorgan Chasefinancial servicesbanking violation2013FED$200,000,000
J.P. Morgan Chase Bank, N.A.JPMorgan Chasefinancial servicesanti-money-laundering deficiencies2014FINCEN$461,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2016SEC$4,000,000
J.P. Morgan Securities LLC and JPMorgan Chase Bank N.A.JPMorgan Chasefinancial servicesinvestor protection violation2015SEC$267,000,000
JPMorgan & Co.JPMorgan Chasefinancial servicesaccounting fraud or deficiencies2013SEC$200,000,000
JPMorgan Chase BankJPMorgan Chasefinancial servicesaccounting fraud or deficiencies2012CFTC$20,000,000
JPMorgan Chase BankJPMorgan Chasefinancial servicesanti-money-laundering deficiencies2014USAO$1,700,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.