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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
OppenheimerFunds Inc.Invescofinancial servicesinvestor protection violation2009OR-AG$20,000,000
OppenheimerFunds, Inc.Invescofinancial servicesinvestor protection violation2009IL-AG$77,230,000
OppenheimerFunds Distributor, Inc.Invescofinancial servicesinvestor protection violation2007CO-SEC$494,500
OppenheimerFunds Distributor, Inc.Invescofinancial servicesinvestor protection violation2007WA-FIN$669,500
Intuitive Surgical, Inc.Intuitive Surgicalmedical equipment and suppliestax violations2012CT-AG$18,435
Banca IMI Securities Corp.Intesa Sanpaolofinancial servicesinvestor protection violation2017SEC$35,300,000
Intesa Sanpaolo S.p.A.Intesa Sanpaolofinancial serviceseconomic sanction violation2013OFAC$2,949,030
Intesa Sanpaolo S.p.A.Intesa Sanpaolofinancial servicesanti-money-laundering deficiencies2016NY-DFS$235,000,000
McCann-Erickson WorldwideInterpublicmiscellaneous servicesaccounting fraud or deficiencies2008SEC$12,000,000
International Game TechnologyInternational Game Technologymiscellaneous manufacturingaccounting fraud or deficiencies2016SEC$500,000
New York Stock ExchangeIntercontinentalExchange Groupfinancial servicesinvestor protection violation2018SEC$14,000,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2014SEC$56,000
Interactive Brokers, LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2019NJ-AG$100,000
Interactive Brokers, LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2013AR-SEC$6,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2021CFTC$84,320,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2022OK-SEC$15,000
Interactive Brokers Corp.Interactive Brokers Groupfinancial servicesinvestor protection violation2023SEC$35,000,000
Innospec Inc.Innospecchemicalseconomic sanction violation2010OFAC$2,200,000
Ingersoll-Rand Co.Ingersoll Randindustrial equipmenteconomic sanction violation2003OFAC$137,500
ING Bank N.V.INGfinancial serviceseconomic sanction violation2012DOJ_CRIMINAL$619,000,000
ING Bank N.V.INGfinancial serviceseconomic sanction violation2012OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $619,000,000
ING Bank, NVINGfinancial serviceseconomic sanction violation2012NY-MANDA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $309,500,000
Industrial Bank of KoreaIndustrial Bank of Koreafinancial servicesanti-money-laundering deficiencies2020NY-DFS$35,000,000
ICBC Standard Bank PlcIndustrial and Commercial Bank of Chinafinancial servicesinvestor protection violation2015SEC$4,200,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinafinancial servicesinvestor protection violation2018SEC$1,250,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinafinancial servicesinvestor protection violation2018SEC$860,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinafinancial servicesinvestor protection violation2019SEC$42,700,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinafinancial servicesanti-money-laundering deficiencies2018FINRA$5,300,000
Industrial and Commercial Bank of China Ltd.Industrial and Commercial Bank of Chinafinancial servicesbanking violation2024FED$2,400,000
Industrial and Commercial Bank of China Ltd.Industrial and Commercial Bank of Chinafinancial servicesbanking violation2024NY-DFS$30,000,000
INDEPENDENT BANKIndependent Bank Corp. (Michigan)financial servicesbanking violation2015FED$56,205
Buehler Ltd.Illinois Tool Worksindustrial equipmenteconomic sanction violation2008OFAC$20,000
Iconix Brand Group Inc.Iconix Brand Groupapparelaccounting fraud or deficiencies2019SEC$5,500,000
AAMCO TRANSMISSIONS, INC.Icahn Enterprisesdiversifiedinvestor protection violation2013VA-SEC$10,000
International Business MachinesIBM Corp.information technologyaccounting fraud or deficiencies2007SEC$7,000,000
Huron Consulting Group Inc.Huron Consulting Groupmiscellaneous servicesaccounting fraud or deficiencies2012SEC$1,000,000
TCF National BankHuntington Bancsharesfinancial servicesbanking violation2016OCC$56,500
Huntington Bancshares, Inc.Huntington Bancsharesfinancial servicesaccounting fraud or deficiencies2005SEC$7,500,000
TCF National BankHuntington Bancsharesfinancial servicesbanking violation2018OCC$3,000,000
SeniorBridge Family Companies (NY), Inc.Humanahealthcare servicestax violations2015CT-AG$6,270
HSBC Bank USA, National AssociationHSBCfinancial servicesbanking violation2016OCC$35,000,000
HSBC Private Bank (Suisse)HSBCfinancial servicesinvestor protection violation2014SEC$12,500,000
HSBCHSBCfinancial servicestoxic securities abuses2012NCUA$5,250,000
HSBC HoldingsHSBCfinancial serviceseconomic sanction violation2012OFAC$375,000,000
HSBC Bank USAHSBCfinancial serviceseconomic sanction violation2004OFAC$5,500
HSBC Bank USAHSBCfinancial serviceseconomic sanction violation2004OFAC$8,375
HSBC Bank USAHSBCfinancial serviceseconomic sanction violation2003OFAC$5,500
HSBC Bank USAHSBCfinancial serviceseconomic sanction violation2003OFAC$11,000
HSBC Bank USA, N.A.HSBCfinancial servicesinvestor protection violation2007SEC$10,500,000
HSBC Bank USA, National AssociationHSBCfinancial servicesbanking violation2017OCC$32,500,000
HSBC HoldingsHSBCfinancial servicesbanking violation2017FED$175,000,000
HSBC Securities (USA) Inc.HSBCfinancial servicestoxic securities abuses2016VA-AG$2,500,000
HSBC Bank USA, N.A.HSBCfinancial servicesinvestor protection violation2019CFTC$650,000
HSBC Bank USA, N.A.HSBCfinancial serviceseconomic sanction violation2013OFAC$32,400
HSBC Holdings plcHSBCfinancial serviceseconomic sanction violation2012NY-MANDA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $187,500,000
HSBC Private Bank (Suisse) SAHSBCfinancial servicestax violations2019USAO$192,350,000
HSBC Securities (USA) Inc.HSBCfinancial servicesinvestor protection violation2020SEC$725,000
HSBC Securities (USA)HSBCfinancial servicesinvestor protection violation2010FINRA$1,500,000
HSBC Securities (USA) Inc.HSBCfinancial servicesinvestor protection violation2023SEC$15,000,000
HP Inc.HP Inc.electrical and electronic equipmentaccounting fraud or deficiencies2020SEC$6,000,000
American Honda Finance CorporationHondamotor vehicleseconomic sanction violation2017OFAC$87,255
HomeStreet BankHomeStreet Inc.financial servicesbanking violation2019FDIC$1,350,000
Holtec InternationalHoltec Internationalmiscellaneous energy products and systemstax violations2024NJ-AG$5,000,000
Hilton International Co.Hilton Worldwidehotelseconomic sanction violation2010OFAC$735,407
Hilton Worldwide Holdings Inc.Hilton Worldwidehotelsaccounting fraud or deficiencies2020SEC$600,000
PlainsCapital Bank and PrimeLendingHilltop Holdingsfinancial servicesbanking violation2011FED$30,780
Hilltop Securities Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2016SEC$360,000
Southwest Securities, Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2010SEC$470,147
Hilltop Securities Inc. and Hilltop Securities Independent Network Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2019SEC$810,785
Southwest Securities, Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2012IL-SEC$7,500
Southwest Securities, Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2011FINRA$500,000
Southwest Securities, Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2004FINRA$36,971
Southwest Securities Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2000FINRA$500,000
Hilltop Securities Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2021SEC$340,193
Amerada HessHess Corp.oil and gastax violations2000LA-AG$4,360,000
Hertz Global Holdings, Inc.Hertzmiscellaneous servicesinvestor protection violation2018SEC$16,000,000
Heritage Bank of CommerceHeritage Commerce Corp.financial servicesbanking violation2008FED$6,840
Herbalife Nutrition Ltd.Herbalifefood productsaccounting fraud or deficiencies2019SEC$20,000,000
Heraeus Metals New York LLCHeraeusdiversifiedinvestor protection violation2019CFTC$130,000
Healthcare Services Group, Inc.Healthcare Services Group Inc.business servicesaccounting fraud or deficiencies2021SEC$6,000,000
Navigators Insurance CompanyHartford Financial Servicesfinancial serviceseconomic sanction violation2015OFAC$271,815
Hartford Financial Services Group, Inc.Hartford Financial Servicesfinancial servicesinvestor protection violation2006SEC$55,000,000
The Hartford Financial Services GroupHartford Financial Servicesfinancial servicesinvestor protection violation2006MULTI-AG$20,000,000
Trump Taj Mahal Casino ResortHard Rock Internationalrestaurants and foodserviceanti-money-laundering deficiencies2015FINCEN$10,000,000
Harbert Management CorporationHarbert Managementdiversifiedtax violations2017NY-AG$40,000,000
Hanmi BankHanmi Financial Corp.financial servicesbanking violation2007FED$8,835
Hanmi BankHanmi Financial Corp.financial serviceseconomic sanction violation2004OFAC$7,000
Halliburton Atlantic LimitedHalliburtonoilfield services and supplieseconomic sanction violation2016OFAC$304,706
Halliburton Co.Halliburtonoilfield services and suppliesaccounting fraud or deficiencies2004SEC$7,500,000
H&R Block Financial Advisors, Inc.H&R Blockfinancial servicesinvestor protection violation2004FINRA$825,000
Guggenheim Partners Investment Management LLCGuggenheim Partnersfinancial servicesinvestor protection violation2015SEC$20,000,000
Greenbrier Companies Inc.Greenbrier Companiesheavy equipmentinvestor protection violation2023SEC$1,000,000
GREAT SOUTHERN BANKGreat Southern Bancorpfinancial servicesbanking violation2011FDIC$21,935
Great Lakes Dredge & Dock CorporationGreat Lakes Dredge & Dock Corporationmiscellaneous servicesaccounting fraud or deficiencies2014SEC$150,000
Graybar Electric Company, Inc.Graybar Electricwholesalersinvestor protection violation2006CA-DFPI$45,000
Grant Thornton LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2015SEC$4,500,000
Grant Thornton India LLP and Grant Thornton Audit Pty LimitedGrant Thorntonbusiness servicesaccounting fraud or deficiencies2015SEC$365,085
Grant Thornton LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2004SEC$1,500,000
Grant Thornton LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2017PCAOB$1,500,000
Grant Thornton DaejooGrant Thorntonbusiness servicesaccounting fraud or deficiencies2017PCAOB$10,000
Grant Thornton Fast & ABS Auditores y Consultores Ltda.Grant Thorntonbusiness servicesaccounting fraud or deficiencies2017PCAOB$10,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.