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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
Wells Fargo & Co.Wells Fargofinancial serviceseconomic sanction violation2023OFAC$30,000,000
Wells FargoWells Fargofinancial servicesinvestor protection violation2023CFTC$75,000,000
Wells Fargo Securities, LLC et al.Wells Fargofinancial servicesinvestor protection violation2023SEC$125,000,000
Wells Fargo Clearing Services LLCWells Fargofinancial servicesinvestor protection violation2023SEC$35,000,000
Wells Fargo Clearing Services LLCWells Fargofinancial servicesinvestor protection violation2023ME-SEC$5,000
Wedbush SecuritiesWedbush Securitiesfinancial servicesinvestor protection violation2014SEC$2,440,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2014SEC$67,200
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2018SEC$1,304,197
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2019SEC$8,100,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2019SEC$1,852,540
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2016TN-SEC$30,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2018FINRA$1,500,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2021SEC$1,207,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2023CFTC$6,000,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2023SEC$10,000,000
Weatherford InternationalWeatherford Internationaloilfield services and suppliesaccounting fraud or deficiencies2016SEC$140,000,000
Waste Management, Inc.Waste Management Inc.waste management and environmental servicesinvestor protection violation2001CT-AG$457,000,000
Washington Federal Bank, National AssociationWashington Federal Inc.financial servicesbanking violation2021OCC$40,500
Cable News Network, Inc.Warner Bros. Discovery Inc.mediaeconomic sanction violation2004OFAC$7,500
ESPN, Inc.Walt Disneyentertainmenteconomic sanction violation2003OFAC$39,050
Wal-Mart Stores, Inc.Walmartretailingeconomic sanction violation2003OFAC$50,000
Wal-Mart Stores Inc.Walmartretailingtax violations2004IL-AG$803,904
Walgreens Boots Alliance Inc.Walgreens Boots Allianceretailinginvestor protection violation2018SEC$34,500,000
W.P. Carey & Co.W.P. Carey Inc.real estateaccounting fraud or deficiencies2008SEC$30,000,000
Energetics, Inc.VSE Corp.freight and logisticsinvestor protection violation2011AZ-CC$250,000
Voya Financial Advisors, Inc.Voya Financialfinancial servicesinvestor protection violation2017SEC$3,095,953
Voya Holdings Inc.Voya Financialfinancial servicesinvestor protection violation2018SEC$3,600,000
Voya Financial Advisors Inc.Voya Financialfinancial servicesinvestor protection violation2018SEC$1,000,000
INGVoya Financialfinancial servicesinvestor protection violation2006MULTI-AG$33,000,000
ING Financial Partners, Inc.Voya Financialfinancial servicesinvestor protection violation2012MN-FIN$5,000
ING Life Insurance and Annuity CompanyVoya Financialfinancial servicesinvestor protection violation2006NH-BSR$3,000,000
Voya Financial Advisors, Inc.Voya Financialfinancial servicesinvestor protection violation2020SEC$22,919,155
ING Groep N.V.Voya Financialfinancial servicesinvestor protection violation2013FINRA$1,200,000
ING America Insurance Holdings Inc.Voya Financialfinancial servicesinvestor protection violation2006FINRA$7,000,000
ING Financial Partners, Inc.Voya Financialfinancial servicesinvestor protection violation2004FINRA$200,000
Volvo Construction Equipment North America, Inc.Volvomotor vehicleseconomic sanction violation2009OFAC$33,000
Navistar International Corp.Volkswagenmotor vehiclesinvestor protection violation2016SEC$7,500,000
Volkswagen AGVolkswagenmotor vehiclesinvestor protection violation2024SEC$48,750,000
Dynegy Inc.Vistra Energyutilities and power generationaccounting fraud or deficiencies2002SEC$3,000,000
Knight Securities, L.P.Virtu Financialfinancial servicesinvestor protection violation2004SEC$66,500,000
KCG Americas LLCVirtu Financialfinancial servicesinvestor protection violation2015SEC$1,055,197
Knight Capital Americas LLCVirtu Financialfinancial servicesinvestor protection violation2013SEC$12,000,000
Knight Financial Products, LLCVirtu Financialfinancial servicesinvestor protection violation2009SEC$2,040,000
Knight Securities, L.P.Virtu Financialfinancial servicesinvestor protection violation2002SEC$75,000
Virtu Americas LLCVirtu Financialfinancial servicesinvestor protection violation2019SEC$1,500,000
Mylan N.V.Viatrispharmaceuticalsinvestor protection violation2019SEC$30,000,000
WorldCom Inc.Verizon Communicationstelecommunicationsaccounting fraud or deficiencies2003SEC$500,000,000
MCIVerizon Communicationstelecommunicationstax violations2005MULTI-AG$315,000,000
MCIVerizon Communicationstelecommunicationstax violations2005MS-AG$100,000,000
Verizon Service Corp. and Verizon New EnglandVerizon Communicationstelecommunicationstax violations2012MA-AG$317,909
Verizon BusinessVerizon Communicationstelecommunicationsaccounting fraud or deficiencies2007OK-AG$11,700,000
Ventura Foods, LLCVentura Foodsfood productstax violations2013CT-AG$35,235
Vanguard Advisers Inc.Vanguard Groupfinancial servicesinvestor protection violation2017PA-BKG$23,480
Vale S.A.Vale S.A.mining and mineralsaccounting fraud or deficiencies2023SEC$55,900,000
USAA Federal Savings BankUSAAfinancial servicesbanking violation2020OCC$85,000,000
USAA Federal Savings BankUSAAfinancial servicesbanking violation2020OCC$382,500
USAA Federal Savings BankUSAAfinancial servicesanti-money-laundering deficiencies2022FINCEN$80,000,000
University of California at Los AngelesUniversity of Californiamiscellaneous serviceseconomic sanction violation2003OFAC$5,750
Universal Electronics Inc.Universal Electronics Inc.electrical and electronic equipmentinvestor protection violation2014SEC$75,000
Oxford Health Plans, Inc.UnitedHealth Grouphealthcare servicesaccounting fraud or deficiencies2002SEC$250,000
United Rentals, IncUnited Rentalsmiscellaneous servicesaccounting fraud or deficiencies2008SEC$14,000,000
United AirlinesUnited Airlines Holdingsairlinesaccounting fraud or deficiencies2016SEC$2,400,000
Union Bancaire PriveeUnion Bancaire Priveefinancial servicestax violations2016DOJ_TAX$187,000,000
Union Bancaire Privee, UBP SAUnion Bancaire Priveefinancial servicestax violations2020DOJ_TAX$14,000,000
Unifi Manufacturing, Inc.Unifi Inc.miscellaneous manufacturingtax violations2016CT-AG$27,075
UniCredit GroupUniCreditfinancial serviceseconomic sanction violation2019DOJ_CRIMINAL$413,536,632
UniCredit Bank AGUniCreditfinancial serviceseconomic sanction violation2019OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $553,380,759
UniCredit Bank Austria AGUniCreditfinancial serviceseconomic sanction violation2019OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $20,326,340
UniCredit S.p.A.UniCreditfinancial serviceseconomic sanction violation2019OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $37,316,322
UniCredit Bank AGUniCreditfinancial serviceseconomic sanction violation2019NY-MANDA$316,000,000
UniCredit Bank Austria AGUniCreditfinancial serviceseconomic sanction violation2019NY-MANDA$20,000,000
UniCredit GroupUniCreditfinancial serviceseconomic sanction violation2019NY-DFS$405,000,000
Under Armour Inc.Under Armourapparelinvestor protection violation2021SEC$9,000,000
UMPQUA BANKUmpqua Holdingsfinancial servicesbanking violation2008FDIC$90,240
Umpqua BankUmpqua Holdingsfinancial servicesbanking violation2021FDIC$1,800,000
UMB Bank, NAUMB Financial Corp.financial servicesbanking violation2017OCC$1,500,000
UMB Bank N.A. Investment Banking DivisionUMB Financial Corp.financial servicesinvestor protection violation2015SEC$420,000
UBS AGUBSfinancial servicesbanking violation2015FED$342,000,000
Credit Suisse AGUBSfinancial servicesbanking violation2014FED$100,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2016SEC$54,300,000
UBS Willow Management LLC and UBS Fund Advisor LLCUBSfinancial servicesinvestor protection violation2015SEC$17,500,000
UBS AGUBSfinancial servicesinvestor protection violation2015SEC$19,500,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2015SEC$14,400,000
Credit Suisse Group AGUBSfinancial servicesinvestor protection violation2014SEC$196,000,000
UBS SecuritiesUBSfinancial servicestoxic securities abuses2013SEC$50,000,000
UBS Financial Services Inc. of Puerto RicoUBSfinancial servicesinvestor protection violation2012SEC$26,600,000
UBS Global Asset ManagementUBSfinancial servicesinvestor protection violation2012SEC$300,000
Credit Suisse AGUBSfinancial servicestax violations2014DOJ_TAX$1,800,000,000
UBS AGUBSfinancial serviceseconomic sanction violation2015OFAC$1,700,100
UBS Financial ServicesUBSfinancial servicesinvestor protection violation2014SEC$56,400
Credit Suisse AGUBSfinancial serviceseconomic sanction violation2009DOJ_CRIMINAL$268,000,000
UBS AGUBSfinancial servicestax violations2009DOJ_TAX$780,000,000
UBS (USA) IncUBSfinancial serviceseconomic sanction violation2003OFAC$14,750
UBS (USA) IncUBSfinancial serviceseconomic sanction violation2003OFAC$5,000
UBS AGUBSfinancial servicestax violations2009SEC$200,000,000
Credit Suisse First Boston LLCUBSfinancial servicesinvestor protection violation2003SEC$200,000,000
UBS Warburg LLCUBSfinancial servicesinvestor protection violation2003SEC$80,000,000
UBS Financial ServicesUBSfinancial servicesinvestor protection violation2016SEC$15,025,882
Credit Suisse AGUBSfinancial servicesaccounting fraud or deficiencies2016SEC$90,000,000
UBSUBSfinancial servicestoxic securities abuses2017NCUA$445,000,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2017SEC$3,500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.