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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
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2017SEC$3,500,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2017SEC$5,754,714
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2015SEC$480,000
UBS O'Connor, LLCUBSfinancial servicesinvestor protection violation2013SEC$5,297,716
Credit Suisse Alternative Capital, LLC and Credit Suisse Asset Management, LLCUBSfinancial servicesinvestor protection violation2011SEC$2,500,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2018SEC$5,000,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2005SEC$700,000
Credit Suisse First Boston, LLCUBSfinancial servicesinvestor protection violation2005SEC$200,000
Donaldson, Lufkin & Jenrette Securities Corp.UBSfinancial servicesinvestor protection violation2004SEC$1,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2018SEC$5,000,000
UBS Financial Services Inc.UBSfinancial servicesanti-money-laundering deficiencies2018FINCEN$5,000,000
Credit Suisse First Boston Corp.UBSfinancial servicesinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $200,000,000
Credit Suisse SecuritiesUBSfinancial servicesinvestor protection violation2016NY-AG$30,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2011NJ-AG$1,057,996
Credit Suisse Securities (USA) LLCUBSfinancial servicestoxic securities abuses2016VA-AG$1,200,000
UBSUBSfinancial servicesinvestor protection violation2010MI-AG$117,000,000
UBS Financial Services, IncUBSfinancial servicesinvestor protection violation2013MULTI-AG$4,580,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2013DE-AG$70,077
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2007NY-AG$23,300,000
UBS Securities LLCUBSfinancial servicestoxic securities abuses2016VA-AG$850,000
UBS Securities LLC and UBS Financial Services, IncUBSfinancial servicesinvestor protection violation2011NJ-AG$3,790,487
UBS Warburg LLCUBSfinancial servicesinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $80,000,000
Credit Suisse AGUBSfinancial serviceseconomic sanction violation2009NY-MANDA$268,000,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2010AK-DBS$733,465
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2013AK-DBS$64,661
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2009MO-SEC$170,175
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2006MT-FIN$4,503,166
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2011NH-BSR$1,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2012NH-BSR$72,500
Credit Suisse AGUBSfinancial servicestax violations2014NY-DFS$715,000,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2010TX-SEC$6,640,432
UBS FINANCIAL SERVICES, INC.UBSfinancial servicesinvestor protection violation2007VA-SEC$100,000
UBS FINANCIAL SERVICES, INC.UBSfinancial servicesinvestor protection violation2010VA-SEC$625,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2019VA-SEC$288,970
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2014VT-FIN$325,000
Credit Suisse First Boston LLCUBSfinancial servicesinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $75,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2008MULTI-FIN$15,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2013MULTI-FIN$4,600,000
UBS Warburg and UBS PaineWebberUBSfinancial servicesinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2020SEC$600,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2019FINRA$2,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesanti-money-laundering deficiencies2016FINRA$16,500,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2011FINRA$10,750,000
Credit Suisse Securities (USA), LLCUBSfinancial servicesinvestor protection violation2009FINRA$275,000
Credit Suisse Securities (USA), LLCUBSfinancial servicesinvestor protection violation2006FINRA$225,000
Schwab Capital MarketsUBSfinancial servicesinvestor protection violation2001FINRA$12,000
Credit Suisse First Boston CorporationUBSfinancial servicesinvestor protection violation2001FINRA$25,000
CS First Boston Corp.UBSfinancial servicesinvestor protection violation2000FINRA$1,240,000
Credit SuisseUBSfinancial servicesinvestor protection violation2021CFTC$1,500,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2021SEC$8,112,174
UBS AGUBSfinancial servicesinvestor protection violation2021CFTC$500,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2022SEC$925,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2022SEC$125,000,000
UBS Securities LLC and UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2022SEC$125,000,000
UBSUBSfinancial servicesbanking violation2023TX-AG$850,000
UBS Group AGUBSfinancial servicesbanking violation2023FED$268,500,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2023SEC$10,000,000
U.S. Pension Trust Corp. and U.S. College Trust Corp.U.S. Pension Trust Corp.financial servicesinvestor protection violation2010SEC$112,600,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesbanking violation2014OCC$51,900,000
Union Bank of California, N.A.U.S. Bancorpfinancial servicesanti-money-laundering deficiencies2007DOJ_CRIMINAL$21,600,000
Union Bank of CaliforniaU.S. Bancorpfinancial serviceseconomic sanction violation2005OFAC$5,500
Union Bank of CAU.S. Bancorpfinancial serviceseconomic sanction violation2003OFAC$14,913
Union Bank of CAU.S. Bancorpfinancial serviceseconomic sanction violation2003OFAC$12,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesbanking violation2006OCC$125,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesbanking violation2017OCC$15,000,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesbanking violation2017OCC$183,920
U.S. Bank Municipal Securities GroupU.S. Bancorpfinancial servicesinvestor protection violation2015SEC$60,000
US BancorpU.S. Bancorpfinancial servicesbanking violation2018FED$15,000,000
U.S. BancorpU.S. Bancorpfinancial servicesanti-money-laundering deficiencies2018USAO$453,000,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesanti-money-laundering deficiencies2018OCC$75,000,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesanti-money-laundering deficiencies2018FINCEN$70,000,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesinvestor protection violation2005SEC$500,000
MUFG Securities Americas Inc.U.S. Bancorpfinancial servicesinvestor protection violation2018SEC$1,400,000
MUFG Union Bank, National AssociationU.S. Bancorpfinancial servicesbanking violation2019OCC$109,667
U.S. Bancorp Investments, Inc.U.S. Bancorpfinancial servicesinvestor protection violation2020SEC$15,992,441
MUFG Bank Ltd.U.S. Bancorpfinancial servicesbanking violation2019NY-DFS$33,000,000
US Bancorp Investments, Inc.U.S. Bancorpfinancial servicesinvestor protection violation2010FINRA$275,000
MUFG Union Bank, National AssociationU.S. Bancorpfinancial servicesbanking violation2023OCC$15,000,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesbanking violation2023OCC$15,000,000
U.S. Bancorp Investments Inc.U.S. Bancorpfinancial servicesinvestor protection violation2024SEC$8,000,000
MUFG BANK, LTD.U.S. Bancorpfinancial servicesbanking violation2024CT-BKG$10,000
Tyson Foods, Inc.Tyson Foodsfood productsaccounting fraud or deficiencies2005SEC$1,500,000
Tyson Foods, Inc.Tyson Foodsfood productsinvestor protection violation2021CFTC$1,500,000
NIC Inc.Tyler Technologiesinformation technologyaccounting fraud or deficiencies2011SEC$500,000
Tupperware Brands CorporationTupperware Brandshousewares and home furnishingsinvestor protection violation2022SEC$900,000
Trustmark National BankTrustmarkfinancial servicesbanking violation2012OCC$6,250
Trustmark National BankTrustmarkfinancial servicesbanking violation2021OCC$4,000,000
Trump Corp.Trump Organizationreal estatetax violations2023NY-MANDA$810,000
Trump Payroll Corp.Trump Organizationreal estatetax violations2023NY-MANDA$800,000
SunTrust Mortgage, Inc.Truist Financialfinancial servicestoxic securities abuses2013FHFA$65,000,000
BANK OF KENTUCKY, INC., THETruist Financialfinancial servicesbanking violation2009FDIC$30,415
BankAtlanticTruist Financialfinancial servicesanti-money-laundering deficiencies2006DOJ_CRIMINAL$10,000,000
BankAtlanticTruist Financialfinancial serviceseconomic sanction violation2008OFAC$7,500
BB&TTruist Financialfinancial serviceseconomic sanction violation2007OFAC$10,000
SunTrust BankTruist Financialfinancial serviceseconomic sanction violation2005OFAC$40,423
SunTrust BankTruist Financialfinancial serviceseconomic sanction violation2005OFAC$30,800
SunTrust Capital Markets Inc.Truist Financialfinancial servicesinvestor protection violation2006SEC$125,000
SunTrust BankTruist Financialfinancial servicesbanking violation2017FED$1,501,000
SunTrust BanksTruist Financialfinancial servicesinvestor protection violation2017SEC$1,100,000
BB&T Securities, LLCTruist Financialfinancial servicesinvestor protection violation2016SEC$200,000
BB&T Securities, LLCTruist Financialfinancial servicesinvestor protection violation2015SEC$200,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.