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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
Principal Securities, Inc.Principal Financialfinancial servicesinvestor protection violation2019SEC$1,764,624
Principal Life Insurance CompanyPrincipal Financialfinancial servicesinvestor protection violation2004ND-SEC$30,000
Willbros USA, Inc.Primoris Servicesconstruction and engineeringeconomic sanction violation2009OFAC$6,600
Primoris Services CorporationPrimoris Servicesconstruction and engineeringinvestor protection violation2018SEC$200,000
PricewaterhouseCoopersPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2011SEC$6,000,000
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2004SEC$2,400,000
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2003SEC$1,000,000
PricewaterhouseCoopers LLPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2002SEC$5,000,000
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2009NJ-AG$5,850,000
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesinvestor protection violation2019SEC$7,944,055
PricewaterhouseCoopers Zhong Tian CPAs Limited CompanyPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2015SEC$500,000
PricewaterhouseCoopersPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2019PCAOB$10,000
PricewaterhouseCoopers, S.C.PricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2019PCAOB$100,000
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2017PCAOB$1,000,000
Price Waterhouse & Co. S.R.L.PricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2017PCAOB$25,000
PricewaterhouseCoopers Auditores, S.L.PricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2017PCAOB$15,000
Price Waterhouse, Bangalore et al.PricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2011PCAOB$1,500,000
PricewaterhouseCoopersPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2014NY-DFS$25,000,000
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2022PCAOB$750,000
PricewaterhouseCoopers Auditing Company SAPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2023PCAOB$3,000,000
PricewaterhouseCoopersPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2023PCAOB$4,000,000
PricewaterhouseCoopers Zhong Tian LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2023PCAOB$3,000,000
PricewaterhouseCoopers AustraliaPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2024PCAOB$600,000
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2024PCAOB$2,750,000
Precigen, Inc.Precigenagribusinessinvestor protection violation2020SEC$2,500,000
Banco Popular de Puerto RicoPopular Inc.financial servicesanti-money-laundering deficiencies2003DOJ_CRIMINAL$21,600,000
Banco Popular de Puerto RicoPopular Inc.financial serviceseconomic sanction violation2022OFAC$255,938
PNC Bank, National AssociationPNC Financial Servicesfinancial servicesbanking violation2014OCC$2,000,000
Compass BankPNC Financial Servicesfinancial servicesbanking violation2009FED$70,625
PNC ICLC Corp.PNC Financial Servicesfinancial servicesaccounting fraud or deficiencies2003DOJ_CRIMINAL$115,000,000
PNC BankPNC Financial Servicesfinancial serviceseconomic sanction violation2005OFAC$8,200
National City BankPNC Financial Servicesfinancial serviceseconomic sanction violation2003OFAC$5,500
National City BankPNC Financial Servicesfinancial servicesbanking violation2009OCC$34,265
National City BankPNC Financial Servicesfinancial servicesbanking violation2003OCC$56,800
Riggs BankPNC Financial Servicesfinancial servicesanti-money-laundering deficiencies2005USAO$16,000,000
PNC Capital Markets LLCPNC Financial Servicesfinancial servicesinvestor protection violation2015SEC$500,000
PNC Investments LLCPNC Financial Servicesfinancial servicesinvestor protection violation2018SEC$7,307,770
PNC Bank, National AssociationPNC Financial Servicesfinancial servicesbanking violation2018OCC$207,245
PNC Bank, National AssociationPNC Financial Servicesfinancial servicesbanking violation2018OCC$15,000,000
PNC Bank, National AssociationPNC Financial Servicesfinancial servicesinvestor protection violation2019CFTC$300,000
Compass BankPNC Financial Servicesfinancial serviceseconomic sanction violation2013OFAC$19,125
Compass BankPNC Financial Servicesfinancial serviceseconomic sanction violation2010OFAC$607,500
PNC Investments LLCPNC Financial Servicesfinancial servicesinvestor protection violation2010DE-SEC$250,000
PNC Capital Markets LLCPNC Financial Servicesfinancial servicesinvestor protection violation2016FINRA$50,000
PNC Bank, National AssociationPNC Financial Servicesfinancial servicesbanking violation2022OCC$2,614,456
PNC Capital Markets LLCPNC Financial Servicesfinancial servicesinvestor protection violation2022SEC$198,323
Plug Power Inc.Plug Power Inc.utilities and power generationinvestor protection violation2023SEC$1,250,000
Platinum Equity Advisors, LLCPlatinum Equityprivate equity (including portfolio companies)investor protection violation2017SEC$3,402,132
Ingram Micro Inc.Platinum Equityprivate equity (including portfolio companies)investor protection violation2009SEC$15,000,000
Oregon Tool, Inc.Platinum Equityprivate equity (including portfolio companies)anti-money-laundering deficiencies2023USAO$1,700,000
Polycom Inc.Plantronicsmiscellaneous manufacturingaccounting fraud or deficiencies2015SEC$750,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2006SEC$125,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2003SEC$32,500,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2013SEC$300,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2002SEC$100,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2006MT-FIN$345,000
US Bancorp Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2001ND-SEC$23,250
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2004ND-SEC$20,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2004ND-SEC$17,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2005ND-SEC$30,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2006ND-SEC$17,204
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2006ND-SEC$229,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerfinancial 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. $12,500,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2010FINRA$700,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2004FINRA$2,400,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000
Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2000FINRA$933,000
Elan Corporation, plcPerrigopharmaceuticalsaccounting fraud or deficiencies2005SEC$15,000,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2004SEC$875,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2016SEC$500,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2000SEC$100,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2019SEC$241,227
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2005CO-SEC$259,227
Janney Montgomery Scott, Inc.Penn Mutualfinancial servicesinvestor protection violation2001DE-SEC$210,909
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2015DE-SEC$105,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2004IL-SEC$5,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2005IL-SEC$7,500
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2016PA-BKG$10,000
Janney Montgomery Scott, LLCPenn Mutualfinancial servicesinvestor protection violation2020CT-BKG$150,000
Janney Montgomery Scott, LLCPenn Mutualfinancial servicesinvestor protection violation2015FINRA$1,200,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2009FINRA$200,000
Janney Montgomery Scott, LLCPenn Mutualfinancial servicesinvestor protection violation2020CT-SEC$250,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2022DE-SEC$72,255
PayPal Inc.PayPal Holdingsfinancial serviceseconomic sanction violation2015OFAC$7,658,300
Paycom Software, Inc.Paycom Softwareinformation technologyinvestor protection violation2021SEC$250,000
The Park National BankPark National Corp.financial servicesbanking violation2011OCC$30,415
THE RICHLAND TRUST COMPANYPark National Corp.financial servicesbanking violation2006FDIC$11,100
Park National CorporationPark National Corp.financial servicesaccounting fraud or deficiencies2016SEC$500,000
California United BankPacWest Bancorpfinancial serviceseconomic sanction violation2004OFAC$7,250
PACCARPaccarmotor vehiclesaccounting fraud or deficiencies2013SEC$225,000
PACCAR Inc.Paccarmotor vehicleseconomic sanction violation2019OFAC$1,709,325
Oxbow Carbon and Minerals LLCOxbow Corporationmiscellaneous energy products and systemseconomic sanction violation2009OFAC$276,250
Overseas Shipholding GroupOverseas Shipholding Groupfreight and logisticsaccounting fraud or deficiencies2017SEC$5,000,000
Siebel Systems, Inc.Oracleinformation technologyinvestor protection violation2002SEC$250,000
Oppenheimer & Co., Inc.Oppenheimer Holdingsfinancial servicesanti-money-laundering deficiencies2015FINCEN$20,000,000
Oppenheimer & Co.Oppenheimer Holdingsfinancial servicesinvestor protection violation2014SEC$61,200
Oppenheimer & Company, Inc.Oppenheimer Holdingsfinancial servicesanti-money-laundering deficiencies2005FINCEN$2,800,000
Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLCOppenheimer Holdingsfinancial servicesinvestor protection violation2013SEC$2,886,677
Oppenheimer & Co. IncOppenheimer Holdingsfinancial servicesinvestor protection violation2009SEC$850,000
Josephthal & Co., Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2002SEC$75,000
Fahnestock & Co., Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2000SEC$20,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.