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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
Fahnestock & Co., Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2000SEC$20,000
Oppenheimer & Co. Inc. and Oppenheimer Asset Management Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2019SEC$3,528,377
Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLCOppenheimer Holdingsfinancial servicesinvestor protection violation2013MA-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,800,000
Oppenheimer & Co., Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2015DE-SEC$685,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2016MI-SEC$900,000
Oppenheimer & Co., Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2005MO-SEC$122,050
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2012NH-BSR$155,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2006FINRA$800,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2024SEC$12,000,000
Old National BankOld National Bancorpfinancial servicesbanking violation2014OCC$500,000
Old National BankOld National Bancorpfinancial servicesbanking violation2008OCC$56,000
Old National BankOld National Bancorpfinancial servicesbanking violation2004OCC$12,500
Old National BankOld National Bancorpfinancial servicesbanking violation2004OCC$7,500
First Midwest BankOld National Bancorpfinancial servicesbanking violation2022FED$253,500
Office Depot Inc.ODP Corporationretailingtax violations2004IL-AG$803,904
Ocwen Financial Corp.Ocwen Financialfinancial servicesaccounting fraud or deficiencies2016SEC$2,000,000
Sun National BankOceanFirst Financialfinancial servicesbanking violation2016OCC$25,000
CSK Auto CorporationO'Reilly Automotiveretailingaccounting fraud or deficiencies2011DOJ_CRIMINAL$20,900,000
NVIDIA CorporationNvidiaelectrical and electronic equipmentinvestor protection violation2022SEC$5,500,000
Nu Skin Enterprises, Inc.Nu Skin Enterpriseshousehold and personal care productsinvestor protection violation2016SEC$765,688
Chiron Corporation LtdNovartispharmaceuticalseconomic sanction violation2004OFAC$168,500
Varco International, Inc.NOV Inc.oilfield services and supplieseconomic sanction violation2003OFAC$7,428
National Oilwell Varco and Dreco Energy Services Ltd.NOV Inc.oilfield services and supplieseconomic sanction violation2016OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $5,976,028
Ameron International CorporationNOV Inc.oilfield services and supplieseconomic sanction violation2013OFAC$434,700
National Oilwell VarcoNOV Inc.oilfield services and supplieseconomic sanction violation2016USAO$25,000,000
Northwestern Mutual Investment Services LLCNorthwestern Mutualfinancial servicesinvestor protection violation2024SEC$16,500,000
Northwestern Mutual Investment Services LLCNorthwestern Mutualfinancial servicesinvestor protection violation2024ME-SEC$5,000
Northern Trust, IBCNorthern Trustfinancial serviceseconomic sanction violation2003OFAC$18,027
Northern Trust, National AssociationNorthern Trustfinancial servicesbanking violation2008OCC$125,000
Northern Trust CompanyNorthern Trustfinancial servicesinvestor protection violation2019CFTC$1,000,000
Northern Trust Hedge Fund Services LLCNorthern Trustfinancial servicesinvestor protection violation2020SEC$167,629
Nordstrom Nordstrom I, Inc. and Nordstrom Imports, Inc.Nordstromretailinginvestor protection violation2014AZ-CC$2,263,142
Nomura Asset Acceptance Corporation and Nomura Home Equity Loan, Inc.Nomurafinancial servicestoxic securities abuses2016NCUA$3,000,000
Nomura Securities International, Inc.Nomurafinancial servicesinvestor protection violation2022SEC$50,000,000
Lucent Technologies Inc.Nokiatelecommunicationsaccounting fraud or deficiencies2004SEC$25,000,000
NissanNissanmotor vehiclesaccounting fraud or deficiencies2019SEC$15,000,000
Perot Systems CorporationNippon Telegraph & Telephonetelecommunicationseconomic sanction violation2005OFAC$21,776
Nikola CorporationNikola Corporationmotor vehiclesinvestor protection violation2021SEC$125,000,000
Newmont CorporationNewmont Corporationmining and mineralseconomic sanction violation2022OFAC$141,442
Newell Brands Inc.Newell Brandshousewares and home furnishingsaccounting fraud or deficiencies2023SEC$12,500,000
New York Life Investment Management LLCNew York Life Insurancefinancial servicesinvestor protection violation2009SEC$6,100,784
NYLIFE Securities, LLCNew York Life Insurancefinancial servicesinvestor protection violation2017IN-SEC$275,000
NYLIFE Securities LLCNew York Life Insurancefinancial servicesinvestor protection violation2019ME-SEC$50,000
NYLIFE Securities LLCNew York Life Insurancefinancial servicesinvestor protection violation2017NH-BSR$7,500
NYLife Securities, Inc.New York Life Insurancefinancial servicesinvestor protection violation2004FINRA$350,000
NEW YORK COMMUNITY BANKNew York Community Bancorpfinancial servicesbanking violation2004FDIC$8,000
Flagstar Bank, FSBNew York Community Bancorpfinancial servicesbanking violation2016OCC$500,000
Flagstar Bank, FSBNew York Community Bancorpfinancial servicesbanking violation2021OCC$3,620,000
JDA Software Group Inc.New Mountain Capitalprivate equity (including portfolio companies)accounting fraud or deficiencies2014SEC$750,000
NetApp, Inc.NetAppelectrical and electronic equipmenttax violations2015CT-AG$43,965
Pioneer Credit Recovery, Inc.Navientfinancial servicestax violations2013CT-AG$12,255
ROYAL BANK OF SCOTLAND PLCNatWest Group PLCfinancial servicesbanking violation2015FED$274,000,000
THE ROYAL BANK OF SCOTLAND GROUP PLCNatWest Group PLCfinancial servicesbanking violation2013FED$50,000,000
Coutts & Co LtdNatWest Group PLCfinancial servicestax violations2015DOJ_TAX$78,484,000
Royal Bank of Scotland PLCNatWest Group PLCfinancial serviceseconomic sanction violation2013OFAC$33,000,000
Royal Bank of Scotland Group plcNatWest Group PLCfinancial servicesinvestor protection violation2014SEC$120,000
RBS Securities Inc.NatWest Group PLCfinancial servicestoxic securities abuses2016VA-AG$10,000,000
Royal Bank of ScotlandNatWest Group PLCfinancial servicestoxic securities abuses2018IL-AG$20,000,000
NatWest Markets PlcNatWest Group PLCfinancial servicesinvestor protection violation2019CFTC$850,000
Coutts & Co Ltd.NatWest Group PLCfinancial servicestax violations2019DOJ_TAX$27,900,000
Royal Bank of ScotlandNatWest Group PLCfinancial serviceseconomic sanction violation2013NY-DFS$50,000,000
RBS Financial Products, Inc.NatWest Group PLCfinancial servicestoxic securities abuses2020MD-AG$18,000,000
RBS Securities, Inc.NatWest Group PLCfinancial servicesinvestor protection violation2016FINRA$2,000,000
NatWest Markets Securities Inc.NatWest Group PLCfinancial servicestoxic securities abuses2021NM-AG$4,642,857
Nationwide Life Insurance CompanyNationwidefinancial servicesinvestor protection violation2015SEC$8,000,000
National Beverage Corp.National Beverage Corp.beveragesinvestor protection violation2021SEC$481,920
National Australia Bank Ltd.National Australia Bankfinancial serviceseconomic sanction violation2007OFAC$100,000
NASDAQ Stock Market, LLC and NASDAQ Execution Services, LLCNasdaq Inc.financial servicesinvestor protection violation2013SEC$10,000,000
Brut, LLCNasdaq Inc.financial servicesinvestor protection violation2003SEC$45,000
Nasdaq, Inc.Nasdaq Inc.financial serviceseconomic sanction violation2023OFAC$4,040,923
Myers Industries, Inc.Myers Industriesmiscellaneous manufacturingeconomic sanction violation2008OFAC$16,250
Motorola Inc.Motorola Solutionstelecommunicationsaccounting fraud or deficiencies2007SEC$25,000,000
Morningstar Credit Ratings, LLCMorningstar Inc.miscellaneous servicesinvestor protection violation2020SEC$3,500,000
Morningstar Credit Ratings, LLCMorningstar Inc.miscellaneous servicesinvestor protection violation2022SEC$1,150,000
Morgan Stanley Investment ManagementMorgan Stanleyfinancial servicesinvestor protection violation2015SEC$8,800,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2014SEC$4,000,000
Morgan Stanley Investment ManagementMorgan Stanleyfinancial servicesinvestor protection violation2011SEC$3,300,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2016SEC$1,000,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2009SEC$500,000
Morgan Stanley & Co. Incorporated/ Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2006SEC$1,500,000
Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2003SEC$50,000,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2003SEC$125,000,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2016SEC$7,500,000
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2017SEC$13,000,000
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2017SEC$2,963,735
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2017SEC$8,000,000
E*Trade Clearing LLCMorgan Stanleyfinancial servicesinvestor protection violation2008SEC$500,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2007SEC$17,000,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2007SEC$7,500,000
Smith Barney Fund Management LLCMorgan Stanleyfinancial servicesinvestor protection violation2007SEC$450,000
Dean Witter Reynolds Inc.Morgan Stanleyfinancial servicesinvestor protection violation2002SEC$500,000
Dean Witter Reynolds Inc.Morgan Stanleyfinancial servicesinvestor protection violation2000SEC$476,702
Morgan StanleyMorgan Stanleyfinancial 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. $125,000,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2019CA-AG$150,000,000
Morgan StanleyMorgan Stanleyfinancial servicestoxic securities abuses2016IL-AG$22,500,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2011NJ-AG$1,560,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicestoxic securities abuses2016VA-AG$6,900,000
Morgan Stanley & Co., LLCMorgan Stanleyfinancial servicesinvestor protection violation2013NJ-AG$100,000
Morgan Stanley Mortgage Capital HoldingsMorgan Stanleyfinancial servicestoxic securities abuses2011NV-AG$28,200,000
Salomon Smith Barney Inc.Morgan Stanleyfinancial 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. $400,000,000
Morgan Stanley Capital Group Inc.Morgan Stanleyfinancial servicesinvestor protection violation2019CFTC$1,500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.