Violation Tracker

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Violation Tracker Summary for Offense Group

Offense Group: financial offenses
Penalty Total since 2000: $287,662,850,737
Number of Penalty Records: 11,080
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 Companies	Total Penalty $	Number of Records
Bank of America	$41,333,342,096	156
UBS	$27,713,994,893	137
JPMorgan Chase	$27,158,534,167	124
Citigroup	$19,750,393,935	106
Deutsche Bank	$15,638,617,278	68
Goldman Sachs	$13,128,062,841	58
NatWest Group PLC	$12,129,162,857	23
Wells Fargo	$10,735,730,989	130
Morgan Stanley	$9,905,512,956	168
BNP Paribas	$9,167,798,000	12

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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Company	Primary Offense Type	Year	Agency	Penalty Amount
Western Bank	banking violation	2014	FED	$5,410
Bank of Gueydan	banking violation	2014	FED	$10,545
UINTA BANK	banking violation	2014	FED	$9,985
BANCO ESPIRITO SANTO S. A.	banking violation	2012	FED	$975,000
State Bank and Trust Company	banking violation	2011	FED	$9,340
Community State Bank	banking violation	2011	FED	$7,130
Whitaker Bank	banking violation	2011	FED	$8,500
Lindell Bank and Trust Company	banking violation	2011	FED	$9,470
First Sentinel Bank	banking violation	2011	FED	$7,315
BANCO INDUSTRIAL DE VENEZUELA, C. A.	banking violation	2011	FED	$600,000
MYANNS Corporation	banking violation	2011	FED	$37,500
Dacotah Bank	banking violation	2011	FED	$10,995
Franklin Savings Bank	banking violation	2011	FED	$5,160
Cecil Bank	banking violation	2010	FED	$21,945
Monarch Bank	banking violation	2010	FED	$7,215
Sparks Nugget, Inc. d/b/a John Ascuaga's Nugget	anti-money-laundering deficiencies	2016	FINCEN	$1,000,000
Thriftway Food Mart	anti-money-laundering deficiencies	2016	FINCEN	$10,000
Gibraltar Private Bank and Trust Company	anti-money-laundering deficiencies	2016	FINCEN	$4,000,000
B.A.K. Precious Metals, Inc.	anti-money-laundering deficiencies	2015	FINCEN	$200,000
Oaks Card Club d/b/a Oaks Club	anti-money-laundering deficiencies	2015	FINCEN	$650,000
Lee's Snack Shop, Inc.	anti-money-laundering deficiencies	2015	FINCEN	$60,000
Bank of Mingo	anti-money-laundering deficiencies	2015	FINCEN	$1,000,000
Hong Kong Entertainment (Overseas) Investments, Ltd. d/b/a Tinian Dynasty Hotel & Casino	anti-money-laundering deficiencies	2015	FINCEN	$75,000,000
King Mail & Wireless Inc.	anti-money-laundering deficiencies	2015	FINCEN	$12,000
Ripple Labs Inc.	anti-money-laundering deficiencies	2015	FINCEN	(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $700,000
Aurora Sunmart Inc.	anti-money-laundering deficiencies	2015	FINCEN	$75,000
First National Community Bank	anti-money-laundering deficiencies	2015	FINCEN	$1,500,000
North Dade Community Development Federal Credit Union	anti-money-laundering deficiencies	2014	FINCEN	$300,000
BPI Inc.	anti-money-laundering deficiencies	2014	FINCEN	$125,000
Mian, Inc. dba Tower Package Store	anti-money-laundering deficiencies	2014	FINCEN	$45,000
New Milenium Cash Exchange, Inc	anti-money-laundering deficiencies	2014	FINCEN	$10,000
Altima Inc.	anti-money-laundering deficiencies	2011	FINCEN	$5,000
Lower Sioux Indian Community, doing business as Jackpot Junction Casino Hotel	anti-money-laundering deficiencies	2011	FINCEN	$250,000
Baltic Financial Services, Inc.	anti-money-laundering deficiencies	2010	FINCEN	$12,000
Pinnacle Capital Markets, LLC	anti-money-laundering deficiencies	2010	FINCEN	$50,000
Pamrapo Savings Bank, S.L.A.	anti-money-laundering deficiencies	2010	FINCEN	$1,000,000
Eurobank	anti-money-laundering deficiencies	2010	FINCEN	$25,000
Plaza Bank	banking violation	2015	DOJ_CIVIL	$1,225,000
Garsh Lending LLC	banking violation	2011	DOJ_CIVIL	$300,000
D-Tronics	tax violations	2014	DOJ_CRIMINAL	$1,350,000
Belair Payroll Services Inc.	anti-money-laundering deficiencies	2013	DOJ_CRIMINAL	$3,267,252
CommunityONE Bank N.A.	anti-money-laundering deficiencies	2011	DOJ_CRIMINAL	$400,000
Pamrapo Savings Bank S.L.A.	anti-money-laundering deficiencies	2010	DOJ_CRIMINAL	$5,000,000
Lebanese Canadian Bank	anti-money-laundering deficiencies	2013	USAO	$102,000,000
HSZH Verwaltungs AG	tax violations	2016	DOJ_TAX	$49,000,000
Leodan Privatbank AG	tax violations	2016	DOJ_TAX	$500,000
Bank Lombard Odier & Co Ltd	tax violations	2015	DOJ_TAX	$99,809,000
DZ Privatbank (Schweiz) AG	tax violations	2015	DOJ_TAX	$7,452,000
Bank J. Safra Sarasin AG	tax violations	2015	DOJ_TAX	$85,809,000
Gonet & Cie	tax violations	2015	DOJ_TAX	$11,454,000
Banque Cantonal du Valais	tax violations	2015	DOJ_TAX	$2,311,000
Banque Cantonale Vaudoise	tax violations	2015	DOJ_TAX	$41,677,000
Edmond de Rothschild (Suisse) SA and Edmond de Rothschild (Lugano) SA	tax violations	2015	DOJ_TAX	$45,245,000
Bordier & Cie Switzerland	tax violations	2015	DOJ_TAX	$7,827,000
PBZ Verwaltungs AG	tax violations	2015	DOJ_TAX	$5,570,000
PostFinance AG	tax violations	2015	DOJ_TAX	$2,000,000
Dreyfus Sons & Co Ltd, Banquiers	tax violations	2015	DOJ_TAX	$24,161,000
Baumann & Cie, Banquiers	tax violations	2015	DOJ_TAX	$7,700,000
Corner Banca SA	tax violations	2015	DOJ_TAX	$5,068,000
Bank Coop AG	tax violations	2015	DOJ_TAX	$3,223,000
Aargauische Kantonalbank	tax violations	2015	DOJ_TAX	$1,983,000
EFG Bank European Financial Group SA, Geneva and EFG Bank AG	tax violations	2015	DOJ_TAX	$29,988,000
Privatbank IHAG Zurich AG	tax violations	2015	DOJ_TAX	$7,453,000
KBL (Switzerland) Ltd.	tax violations	2015	DOJ_TAX	$18,792,000
Bank CIC	tax violations	2015	DOJ_TAX	$3,281,000
Maerki Baumann & Co. AG	tax violations	2015	DOJ_TAX	$23,920,000
Banque Internationale a Luxembourg (Suisse) SA	tax violations	2015	DOJ_TAX	$9,710,000
Zuger Kantonalbank	tax violations	2015	DOJ_TAX	$3,798,000
Banque Bonhote & Cie SA	tax violations	2015	DOJ_TAX	$624,000
Luzerner Kantonalbank AG	tax violations	2015	DOJ_TAX	$11,031,000
Habib Bank AG Zurich	tax violations	2015	DOJ_TAX	$9,400,000
Banque Heritage S.A.	tax violations	2015	DOJ_TAX	$3,846,000
Hyposwiss Private Bank Geneve S.A.	tax violations	2015	DOJ_TAX	$1,109,000
Piguet Galland & Cie SA	tax violations	2015	DOJ_TAX	$15,365,000
Schaffhauser Kantonalbank	tax violations	2015	DOJ_TAX	$1,613,000
Finacor SA	tax violations	2015	DOJ_TAX	$295,000
BHF-Bank (Schweiz) AG	tax violations	2015	DOJ_TAX	$1,768,000
Migros Bank AG	tax violations	2015	DOJ_TAX	$15,037,000
Graubundner Kantonalbank	tax violations	2015	DOJ_TAX	$3,616,000
St. Galler Kantonalbank AG	tax violations	2015	DOJ_TAX	$9,481,000
E. Gutzwiller & Cie, Banquiers	tax violations	2015	DOJ_TAX	$1,556,000
Bank La Roche & Co AG	tax violations	2015	DOJ_TAX	$9,296,000
Valiant Bank AG	tax violations	2015	DOJ_TAX	$3,304,000
Schroder & Co. Bank AG	tax violations	2015	DOJ_TAX	$10,354,000
Hypothekarbank Lenzburg AG	tax violations	2015	DOJ_TAX	$560,000
Bank Zweiplus	tax violations	2015	DOJ_TAX	$1,089,000
Banca dello Stato del Cantone Ticino	tax violations	2015	DOJ_TAX	$3,393,000
Privatbank Reichmuth & Co.	tax violations	2015	DOJ_TAX	$2,592,000
Banque Cantonale du Jura SA	tax violations	2015	DOJ_TAX	$970,000
Bank EKI Genossenschaft	tax violations	2015	DOJ_TAX	$400,000
PKB Privatbank AG	tax violations	2015	DOJ_TAX	$6,328,000
Falcon Private Bank AG	tax violations	2015	DOJ_TAX	$1,806,000
Credito Privato Commerciale in liquidazione SA	tax violations	2015	DOJ_TAX	$348,900
SB Saanen Bank AG	tax violations	2015	DOJ_TAX	$1,365,000
Privatbank Bellerive AG	tax violations	2015	DOJ_TAX	$57,000
Mercantil Bank (Schweiz) AG	tax violations	2015	DOJ_TAX	$1,172,000
Banque Cantonale Neuchateloise	tax violations	2015	DOJ_TAX	$1,123,000
Nidwaldner Kantonalbank	tax violations	2015	DOJ_TAX	$856,000
Banque Pasche SA	tax violations	2015	DOJ_TAX	$7,229,000
ARVEST Privatbank AG	tax violations	2015	DOJ_TAX	$1,044,000
Privatbank Von Graffenried AG	tax violations	2015	DOJ_TAX	$287,000