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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
Privatbank Von Graffenried AG tax violations2015DOJ_TAX$287,000
Ersparniskasse Schaffhausen AG tax violations2015DOJ_TAX$2,066,000
Bank Linth LLB AG tax violations2015DOJ_TAX$4,150,000
Bank Sparhafen Zurich AG tax violations2015DOJ_TAX$1,810,000
Berner Kantonalbank AG tax violations2015DOJ_TAX$4,619,000
Rothschild Bank AG tax violations2015DOJ_TAX$11,510,000
Banca Credinvest SA tax violations2015DOJ_TAX$3,022,000
MediBank AG tax violations2015DOJ_TAX$826,000
LBBW (Schweiz) AG tax violations2015DOJ_TAX$34,000
Scobag Privatbank AG tax violations2015DOJ_TAX$9,090
Finter Bank Zurich AG tax violations2015DOJ_TAX$5,414,000
Vadian Bank AG tax violations2015DOJ_TAX$4,253,000
BSI SA tax violations2015DOJ_TAX$211,000,000
Wegelin & Co tax violations2013DOJ_TAX$74,000,000
Banco do Brasil, S.A. economic sanction violation2015OFAC$139,500
Online Micro LLC economic sanction violation2012OFAC$1,054,388
Sunrise Technologies and Trading Corporation economic sanction violation2011OFAC$1,661,672
Aviation Services Intemational, B.V. aka Delta Logistics, B.V. economic sanction violation2010OFAC$250,000
Luca International Group, LLC investor protection violation2016SEC$68,300,000
JNL Oilfield Instruments, LLC accounting fraud or deficiencies2016SEC$160,000
Phoenix Companies accounting fraud or deficiencies2016SEC$600,000
StratoComm Corporation accounting fraud or deficiencies2016SEC$5,068,709
Icon Capital accounting fraud or deficiencies2016SEC$750,000
IEC Electronics Corp. accounting fraud or deficiencies2016SEC$200,000
Ethiopian Electric Power investor protection violation2016SEC$6,448,854
Albert Fried & Company anti-money-laundering deficiencies2016SEC$300,000
First Mortgage Corporation investor protection violation2016SEC$12,700,000
Burrill Capital Management accounting fraud or deficiencies2016SEC$4,785,000
Uni-Pixel Inc. investor protection violation2016SEC$750,000
Westlands Water District investor protection violation2016SEC$125,000
Marrone Bio Innovations accounting fraud or deficiencies2016SEC$1,750,000
E.S. Financial Services anti-money-laundering deficiencies2016SEC$1,000,000
eAdGear Inc. accounting fraud or deficiencies2016SEC$22,640,000
Miller Energy Resources accounting fraud or deficiencies2016SEC$5,000,000
Marwood Group Research LLC investor protection violation2015SEC$375,000
Sands Brothers Asset Management LLC investor protection violation2015SEC$1,000,000
Fenway Partners LLC investor protection violation2015SEC$8,716,471
Summit Trust Company accounting fraud or deficiencies2015SEC$18,900,000
DBRS Inc. investor protection violation2015SEC$5,814,482
Premiere Power LLC investor protection violation2015SEC$2,587,523
Wolverine Trading LLC and Wolverine Asset Management LLC investor protection violation2015SEC$1,153,303
Home Loan Servicing Solutions Ltd. accounting fraud or deficiencies2015SEC$1,500,000
Spencer Pharmaceutical Inc. investor protection violation2015SEC$1,000,000
Focus Media Holding Limited investor protection violation2015SEC$55,600,000
Trinity Capital Corporation accounting fraud or deficiencies2015SEC$1,500,000
Idle Media Inc. accounting fraud or deficiencies2015SEC$50,000
Stein Mart Inc. accounting fraud or deficiencies2015SEC$800,000
First Eagle Investment Management and FEF Distributors investor protection violation2015SEC$39,748,260
8000 Inc. investor protection violation2015SEC$6,500,000
MusclePharm Corporation accounting fraud or deficiencies2015SEC$700,000
Summit Asset Strategies accounting fraud or deficiencies2015SEC$1,143,933
Taberna Capital Management investor protection violation2015SEC$21,500,000
EnviraTrends, Inc. investor protection violation2015SEC$150,000
Colonial Tidewater Realty Income Partners investor protection violation2015SEC$1,319,386
ABS Manager investor protection violation2015SEC$1,087,648
Vero Capital Management LLC accounting fraud or deficiencies2015SEC$3,068,706
AlphaBridge Capital Management accounting fraud or deficiencies2015SEC$5,000,000
China Valves Technology Inc. investor protection violation2015SEC$575,000
BioChemics Inc. investor protection violation2015SEC$17,897,887
H.D. Vest Investment Securities investor protection violation2015SEC$225,000
GLR Advisers LLC accounting fraud or deficiencies2015SEC$2,772,475
VCAP Securities investor protection violation2015SEC$1,477,332
F-Squared Investments investor protection violation2014SEC$35,000,000
Baker Tilly Hong Kong Limited accounting fraud or deficiencies2014SEC$84,101
Canadian Solar Inc. accounting fraud or deficiencies2014SEC$500,000
Lerner & Sipkins CPAs LLC accounting fraud or deficiencies2014SEC$55,000
OUM & Co. accounting fraud or deficiencies2014SEC$10,000
Boros & Farrington Accountancy Corporation accounting fraud or deficiencies2014SEC$30,000
BKD LLP accounting fraud or deficiencies2014SEC$15,000
APT MotoVox Group Inc. investor protection violation2014SEC$25,000
CoroWare Inc. investor protection violation2014SEC$25,000
ERF Wireless Inc. investor protection violation2014SEC$50,000
Green Automotive Company investor protection violation2014SEC$50,000
MineralRite Corporation investor protection violation2014SEC$25,000
Mondial Ventures Inc. investor protection violation2014SEC$50,000
Monster Arts Inc. investor protection violation2014SEC$25,000
Red Giant Entertainment Inc. investor protection violation2014SEC$25,000
Seaniemac International Ltd. investor protection violation2014SEC$50,000
Worthington Energy Inc. investor protection violation2014SEC$25,000
Hapoalim Securities USA investor protection violation2014SEC$54,000
Lebenthal & Co. investor protection violation2014SEC$54,000
National Securities Corporation investor protection violation2014SEC$60,000
Riedl First Securities Co. of Kansas investor protection violation2014SEC$130,000
Berman & Co. P.A. accounting fraud or deficiencies2014SEC$15,000
OTC Solutions LLC investor protection violation2014SEC$373,239
Saba Software accounting fraud or deficiencies2014SEC$1,750,000
Lincolnshire Management investor protection violation2014SEC$2,300,000
Strategic Capital Group LLC investor protection violation2014SEC$586,290
AgFeed Industries accounting fraud or deficiencies2014SEC$18,000,000
Advanced Cell Technology investor protection violation2014SEC$375,000
Linkbrokers Derivatives LLC investor protection violation2014SEC$14,000,000
AIC Inc. investor protection violation2014SEC$66,760,521
OM Investment Management accounting fraud or deficiencies2014SEC$1,729,800
AutoChina International Limited accounting fraud or deficiencies2014SEC$4,350,000
Liquidnet Inc. investor protection violation2014SEC$2,000,000
Empire Stock Transfer Inc. investor protection violation2014SEC$50,000
Redfin Network Inc. accounting fraud or deficiencies2014SEC$19,480
A Chicago Convention Center, LLC and Intercontinental Regional Center Trust of Chicago, LLC investor protection violation2014SEC$12,950,000
Belmont Partners LLC accounting fraud or deficiencies2014SEC$224,500
Apple Six Advisors Inc. accounting fraud or deficiencies2014SEC$437,500
Apple Seven Advisors Inc. accounting fraud or deficiencies2014SEC$375,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.