Warning: Undefined array key 1 in /usr/home/goodjobsfirst/public_html/violationtrackerlive/function.php on line 727
Basic Search  |  Summaries  |  Advanced Search

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentCurrent Parent IndustryPrimary Offense TypeYear sort iconAgencyPenalty Amount
Cedar Rapids State Bank banking violation2003NE-DBF$9,800
J.C.G. Check Cashing Corp. anti-money-laundering deficiencies2003NY-DFS$50,000
Whitestone Check Cashing Corp. anti-money-laundering deficiencies2003NY-DFS$200,000
Cherokee Energy Company LLC investor protection violation2003OK-SEC$10,000
DR Thaut Inc. dba First Security Financial investor protection violation2003OR-FIN$5,000
GBS Funding investor protection violation2003OR-FIN$25,000
National Equipment Providers LLC investor protection violation2003OR-FIN$50,000
Spa Marketing LLC investor protection violation2003OR-FIN$50,000
Quality Financial Concepts investor protection violation2003TN-SEC$5,800
MONY Securities Corporation investor protection violation2003TN-SEC$10,000
Cuso Equities Inc. investor protection violation2003TN-SEC$5,500
Willingham Asset Management Inc. investor protection violation2003TX-SEC$5,000
Lone Star Securities Inc. investor protection violation2003TX-SEC$10,000
Laradorbecker Securities Corporation investor protection violation2003TX-SEC$5,000
Premier Group Inc. investor protection violation2003TX-SEC$5,000
Northstar Energy Inc. investor protection violation2003TX-SEC$75,000
Ameritas Investment CorporationAmeritas Mutual Holding Companyfinancial servicesinvestor protection violation2003TX-SEC$25,000
Top of Texas Financial Strategies Inc. investor protection violation2003TX-SEC$5,000
JEFFERSON PILOT SECURITIESLincoln Nationalfinancial servicesinvestor protection violation2003VA-SEC$26,500
BIO-SOLUTIONS FRANCHISE CORP. investor protection violation2003VA-SEC$7,000
WORLD ONLINE 247, INC. investor protection violation2003VA-SEC$31,500
Statewide Escrow investor protection violation2003WA-FIN$6,500
Success Concepts Enterprises, Inc. and World Business Consultants, Inc. investor protection violation2003WA-FIN$5,000
LDS Securities, LLC investor protection violation2003WA-FIN$20,000
Private Lender Funding, Inc. and The Moyer Company investor protection violation2003WA-FIN$12,500
Bear, Stearns & Co. Inc.JPMorgan Chasefinancial 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
Citigroup Global Markets Inc.Citigroupfinancial 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. $150,000,000
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
Goldman Sachs & Co.Goldman Sachsfinancial 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
J.P. Morgan Securities Inc.JPMorgan Chasefinancial 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
Lehman Brothers Inc. investor 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
Morgan Stanley & Co.Morgan Stanleyfinancial 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
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
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
Ernst & Young, LLPErnst & Youngbusiness servicestax violations2003IRS$15,000,000
J.P. Morgan Securities, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2003FINRA$6,000,000
THE PEOPLES BANK OF BULLITT COUNTY banking violation2002FDIC$9,800
BANK OF MINGO banking violation2002FDIC$12,400
SOUTHWEST BANK OF ST. LOUIS banking violation2002FDIC$10,000
AMERICREST BANK banking violation2002FDIC$10,150
THE COLUMBIA BANKFulton Financialfinancial servicesbanking violation2002FDIC$7,000
FIRST MARINER BANK banking violation2002FDIC$7,000
THE POCA VALLEY BANK, INC. banking violation2002FDIC$5,500
ENTERPRISE BANK banking violation2002FDIC$5,150
ROSLYN SAVINGS BANK banking violation2002FDIC$5,000
SOUTHERN MISSOURI BANK AND TRUST COMPANY banking violation2002FDIC$7,300
FIRST COMMUNITY BANK, MISSOURI, banking violation2002FDIC$6,400
Dexia, S.A. banking violation2002FED$50,000
Goleta National Bank banking violation2002OCC$75,000
Fidelity National Bank banking violation2002OCC$50,000
Bank of ChinaBank of Chinafinancial servicesbanking violation2002OCC$10,000,000
ICN Pharmaceuticals, Inc.Bausch Healthpharmaceuticalsaccounting fraud or deficiencies2002SEC$1,000,000
Siebel Systems, Inc.Oracleinformation technologyinvestor protection violation2002SEC$250,000
Dynegy Inc.Vistra Energyutilities and power generationaccounting fraud or deficiencies2002SEC$3,000,000
Oxford Health Plans, Inc.UnitedHealth Grouphealthcare servicesaccounting fraud or deficiencies2002SEC$250,000
PricewaterhouseCoopers LLPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2002SEC$5,000,000
Texon Energy Corp. and Lonestar Petroleum Corp. investor protection violation2002SEC$1,268,253
Moret Ernst & Young Accountants accounting fraud or deficiencies2002SEC$400,000
Advance Local Development Corp. investor protection violation2002SEC$9,509,736
Xerox CorporationXeroxmiscellaneous servicesaccounting fraud or deficiencies2002SEC$10,000,000
Big Country AGS, Inc. d/b/a AGS, Inc. investor protection violation2002SEC$242,840
Financial Asset Management, Inc. accounting fraud or deficiencies2002SEC$25,000
Gemisys Corporation investor protection violation2002SEC$15,000
Millenium Capital Advisors of Pennsylvania, Inc investor protection violation2002SEC$50,000
Gintel Asset Management, Inc. and Gintel & Co. LLC investor protection violation2002SEC$175,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2002SEC$100,000
Back Bay Advisors, L.P. investor protection violation2002SEC$150,000
Renberg Capital Management, Inc. investor protection violation2002SEC$40,000
Dean Witter Reynolds Inc.Morgan Stanleyfinancial servicesinvestor protection violation2002SEC$500,000
Vanderbilt Capital Advisors LLC investor protection violation2002SEC$125,000
RBC Dain Rauscher IncorporatedRoyal Bank of Canadafinancial servicesinvestor protection violation2002SEC$500,000
Knight Securities, L.P.Virtu Financialfinancial servicesinvestor protection violation2002SEC$75,000
Portfolio Advisory Services, LLC investor protection violation2002SEC$50,000
Performance Analytics, Inc. investor protection violation2002SEC$75,000
Josephthal & Co., Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2002SEC$75,000
Lone Star Transfer, Inc. investor protection violation2002SEC$10,000
ND Money Management, Inc. investor protection violation2002SEC$10,000
RansonCapital Corporation investor protection violation2002SEC$10,000
Roundhill Securities, Inc. investor protection violation2002SEC$100,000
Stan D. Kiefer & Associates investor protection violation2002SEC$10,000
Delta Equity Services Corporation investor protection violation2002SEC$45,000
Norwest Investment Services, Inc.Wells Fargofinancial servicesinvestor protection violation2002SEC$153,245
Pryor, McClendon, Counts & Co., Inc. investor protection violation2002SEC$40,000
BNB Capital, Inc. investor protection violation2002SEC$5,000
Merrimac Advisors Company investor protection violation2002SEC$50,000
Andersen, LLP accounting fraud or deficiencies2002AZ-AG$217,000,000
Bear Stearns & Co. LLCJPMorgan Chasefinancial 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
Commercial Truck & Lift Center, Inc. tax violations2002HI-AG$5,000
Concessions, Ltd. tax violations2002NH-AG$10,000
Corbin-Pacific, Inc. tax violations2002NH-AG$30,000
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
Deutsche BankDeutsche Bankfinancial servicesinvestor protection violation2002MULTI-AG$80,000,000
Goldman SachsGoldman Sachsfinancial 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. $110,000,000
J.P. Morgan Chase & Co.JPMorgan Chasefinancial 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
Lehman Brothers Inc. investor 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
Merrill LynchBank of Americafinancial servicesinvestor protection violation2002DE-AG$500,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2002NY-AG$100,000,000
Merrill Lynch & Co. Inc.Bank of Americafinancial 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. $100,000,000
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
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
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
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.