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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 ParentCurrent Parent IndustryPrimary Offense TypeYearAgencyPenalty Amount sort icon
Edward D. Jones & Co. LPJones Financialfinancial servicesinvestor protection violation2003ND-SEC$7,000
BIO-SOLUTIONS FRANCHISE CORP. investor protection violation2003VA-SEC$7,000
DAILY GRIND OF WINCHESTER investor protection violation2006VA-SEC$7,000
INVESTOLOGY, INC. investor protection violation2009VA-SEC$7,000
SEDONA OIL & GAS CORPORATION investor protection violation2010VA-SEC$7,000
911 RESTORATION FRANCHISE, INC investor protection violation2015VA-SEC$7,000
Moonlighting, Inc. investor protection violation2019VA-SEC$7,000
My Choice Hair, LLC investor protection violation2020VA-SEC$7,000
Tradeology.com, Inc. investor protection violation2010WA-FIN$7,000
Merrill Lynch Pierce Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2005WI-FIN$7,000
First Midwest Securities, Inc. investor protection violation2009FINRA$7,000
Eagle Strategies LLC investor protection violation2022VA-SEC$7,000
MRV Banks banking violation2022FDIC$7,000
AFB&TSynovus Financialfinancial servicesbanking violation2009FDIC$7,040
AMERICAN BANK CENTER FIRST; BANK CENTER FIRST banking violation2006FDIC$7,050
Casewise Systems, Inc. tax violations2015CT-AG$7,050
Pierpont Securities Holdings, LLC tax violations2014CT-AG$7,050
United Claims Service, Inc. tax violations2013CT-AG$7,080
TSB Bank banking violation2016FDIC$7,100
H.C. Denison Co. investor protection violation2023ME-SEC$7,105
Ambassador College Bookstores, Inc. tax violations2012CT-AG$7,110
Bill.com, Inc.Bill.cominformation technologytax violations2014CT-AG$7,110
AMERICAN STATE BANK banking violation2005FDIC$7,125
Community State Bank banking violation2011FED$7,130
Northland Industrial Truck Co. Inc. tax violations2012CT-AG$7,133
Sellars Absorbant Materials, Inc. tax violations2014CT-AG$7,148
BANK OF BLUFFS banking violation2010FDIC$7,150
Radio Spirits, LLC tax violations2013CT-AG$7,163
Bensussen Deutsch & Associates, Inc. tax violations2013CT-AG$7,170
CapitalSource Bank tax violations2014CT-AG$7,185
Chevron TCI, Inc. tax violations2012CT-AG$7,185
Daia Holdings Ltd. tax violations2015CT-AG$7,185
Delphinus Engineering, Inc. tax violations2016CT-AG$7,185
ALLIANCE BANK banking violation2010FDIC$7,190
Aquatic Renovation Systems, Inc. tax violations2013CT-AG$7,193
COMMUNITY BANK OF CENTRAL WISCONSIN banking violation2009FDIC$7,200
The Savings Bank banking violation2017FDIC$7,200
Perspectus Architecture, LLC tax violations2016CT-AG$7,200
NETTALON SECURITY SYSTEMS INC investor protection violation2009VA-SEC$7,200
Monarch Bank banking violation2010FED$7,215
Ecology Recovery Systems, Inc. tax violations2014CT-AG$7,230
Amarillo National Bank banking violation2013OCC$7,250
California United BankPacWest Bancorpfinancial serviceseconomic sanction violation2004OFAC$7,250
THE PEOPLES BANK OF BULLITT COUNTY banking violation2011FDIC$7,250
American Forest Products, LLC tax violations2013CT-AG$7,260
Tidewell DeWitt Investment Services, LLC investor protection violation2007AL-SEC$7,262
International Beauty Supply of Toms River, Inc. tax violations2013CT-AG$7,268
Suretrade, Inc. economic sanction violation2007OFAC$7,277
SOUTHERN MISSOURI BANK AND TRUST COMPANY banking violation2002FDIC$7,300
Church Extension Loan Fund, Inc. investor protection violation2022AR-SEC$7,300
First Sentinel Bank banking violation2011FED$7,315
BANK OF STOCKTON banking violation2010FDIC$7,315
CITIZENS COMMUNITY BANK banking violation2010FDIC$7,315
Fuller Construction Corp. tax violations2016CT-AG$7,324
The Chinese American Bank economic sanction violation2006OFAC$7,370
Mackrow Asset Management Group and Runnstarr Asset Management Group investor protection violation2018MO-SEC$7,372
Citicorp Vendor Finance LtdCitigroupfinancial serviceseconomic sanction violation2004OFAC$7,379
THE CONVERSE COUNTY BANK banking violation2007FDIC$7,385
Lighthouse Placement Services, LLC tax violations2015CT-AG$7,395
SEAWAY COMMUNITY BANK banking violation2011FDIC$7,400
Crescent Brewery LLC tax violations2022ATTTB$7,400
MoneyLife Partners, Inc. investor protection violation2023KY-FIN$7,400
NORTHWEST SAVINGS BANK banking violation2008FDIC$7,405
Varco International, Inc.NOV Inc.oilfield services and supplieseconomic sanction violation2003OFAC$7,428
BUSEY BANKFirst Busey Corp.financial servicesbanking violation2010FDIC$7,445
Newbridge Securities Corp. investor protection violation2016KY-FIN$7,476
Questback, Inc. tax violations2014CT-AG$7,485
BankTrust Financial banking violation2013FDIC$7,500
West Texas State Bank banking violation2013FDIC$7,500
First Iowa State Bank banking violation2015FED$7,500
NOVATO COMMUNITY BANK banking violation2001FDIC$7,500
SOUTHERN PACIFIC BANK banking violation2000FDIC$7,500
BankAtlanticTruist Financialfinancial serviceseconomic sanction violation2008OFAC$7,500
Iridex Corporation economic sanction violation2008OFAC$7,500
Premier Agency Inc. economic sanction violation2008OFAC$7,500
The Four Oaks Foundation, Inc. economic sanction violation2005OFAC$7,500
Cable News Network, Inc.Warner Bros. Discovery Inc.mediaeconomic sanction violation2004OFAC$7,500
Alpha Industries, Inc economic sanction violation2003OFAC$7,500
Crown Bank, National Association banking violation2008OCC$7,500
Old National BankOld National Bancorpfinancial servicesbanking violation2004OCC$7,500
3C Advisors & Associates, Inc. investor protection violation2016SEC$7,500
Town Residential investor protection violation2015NY-AG$7,500
West Texas State Bank banking violation2013FDIC$7,500
Bank of Montgomery banking violation2012FDIC$7,500
SERVIS FIRST BANK banking violation2011FDIC$7,500
EXCEL BANK banking violation2011FDIC$7,500
STATE BANK OF SOUTHERN UTAH banking violation2010FDIC$7,500
CST Group, CPAs, P.C. accounting fraud or deficiencies2015PCAOB$7,500
Walker & Armstrong LLP accounting fraud or deficiencies2015PCAOB$7,500
Gulftex Operating, Inc. investor protection violation2007AL-SEC$7,500
BCL, LLC and Sanctus Partners Limited Partnership investor protection violation2012AL-SEC$7,500
Allied Energy, Inc. investor protection violation2015AR-SEC$7,500
Chazel Capital, Inc. and OFIR Mine Project, LP investor protection violation2012AZ-CC$7,500
Denver Energy Exploration, LLC investor protection violation2014AZ-CC$7,500
Trademark INT PTT AB investor protection violation2020CA-DFPI$7,500
ICG Financial, LLC investor protection violation2007CT-SEC$7,500
Euro Pacific Capital, Inc. investor protection violation2009CT-SEC$7,500
Laidlaw & Company (UK) Ltd. investor protection violation2012CT-SEC$7,500
Obsidian Financial Group, LLC investor protection violation2013CT-SEC$7,500
Fundraising Co-Op, Inc. investor protection violation2013CT-SEC$7,500
Southridge Real Estate Partners L.P. and Ridgebury Partners, LLC investor protection violation2015CT-SEC$7,500
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.