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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
Merrill Lynch, Pierce and Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2018SEC$8,872,723
Murchinson Ltd. investor protection violation2021SEC$8,878,183
Merrill Lynch, Pierce, Fenner & SmithBank of Americafinancial servicesinvestor protection violation2018SEC$8,900,000
Vika Ventures LLC investor protection violation2023SEC$8,929,120
GLG Partners L.P. accounting fraud or deficiencies2013SEC$8,954,346
Marshall Holdings International, Inc. investor protection violation2009SEC$8,974,033
Barclays Capital Inc.Barclaysfinancial servicestoxic securities abuses2016VA-AG$9,000,000
PA Distributors investor protection violation2004CA-AG$9,000,000
Deutsche Bank AGDeutsche Bankfinancial servicesinvestor protection violation2020CFTC$9,000,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2013FINRA$9,000,000
S&P Dow Jones Indices LLCS&P Globalinformation technologyinvestor protection violation2021SEC$9,000,000
Under Armour Inc.Under Armourapparelinvestor protection violation2021SEC$9,000,000
Betterment LLC investor protection violation2023SEC$9,000,000
Pacific Investment Management Company LLC (PIMCO) investor protection violation2023SEC$9,000,000
SMBC Nikko Securities America, Inc.Sumitomo Groupdiversifiedinvestor protection violation2023SEC$9,000,000
Nawabi Enterprise and Hyperion Consulting Inc. investor protection violation2024CFTC$9,000,000
Vertical Capital Asset Management, LLC investor protection violation2017SEC$9,034,957
Onyx Capital Advisors investor protection violation2014SEC$9,100,000
Crown Bridge Partners, LLC investor protection violation2022SEC$9,200,908
The Joseph Project investor protection violation2021AZ-CC$9,210,000
Bank La Roche & Co AG tax violations2015DOJ_TAX$9,296,000
Ernst & YoungErnst & Youngbusiness servicesaccounting fraud or deficiencies2016SEC$9,300,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2019SEC$9,333,516
Habib Bank AG Zurich tax violations2015DOJ_TAX$9,400,000
DPWN Holdings (USA), Inc. and DHL Express (USA), Inc. economic sanction violation2009OFAC$9,444,744
St. Galler Kantonalbank AG tax violations2015DOJ_TAX$9,481,000
Joint-Stock Commercial Bank (Bank of Moscow) economic sanction violation2014OFAC$9,492,525
Royal Alliance Associates, SagePoint Financial and FSC Securities CorporationReverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2016SEC$9,500,000
Fiat Chrysler Automobiles N.V.Stellantismotor vehiclesinvestor protection violation2020SEC$9,500,000
EagleBank banking violation2022FED$9,500,000
Advance Local Development Corp. investor protection violation2002SEC$9,509,736
M.A.C Investments, Inc. et al. investor protection violation2005AZ-CC$9,566,872
Chevron Oil Co.Chevronoil and gastax violations2000LA-AG$9,600,000
3M Company3M Companymiscellaneous manufacturingeconomic sanction violation2023OFAC$9,618,477
Roadrunner Transportation Systems, IncRoadrunner Transportation Systemsfreight and logisticsinvestor protection violation2023SEC$9,635,911
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2023SEC$9,660,000
Premier Holding Corp. investor protection violation2021SEC$9,691,500
Banque Internationale a Luxembourg (Suisse) SA tax violations2015DOJ_TAX$9,710,000
Banc of America Investment Services, Inc.Bank of Americafinancial servicesinvestor protection violation2008SEC$9,763,634
International Monetary Metals, Inc. investor protection violation2016CFTC$9,800,000
RBC Capital Markets CorporationRoyal Bank of Canadafinancial servicesinvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $9,800,000
Monterey Del Pacifico Partners LLLP investor protection violation2020MD-SEC$9,880,000
K.W. Brown & Company, 21st Century Advisors Inc., and K.W. Brown Investments, Inc. accounting fraud or deficiencies2008SEC$9,983,586
RBS Citizens, National AssociationCitizens Financial Groupfinancial servicesbanking violation2015OCC$10,000,000
Trump Taj Mahal Casino ResortHard Rock Internationalrestaurants and foodserviceanti-money-laundering deficiencies2015FINCEN$10,000,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2016SEC$10,000,000
Satyam Computer Services LimitedTech Mahindramiscellaneous servicesaccounting fraud or deficiencies2011SEC$10,000,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2011SEC$10,000,000
BankAtlanticTruist Financialfinancial servicesanti-money-laundering deficiencies2006DOJ_CRIMINAL$10,000,000
Bank of ChinaBank of Chinafinancial servicesbanking violation2002OCC$10,000,000
Marvell Technology Group, Ltd.Marvell Technologyelectrical and electronic equipmentaccounting fraud or deficiencies2008SEC$10,000,000
Biovail CorporationBausch Healthpharmaceuticalsaccounting fraud or deficiencies2008SEC$10,000,000
Nicor, Inc.Southern Companyutilities and power generationaccounting fraud or deficiencies2007SEC$10,000,000
American-Amicable Life Insurance Company of Texas, Pioneer American Insurance Company, and Pioneer Security Life Insurance Company investor protection violation2006SEC$10,000,000
Dollar General CorporationDollar Generalretailingaccounting fraud or deficiencies2005SEC$10,000,000
Gemstar-TV Guide International, Inc. accounting fraud or deficiencies2004SEC$10,000,000
i2 Technologies, Inc. accounting fraud or deficiencies2004SEC$10,000,000
American International Group, Inc.American International Groupfinancial servicesaccounting fraud or deficiencies2003SEC$10,000,000
Xerox CorporationXeroxmiscellaneous servicesaccounting fraud or deficiencies2002SEC$10,000,000
NASDAQ Stock Market, LLC and NASDAQ Execution Services, LLCNasdaq Inc.financial servicesinvestor protection violation2013SEC$10,000,000
Canary Capital Partners LLC investor protection violation2006NJ-AG$10,000,000
Ernst & Young LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2015NY-AG$10,000,000
RBS Securities Inc.NatWest Group PLCfinancial servicestoxic securities abuses2016VA-AG$10,000,000
GFI Securities, LLCBGC Partnersfinancial servicesinvestor protection violation2019CFTC$10,000,000
Cipriani Fifth Avenue, LLC et al. tax violations2007NY-MANDA$10,000,000
MetLife, Inc.MetLifefinancial servicesinvestor protection violation2019SEC$10,000,000
Deloitte Financial Advisory ServicesDeloittebusiness servicesanti-money-laundering deficiencies2013NY-DFS$10,000,000
Ameritrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2004FINRA$10,000,000
App Annie Inc. investor protection violation2021SEC$10,000,000
Ernst & Young LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2021SEC$10,000,000
Medley Management investor protection violation2022SEC$10,000,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2022SEC$10,000,000
Marcum LLP accounting fraud or deficiencies2023SEC$10,000,000
Moelis & Company LLC investor protection violation2023SEC$10,000,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2023SEC$10,000,000
D. E. Shaw & Co., L.P. investor protection violation2023SEC$10,000,000
William Blair & Company LLC investor protection violation2023SEC$10,000,000
Lyft Inc.Lyft Inc.miscellaneous servicesinvestor protection violation2023SEC$10,000,000
Shinhan Bank America anti-money-laundering deficiencies2023NY-DFS$10,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2023SEC$10,000,000
Cambridge Investment Research Inc. investor protection violation2024SEC$10,000,000
Key Investment Services LLC investor protection violation2024SEC$10,000,000
Kestra Advisory Services, LLC investor protection violation2021SEC$10,003,172
Barron Thomas Scottsdale, L.L.C. et al. investor protection violation2010AZ-CC$10,051,294
1st Financial Bank USA1st Financial Bank USAfinancial servicesbanking violation2010FDIC$10,140,000
GPB Capital Holdings, LLC et al. investor protection violation2021SC-INS$10,200,000
Robinhood Financial LLCRobinhood Marketsfinancial servicesinvestor protection violation2023MULTI-FIN$10,200,000
Mirelis Holding S.A. tax violations2018DOJ_TAX$10,245,000
Schroder & Co. Bank AG tax violations2015DOJ_TAX$10,354,000
Poloniex LLC investor protection violation2021SEC$10,388,309
BBVA Suiza S.A.Banco Bilbao Vizcaya Argentariafinancial servicestax violations2015DOJ_TAX$10,390,000
Agra Technologies, Inc. investor protection violation2007AZ-CC$10,417,532
HSBC Bank USA, N.A.HSBCfinancial servicesinvestor protection violation2007SEC$10,500,000
Fokker Services B.V. economic sanction violation2014USAO$10,500,000
Statoil, ASAEquinoroil and gasinvestor protection violation2006SEC$10,500,000
Catalyst Capital Advisors, LLC investor protection violation2020SEC$10,508,481
Bankers Life and Casualty Company and BLC Financial Services, Inc.CNO Financialfinancial servicesinvestor protection violation2012MULTI-FIN$10,641,000
LLB Verwaltung tax violations2019DOJ_TAX$10,680,554
Porsal Equities Ltd. tax violations2018NY-AG$10,750,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2011FINRA$10,750,000
Barclays Bank PLCBarclaysfinancial servicesinsider trading2007SEC$10,943,561
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.