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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 CompaniesTotal Penalty $Number of Records
Bank of America$41,333,342,096156
UBS$27,713,994,893137
JPMorgan Chase$27,158,534,167124
Citigroup$19,750,393,935106
Deutsche Bank$15,638,617,27868
Goldman Sachs$13,128,062,84158
NatWest Group PLC$12,129,162,85723
Wells Fargo$10,735,730,989130
Morgan Stanley$9,905,512,956168
BNP Paribas$9,167,798,00012

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
OppenheimerFundsInvescofinancial servicesinvestor protection violation2010NM-AG$67,300,000
Tower Research Capital LLC investor protection violation2019CFTC$67,493,849
St. Paul Travelers Companies Inc.Travelersfinancial servicesinvestor protection violation2005NM-AG$67,500,000
American Skandia Investment Services, Inc.Prudential Financialfinancial servicesinvestor protection violation2009SEC$68,000,000
Luca International Group, LLC investor protection violation2016SEC$68,300,000
Robinhood Financial LLCRobinhood Marketsfinancial servicesinvestor protection violation2021FINRA$69,600,000
Citigroup Inc.Citigroupfinancial servicesbanking violation2004FED$70,000,000
Citibank N.A.Citigroupfinancial servicesanti-money-laundering deficiencies2018OCC$70,000,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesanti-money-laundering deficiencies2018FINCEN$70,000,000
General Reinsurance CorporationBerkshire Hathawaydiversifiedinvestor protection violation2009OH-AG$72,000,000
Wells Fargo Bank, N.A.Wells Fargofinancial servicesbanking violation2021USAO$72,600,000
Tyco International Ltd.Johnson Controlsautomotive partsaccounting fraud or deficiencies2008NJ-AG$73,250,000
Wegelin & Co tax violations2013DOJ_TAX$74,000,000
Hong Kong Entertainment (Overseas) Investments, Ltd. d/b/a Tinian Dynasty Hotel & Casino anti-money-laundering deficiencies2015FINCEN$75,000,000
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2004SEC$75,000,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesanti-money-laundering deficiencies2018OCC$75,000,000
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
BNP ParibasBNP Paribasfinancial servicesinvestor protection violation2023CFTC$75,000,000
Societe GeneraleSociete Generalefinancial servicesinvestor protection violation2023CFTC$75,000,000
Wells FargoWells Fargofinancial servicesinvestor protection violation2023CFTC$75,000,000
State Street Bank and Trust Co.State Street Corp.financial servicesinvestor protection violation2016MA-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $75,500,000
Jenkens & Gilchrist tax violations2007IRS$76,000,000
Greenetrack Inc. tax violations2022AL-AG$76,000,000
OppenheimerFunds, Inc.Invescofinancial servicesinvestor protection violation2009IL-AG$77,230,000
Swiss Life Holding AG et al.Swiss Life Groupfinancial servicestax violations2021DOJ_TAX$77,374,337
Coutts & Co LtdUnion Bancaire Priveefinancial servicestax violations2015DOJ_TAX$78,484,000
Bank Julius Baer & Co. Ltd.Julius Baer Groupfinancial servicesmoney laundering2021DOJ_CRIMINAL$79,000,000
Hudson Advisors L.P. and Lone Star Global Acquisitions Ltd. investor protection violation2022SEC$79,700,000
Monsanto CompanyBayerchemicalsaccounting fraud or deficiencies2016SEC$80,000,000
Bear, Stearns & Co. Inc.JPMorgan Chasefinancial servicesinvestor protection violation2003SEC$80,000,000
J.P. Morgan Securities Inc.JPMorgan Chasefinancial servicesinvestor protection violation2003SEC$80,000,000
Lehman Brothers Inc. investor protection violation2003SEC$80,000,000
UBS Warburg LLCUBSfinancial servicesinvestor protection violation2003SEC$80,000,000
Merrill Lynch & Co. Inc.Bank of Americafinancial servicesaccounting fraud or deficiencies2003SEC$80,000,000
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
Deutsche BankDeutsche Bankfinancial servicesinvestor protection violation2002MULTI-AG$80,000,000
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
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
Capital One Bank (USA), National AssociationCapital One Financialfinancial servicesbanking violation2020OCC$80,000,000
USAA Federal Savings BankUSAAfinancial servicesanti-money-laundering deficiencies2022FINCEN$80,000,000
Wells Fargo Bank N.A.Wells Fargofinancial servicesbankruptcy professional violation2015DOJ_UTP$81,600,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2024SEC$83,000,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2021CFTC$84,320,000
USAA Federal Savings BankUSAAfinancial servicesbanking violation2020OCC$85,000,000
Bank J. Safra Sarasin AG tax violations2015DOJ_TAX$85,809,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2004SEC$87,500,000
JPMorgan Chase BankJPMorgan Chasefinancial serviceseconomic sanction violation2011OFAC$88,300,000
State Street Bank and Trust CompanyState Street Corp.financial servicesinvestor protection violation2019SEC$88,780,000
Credit Suisse AGUBSfinancial servicesaccounting fraud or deficiencies2016SEC$90,000,000
Credit Agricole S.A.Credit Agricolefinancial serviceseconomic sanction violation2015FED$90,300,000
Freepoint Commodities LLC investor protection violation2023CFTC$91,000,000
Commonwealth Equity Services, LLC d/b/a Commonwealth Financial Network investor protection violation2024SEC$93,274,068
Western Union Financial Services, Inc.Western Unionfinancial servicesanti-money-laundering deficiencies2010MULTI-AG$94,000,000
Barclays CapitalBarclaysfinancial servicesinvestor protection violation2017SEC$97,037,659
Banamex USACitigroupfinancial servicesanti-money-laundering deficiencies2017DOJ_CRIMINAL$97,440,000
AEGON USA Investment Management LLC et al.Aegonfinancial servicesinvestor protection violation2018SEC$97,600,000
LLC Wholesale Supply LLC money laundering2022USAO$98,000,000
JPMorgan Chase & Co.JPMorgan Chasefinancial servicesbanking violation2024FED$98,200,000
Zurcher Kantonalbank tax violations2018USAO$98,500,000
Credit Agricole (Suisse) SACredit Agricolefinancial servicestax violations2015DOJ_TAX$99,211,000
Bank Lombard Odier & Co Ltd tax violations2015DOJ_TAX$99,809,000
Credit Suisse AGUBSfinancial servicesbanking violation2014FED$100,000,000
MoneyGram International Inc.Madison Dearborn Partnersprivate equity (including portfolio companies)anti-money-laundering deficiencies2012DOJ_CRIMINAL$100,000,000
Dell Inc.Dell Technologieselectrical and electronic equipmentaccounting fraud or deficiencies2010SEC$100,000,000
HealthSouth CorporationEncompass Healthhealthcare servicesaccounting fraud or deficiencies2005SEC$100,000,000
Facebook Inc.Meta Platforms Inc.information technologyinvestor protection violation2019SEC$100,000,000
MCIVerizon Communicationstelecommunicationstax violations2005MS-AG$100,000,000
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
HDR Global Trading Limited et al. anti-money-laundering deficiencies2021FINCEN$100,000,000
Mashreqbank, PSC economic sanction violation2021NY-DFS$100,000,000
Ernst & Young LLPErnst & Youngbusiness servicesinvestor protection violation2022SEC$100,000,000
Coinbase Inc.Coinbase Global Inc.financial servicesanti-money-laundering deficiencies2023NY-DFS$100,000,000
Citigroup, Inc.Citigroupfinancial servicesaccounting fraud or deficiencies2003SEC$101,000,000
Lebanese Canadian Bank anti-money-laundering deficiencies2013USAO$102,000,000
Chevron Oil Co.Chevronoil and gastax violations2004LA-AG$102,000,000
Highrise Advantage, LLC. investor protection violation2023CFTC$102,234,376
ConvergEx GroupToronto-Dominion Bankfinancial servicesinvestor protection violation2013SEC$107,424,429
Ernst & YoungErnst & Youngbusiness servicesaccounting fraud or deficiencies2009MI-AG$109,000,000
Wachovia BankWells Fargofinancial servicesanti-money-laundering deficiencies2010FINCEN$110,000,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2003SEC$110,000,000
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
BTC-E a/k/a Canton Business Corporation anti-money-laundering deficiencies2017FINCEN$110,003,314
Enron Corp. accounting fraud or deficiencies2005CT-AG$111,200,000
U.S. Pension Trust Corp. and U.S. College Trust Corp.U.S. Pension Trust Corp.financial servicesinvestor protection violation2010SEC$112,600,000
Standard Chartered BankStandard Charteredfinancial serviceseconomic sanction violation2012NY-MANDA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $113,500,000
PNC ICLC Corp.PNC Financial Servicesfinancial servicesaccounting fraud or deficiencies2003DOJ_CRIMINAL$115,000,000
CompuCredit CorporationAtlanticus Holdingsfinancial servicesbanking violation2008FDIC$116,400,000
UBSUBSfinancial servicesinvestor protection violation2010MI-AG$117,000,000
Charles Schwab Investment Management and Charles Schwab & Co., Inc.Charles Schwab Corp.financial servicesinvestor protection violation2011SEC$118,000,000
Royal Dutch Petroleum CompanyShell PLCoil and gasaccounting fraud or deficiencies2004SEC$120,000,000
Banque Pictet et Cie SA tax violations2023DOJ_TAX$122,900,000
Ernst & Young LLPErnst & Youngbusiness servicestax violations2013USAO$123,000,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2003SEC$125,000,000
MoneyGram International Inc.Madison Dearborn Partnersprivate equity (including portfolio companies)anti-money-laundering deficiencies2018DOJ_CRIMINAL$125,000,000
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
Nikola CorporationNikola Corporationmotor vehiclesinvestor protection violation2021SEC$125,000,000
Bank of America NABank of Americafinancial servicesbanking violation2022OCC$125,000,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2022SEC$125,000,000
BofA Securities Inc. and Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2022SEC$125,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.