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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 Type sort iconYearAgencyPenalty Amount
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
Apple Eight Advisors Inc. accounting fraud or deficiencies2014SEC$437,500
Apple Nine Advisors Inc. accounting fraud or deficiencies2014SEC$250,000
KPMGKPMGbusiness servicesaccounting fraud or deficiencies2014SEC$8,200,000
Diamond FoodsCampbell Soupfood productsaccounting fraud or deficiencies2014SEC$5,000,000
GLG Partners L.P. accounting fraud or deficiencies2013SEC$8,954,346
Sherb & Co. LLP accounting fraud or deficiencies2013SEC$75,000
Patrizio & Zhao LLC accounting fraud or deficiencies2013SEC$30,000
Universal Travel Group accounting fraud or deficiencies2013SEC$750,000
Medifast Inc.Medifast Inc.miscellaneous servicesaccounting fraud or deficiencies2013SEC$200,000
Fuqi International Inc. accounting fraud or deficiencies2013SEC$1,000,000
China Natural Gas Inc. accounting fraud or deficiencies2013SEC$815,000
PACCARPaccarmotor vehiclesaccounting fraud or deficiencies2013SEC$225,000
MedLink International Inc. accounting fraud or deficiencies2013SEC$8,084,515
Capital Solutions Distributors, LLC and Capital Solutions Management, LP accounting fraud or deficiencies2013SEC$4,997,077
Keyuan Petrochemicals accounting fraud or deficiencies2013SEC$1,000,000
Deloitte & Touche South AfricaDeloittebusiness servicesaccounting fraud or deficiencies2012SEC$247,043
Huron Consulting Group Inc.Huron Consulting Groupmiscellaneous servicesaccounting fraud or deficiencies2012SEC$1,000,000
LaBarge Inc. accounting fraud or deficiencies2011SEC$200,000
Thor Industries Inc.Thor Industriesmotor vehiclesaccounting fraud or deficiencies2011SEC$1,000,000
Satyam Computer Services LimitedTech Mahindramiscellaneous servicesaccounting fraud or deficiencies2011SEC$10,000,000
PricewaterhouseCoopersPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2011SEC$6,000,000
KPMG AustraliaKPMGbusiness servicesaccounting fraud or deficiencies2011SEC$2,742,000
Deerfield Capital Corp. accounting fraud or deficiencies2011SEC$1,277,070
NIC Inc.Tyler Technologiesinformation technologyaccounting fraud or deficiencies2011SEC$500,000
Hudson Highland Group accounting fraud or deficiencies2011SEC$200,000
Vitesse Semiconductor Corp.Microchip Technology Inc.electrical and electronic equipmentaccounting fraud or deficiencies2010SEC$3,000,000
BroCo Investments, Inc. accounting fraud or deficiencies2010SEC$627,633
Dell Inc.Dell Technologieselectrical and electronic equipmentaccounting fraud or deficiencies2010SEC$100,000,000
Diebold, Inc.Diebold Nixdorfmiscellaneous manufacturingaccounting fraud or deficiencies2010SEC$25,000,000
Assurant Inc.Assurantfinancial servicesaccounting fraud or deficiencies2010SEC$3,500,000
General Re CorporationBerkshire Hathawaydiversifiedaccounting fraud or deficiencies2010SEC$12,200,000
American International Group, Inc.American International Groupfinancial servicesaccounting fraud or deficiencies2006DOJ_CRIMINAL$25,000,000
Adelphia Communications Corporation accounting fraud or deficiencies2005DOJ_CRIMINAL$715,000,000
America OnlineApollo Global Managementprivate equity (including portfolio companies)accounting fraud or deficiencies2004DOJ_CRIMINAL$210,000,000
PNC ICLC Corp.PNC Financial Servicesfinancial servicesaccounting fraud or deficiencies2003DOJ_CRIMINAL$115,000,000
Ernst & Young LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2009SEC$8,500,000
SafeNet, Inc. accounting fraud or deficiencies2009SEC$1,000,000
VeriFone Holdings, Inc.Francisco Partnersprivate equity (including portfolio companies)accounting fraud or deficiencies2009SEC$25,000
Terex CorporationTerexheavy equipmentaccounting fraud or deficiencies2009SEC$8,000,000
General Electric CompanyGeneral Electricdiversifiedaccounting fraud or deficiencies2009SEC$50,000,000
Monster Worldwide, Inc.Randstadbusiness servicesaccounting fraud or deficiencies2009SEC$2,500,000
Take-Two Interactive Software, Inc.Take-Two Interactive Software Inc.entertainmentaccounting fraud or deficiencies2009SEC$3,000,000
Zurich Financial ServicesZurich Insurancefinancial servicesaccounting fraud or deficiencies2008SEC$25,000,000
Conversion Solutions Holding Corporation accounting fraud or deficiencies2008SEC$250,000
United Rentals, IncUnited Rentalsmiscellaneous servicesaccounting fraud or deficiencies2008SEC$14,000,000
Analog Devices, Inc.Analog Devices Inc.electrical and electronic equipmentaccounting fraud or deficiencies2008SEC$3,000,000
Marvell Technology Group, Ltd.Marvell Technologyelectrical and electronic equipmentaccounting fraud or deficiencies2008SEC$10,000,000
McCann-Erickson WorldwideInterpublicmiscellaneous servicesaccounting fraud or deficiencies2008SEC$12,000,000
Biovail CorporationBausch Healthpharmaceuticalsaccounting fraud or deficiencies2008SEC$10,000,000
W.P. Carey & Co.W.P. Carey Inc.real estateaccounting fraud or deficiencies2008SEC$30,000,000
Halt, Buzas & Powell, Ltd. accounting fraud or deficiencies2008SEC$101,711
K.W. Brown & Company, 21st Century Advisors Inc., and K.W. Brown Investments, Inc. accounting fraud or deficiencies2008SEC$9,983,586
Nortel Networks Corporation accounting fraud or deficiencies2007SEC$35,000,000
Electronic Data Systems Corporation accounting fraud or deficiencies2007SEC$490,902
First BanCorpFirst Bancorp (Puerto Rico)financial servicesaccounting fraud or deficiencies2007SEC$8,500,000
Cardinal Health, Inc.Cardinal Healthwholesalersaccounting fraud or deficiencies2007SEC$35,000,000
ConAgra Foods, Inc.ConAgra Brandsfood productsaccounting fraud or deficiencies2007SEC$45,000,000
International Business MachinesIBM Corp.information technologyaccounting fraud or deficiencies2007SEC$7,000,000
Brocade Communications Systems, Inc.Broadcomelectrical and electronic equipmentaccounting fraud or deficiencies2007SEC$7,000,000
Mercury Interactive, LLC accounting fraud or deficiencies2007SEC$28,000,000
The BISYS GroupCitigroupfinancial servicesaccounting fraud or deficiencies2007SEC$25,000,000
Motorola Inc.Motorola Solutionstelecommunicationsaccounting fraud or deficiencies2007SEC$25,000,000
Nicor, Inc.Southern Companyutilities and power generationaccounting fraud or deficiencies2007SEC$10,000,000
RenaissanceRe Holdings Ltd.RenaissanceRe Holdingsfinancial servicesaccounting fraud or deficiencies2007SEC$15,000,000
MBIA Inc.MBIAfinancial servicesaccounting fraud or deficiencies2007SEC$50,000,000
Doral Financial Corporation accounting fraud or deficiencies2006SEC$25,000,000
Endocare, Inc. accounting fraud or deficiencies2006SEC$750,000
Raytheon CompanyRTX Corporationaerospace and military contractingaccounting fraud or deficiencies2006SEC$12,000,000
Scientific-Atlanta, Inc.Cisco Systemselectrical and electronic equipmentaccounting fraud or deficiencies2006SEC$20,000,000
Federal National Mortgage Association (Fannie Mae)Fannie Maefinancial servicesaccounting fraud or deficiencies2006SEC$400,000,000
Tyco International Ltd.Johnson Controlsautomotive partsaccounting fraud or deficiencies2006SEC$50,000,000
McAfee, Inc.Advent Internationalprivate equity (including portfolio companies)accounting fraud or deficiencies2006SEC$50,000,000
KPMG LLP (KPMG Canada)KPMGbusiness servicesaccounting fraud or deficiencies2005SEC$73,682
HealthSouth CorporationEncompass Healthhealthcare servicesaccounting fraud or deficiencies2005SEC$100,000,000
Take-Two Interactive Software, Inc.Take-Two Interactive Software Inc.entertainmentaccounting fraud or deficiencies2005SEC$7,500,000
Huntington Bancshares, Inc.Huntington Bancsharesfinancial servicesaccounting fraud or deficiencies2005SEC$7,500,000
Tyson Foods, Inc.Tyson Foodsfood productsaccounting fraud or deficiencies2005SEC$1,500,000
Deloitte & Touche LLPDeloittebusiness servicesaccounting fraud or deficiencies2005SEC$375,000
Deloitte & Touche LLPDeloittebusiness servicesaccounting fraud or deficiencies2005SEC$50,000,000
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2005SEC$22,000,000
Dollar General CorporationDollar Generalretailingaccounting fraud or deficiencies2005SEC$10,000,000
TALX CorporationEquifaxmiscellaneous servicesaccounting fraud or deficiencies2005SEC$2,500,000
Elan Corporation, plcPerrigopharmaceuticalsaccounting fraud or deficiencies2005SEC$15,000,000
Qwest Communications International Inc.Lumen Technologiestelecommunicationsaccounting fraud or deficiencies2004SEC$250,000,000
Computer Associates International, Inc.Broadcomelectrical and electronic equipmentaccounting fraud or deficiencies2004SEC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $225,000,000
Dean Foods CompanyDairy Farmers of America (DFA)food productsaccounting fraud or deficiencies2004SEC$400,000
Digital Exchange Systems, Inc. accounting fraud or deficiencies2004SEC$100,000
Kemps LLC, f/k/a Marigold Foods LLC accounting fraud or deficiencies2004SEC$150,000
Royal Dutch Petroleum CompanyShell PLCoil and gasaccounting fraud or deficiencies2004SEC$120,000,000
Doeren Mayhew & Co. P.C. accounting fraud or deficiencies2004SEC$115,126
Grant Thornton LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2004SEC$1,500,000
Bristol-Myers Squibb CompanyBristol-Myers Squibbpharmaceuticalsaccounting fraud or deficiencies2004SEC$150,000,000
Halliburton Co.Halliburtonoilfield services and suppliesaccounting fraud or deficiencies2004SEC$7,500,000
Measurement Specialties, Inc. accounting fraud or deficiencies2004SEC$1,000,000
Gemstar-TV Guide International, Inc. accounting fraud or deficiencies2004SEC$10,000,000
i2 Technologies, Inc. accounting fraud or deficiencies2004SEC$10,000,000
Symbol Technologies, Inc.Zebra Technologieselectrical and electronic equipmentaccounting fraud or deficiencies2004SEC$37,000,000
Del Global Technologies Corp., Inc. accounting fraud or deficiencies2004SEC$400,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.