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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 Type sort iconYearAgencyPenalty Amount
Outreach Associates, Inc. accounting fraud or deficiencies2010KY-AG$20,000
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2009NJ-AG$5,850,000
QwestLumen Technologiestelecommunicationsaccounting fraud or deficiencies2007AK-AG$19,000,000
RSM US LLP accounting fraud or deficiencies2019SEC$950,000
Tate Ford Lincoln Mercury, Inc. dba Tate Auto Center accounting fraud or deficiencies2000AZ-AG$150,000
The Boston Home, Inc. accounting fraud or deficiencies2001MA-AG$12,500
Time Warner accounting fraud or deficiencies2006AK-AG$25,000,000
Time Warner Inc. et al. accounting fraud or deficiencies2006PA-AG$23,000,000
Tyco International Ltd.Johnson Controlsautomotive partsaccounting fraud or deficiencies2008NJ-AG$73,250,000
Verizon BusinessVerizon Communicationstelecommunicationsaccounting fraud or deficiencies2007OK-AG$11,700,000
WB Mason, Inc. accounting fraud or deficiencies2009MA-AG$545,000
Fiat Chrysler Automobiles N.V.Stellantismotor vehiclesaccounting fraud or deficiencies2019SEC$40,000,000
Herbalife Nutrition Ltd.Herbalifefood productsaccounting fraud or deficiencies2019SEC$20,000,000
Comscore, Inc.ComScoreinformation servicesaccounting fraud or deficiencies2019SEC$5,000,000
NissanNissanmotor vehiclesaccounting fraud or deficiencies2019SEC$15,000,000
Marvell Technology Group, Ltd.Marvell Technologyelectrical and electronic equipmentaccounting fraud or deficiencies2019SEC$5,500,000
Beazer Homes USA Inc.Beazer Homes USAconstruction and engineeringaccounting fraud or deficiencies2009USAO(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000
Friedman's Inc. accounting fraud or deficiencies2005USAO$2,000,000
Computer Associates International, Inc.Broadcomelectrical and electronic equipmentaccounting fraud or deficiencies2004USAO$225,000,000
BDO SeidmanBDO Internationalbusiness servicesaccounting fraud or deficiencies2002USAO$16,000,000
Citigroup, Inc.Citigroupfinancial servicesaccounting fraud or deficiencies2003NY-MANDA$25,000,000
J.P. Morgan Chase & Co.JPMorgan Chasefinancial servicesaccounting fraud or deficiencies2003NY-MANDA$25,000,000
Deloitte Touche Tohmatsu Certified Public Accountants LimitedDeloittebusiness servicesaccounting fraud or deficiencies2015SEC$500,000
Ernst & Young Hua Ming LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2015SEC$500,000
KPMG HuazhenKPMGbusiness servicesaccounting fraud or deficiencies2015SEC$500,000
PricewaterhouseCoopers Zhong Tian CPAs Limited CompanyPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2015SEC$500,000
JB Oxford Holdings, Inc. accounting fraud or deficiencies2000USAO$2,000,000
BDO LimitedBDO Internationalbusiness servicesaccounting fraud or deficiencies2019PCAOB$10,000
PricewaterhouseCoopersPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2019PCAOB$10,000
PMB Helin Donovan, LLP accounting fraud or deficiencies2019PCAOB$20,000
Deloitte Anjin LLCDeloittebusiness servicesaccounting fraud or deficiencies2019PCAOB$350,000
Marcum Bernstein & Pinchuk LLP accounting fraud or deficiencies2019PCAOB$50,000
Marcum LLP accounting fraud or deficiencies2019PCAOB$450,000
Gregory & Associates, LLC accounting fraud or deficiencies2019PCAOB$15,000
Thayer O'Neal Company, LLC accounting fraud or deficiencies2019PCAOB$15,000
PricewaterhouseCoopers, S.C.PricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2019PCAOB$100,000
KPMG Audit LimitedKPMGbusiness servicesaccounting fraud or deficiencies2019PCAOB$250,000
Raich Ende Malter & Co. LLP accounting fraud or deficiencies2019PCAOB$15,000
Bharat Parikh & Associates Chartered Accountants accounting fraud or deficiencies2019PCAOB$15,000
Deloitte & Touche Ltda.Deloittebusiness servicesaccounting fraud or deficiencies2019PCAOB$15,000
RSM Hong Kong accounting fraud or deficiencies2019PCAOB$10,000
Deloitte LLPDeloittebusiness servicesaccounting fraud or deficiencies2018PCAOB$350,000
Zhang Hongling CPA, P.C. accounting fraud or deficiencies2018PCAOB$15,000
Breard & Associates, Inc. accounting fraud or deficiencies2018PCAOB$75,000
Frazier & Deeter, LLC accounting fraud or deficiencies2018PCAOB$15,000
Richard J. Girasole, CPA PC accounting fraud or deficiencies2018PCAOB$10,000
Deloitte & Touche LLPDeloittebusiness servicesaccounting fraud or deficiencies2018PCAOB$500,000
Shedjama Inc. accounting fraud or deficiencies2018PCAOB$10,000
Baum & Company, P.A. accounting fraud or deficiencies2018PCAOB$10,000
Tarvaran Askelson & Company, LLP accounting fraud or deficiencies2018PCAOB$15,000
DRT Bagimsiz Denetim ve Serbest Muhasebeci Mali Musavirlik A.S. accounting fraud or deficiencies2017PCAOB$750,000
Grant Thornton LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2017PCAOB$1,500,000
Stevenson & Company CPAs LLC accounting fraud or deficiencies2017PCAOB$10,000
Weld Asia Associates accounting fraud or deficiencies2017PCAOB$20,000
Anthony Kam & Associates Limited accounting fraud or deficiencies2017PCAOB$10,000
VanDuyne, Bruno & Co., P.A. accounting fraud or deficiencies2017PCAOB$10,000
Brace & Associates, PLLC accounting fraud or deficiencies2017PCAOB$10,000
Weaver and Tidwell, L.L.P. accounting fraud or deficiencies2017PCAOB$30,000
BDO Auditores, S.L.P. accounting fraud or deficiencies2017PCAOB$40,000
Seale and Beers CPAs, LLC accounting fraud or deficiencies2017PCAOB$20,000
Enterprise CPAs, Ltd. accounting fraud or deficiencies2017PCAOB$10,000
Jerome Rosenberg CPA, P.C. accounting fraud or deficiencies2017PCAOB$10,000
L&L CPAs, PA accounting fraud or deficiencies2017PCAOB$5,000
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2017PCAOB$1,000,000
William T. McCallum CPA, P.C. accounting fraud or deficiencies2017PCAOB$5,000
Fulvio & Associates, L.L.P. accounting fraud or deficiencies2017PCAOB$20,000
BDO Hungary Audit, Ltd. accounting fraud or deficiencies2017PCAOB$20,000
Ernst & Young, S.L.Ernst & Youngbusiness servicesaccounting fraud or deficiencies2017PCAOB$10,000
Goldstein, Zugman, Weinstein & Poole, LLC accounting fraud or deficiencies2017PCAOB$10,000
Grant Thornton DaejooGrant Thorntonbusiness servicesaccounting fraud or deficiencies2017PCAOB$10,000
Grant Thornton Fast & ABS Auditores y Consultores Ltda.Grant Thorntonbusiness servicesaccounting fraud or deficiencies2017PCAOB$10,000
KPMG Auditores IndependentesKPMGbusiness servicesaccounting fraud or deficiencies2017PCAOB$15,000
Korwek & Company, PA accounting fraud or deficiencies2017PCAOB$10,000
Price Waterhouse & Co. S.R.L.PricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2017PCAOB$25,000
PricewaterhouseCoopers Auditores, S.L.PricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2017PCAOB$15,000
SEJONG LLP accounting fraud or deficiencies2017PCAOB$5,000
Thomas J. Trumeter accounting fraud or deficiencies2017PCAOB$15,000
Canuswa Accounting & Tax Services Inc. accounting fraud or deficiencies2017PCAOB$20,000
Cutler & Co., LLC accounting fraud or deficiencies2017PCAOB$20,000
KAP Purwantono, Sungkoro & Surja accounting fraud or deficiencies2017PCAOB$1,000,000
HJ & Associates accounting fraud or deficiencies2017PCAOB$10,000
Scrudato & Co., PA accounting fraud or deficiencies2016PCAOB$15,000
Deloitte Accountants B.V.Deloittebusiness servicesaccounting fraud or deficiencies2016PCAOB$300,000
Deloitte Touche Tohmatsu Auditores IndependentesDeloittebusiness servicesaccounting fraud or deficiencies2016PCAOB$8,000,000
Galaz, Yamazaki, Ruiz Urquiza, S.C. accounting fraud or deficiencies2016PCAOB$750,000
Berkow, Schechter & Company LLP accounting fraud or deficiencies2016PCAOB$15,000
Roth & Company, P.C. accounting fraud or deficiencies2016PCAOB$20,000
Goldman Kurland and Mohidin, LLP accounting fraud or deficiencies2016PCAOB$15,000
Donahue Associates LLC accounting fraud or deficiencies2016PCAOB$5,000
Moss, Krusick & Associates, LLC accounting fraud or deficiencies2016PCAOB$10,000
Scott and Company LLC accounting fraud or deficiencies2016PCAOB$10,000
L.L. Bradford & Company, LLC accounting fraud or deficiencies2015PCAOB$12,500
Stein & Company, LLP accounting fraud or deficiencies2015PCAOB$5,000
BDO Auditores, S.L.P. accounting fraud or deficiencies2015PCAOB$10,000
Turner, Jones and Company PLLC accounting fraud or deficiencies2015PCAOB$10,000
Bravos & Associates CPA's accounting fraud or deficiencies2015PCAOB$10,000
HDSG & Associates accounting fraud or deficiencies2015PCAOB$5,000
CST Group, CPAs, P.C. accounting fraud or deficiencies2015PCAOB$7,500
Goracke & Associates, P.C. accounting fraud or deficiencies2015PCAOB$20,000
Mistretta Associates accounting fraud or deficiencies2015PCAOB$20,000
Samyn & Martin, LLC accounting fraud or deficiencies2015PCAOB$10,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.