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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
ArthroCare CorporationSmith & Nephewmedical equipment and suppliesaccounting fraud or deficiencies2014DOJ_CRIMINAL$30,000,000
CSK Auto CorporationO'Reilly Automotiveretailingaccounting fraud or deficiencies2011DOJ_CRIMINAL$20,900,000
General Reinsurance CorporationBerkshire Hathawaydiversifiedaccounting fraud or deficiencies2010DOJ_CRIMINAL$24,500,000
Fifth Third BancorpFifth Third Bancorpfinancial servicesaccounting fraud or deficiencies2013SEC$6,500,000
JPMorgan & Co.JPMorgan Chasefinancial servicesaccounting fraud or deficiencies2013SEC$200,000,000
Capital One Financial CorporationCapital One Financialfinancial servicesaccounting fraud or deficiencies2013SEC$3,500,000
Deutsche Bank SecuritiesDeutsche Bankfinancial servicesaccounting fraud or deficiencies2014CFTC$3,000,000
JPMorgan Chase BankJPMorgan Chasefinancial servicesaccounting fraud or deficiencies2012CFTC$20,000,000
JNL Oilfield Instruments, LLC accounting fraud or deficiencies2016SEC$160,000
Phoenix Companies accounting fraud or deficiencies2016SEC$600,000
StratoComm Corporation accounting fraud or deficiencies2016SEC$5,068,709
Icon Capital accounting fraud or deficiencies2016SEC$750,000
IEC Electronics Corp. accounting fraud or deficiencies2016SEC$200,000
Swisher HygieneEcolabchemicalsaccounting fraud or deficiencies2016SEC$2,000,000
Cabela'sBass Proretailingaccounting fraud or deficiencies2016SEC$1,000,000
Logitech InternationalLogitech Internationalelectrical and electronic equipmentaccounting fraud or deficiencies2016SEC$7,500,000
INTL FCStoneStoneX Groupfinancial servicesaccounting fraud or deficiencies2016SEC$150,000
Burrill Capital Management accounting fraud or deficiencies2016SEC$4,785,000
ModusLink Global Solutions Inc.Steel Connect Inc.freight and logisticsaccounting fraud or deficiencies2016SEC$1,600,000
Magnum Hunter Resources CorporationBlue Ridge Mountain Resourcesoil and gasaccounting fraud or deficiencies2016SEC$250,000
KeyBanc Capital Markets Inc.KeyCorpfinancial servicesaccounting fraud or deficiencies2016SEC$175,000
Marrone Bio Innovations accounting fraud or deficiencies2016SEC$1,750,000
Monsanto CompanyBayerchemicalsaccounting fraud or deficiencies2016SEC$80,000,000
eAdGear Inc. accounting fraud or deficiencies2016SEC$22,640,000
Ocwen Financial Corp.Ocwen Financialfinancial servicesaccounting fraud or deficiencies2016SEC$2,000,000
Miller Energy Resources accounting fraud or deficiencies2016SEC$5,000,000
Grant Thornton LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2015SEC$4,500,000
St. Joe CompanySt. Joe Companyreal estateaccounting fraud or deficiencies2015SEC$2,750,000
Summit Trust Company accounting fraud or deficiencies2015SEC$18,900,000
Home Loan Servicing Solutions Ltd. accounting fraud or deficiencies2015SEC$1,500,000
Grant Thornton India LLP and Grant Thornton Audit Pty LimitedGrant Thorntonbusiness servicesaccounting fraud or deficiencies2015SEC$365,085
Trinity Capital Corporation accounting fraud or deficiencies2015SEC$1,500,000
Idle Media Inc. accounting fraud or deficiencies2015SEC$50,000
Stein Mart Inc. accounting fraud or deficiencies2015SEC$800,000
BDO USABDO Internationalbusiness servicesaccounting fraud or deficiencies2015SEC$2,100,000
Bankrate Inc.Red Venturesbusiness servicesaccounting fraud or deficiencies2015SEC$15,000,000
MusclePharm Corporation accounting fraud or deficiencies2015SEC$700,000
Summit Asset Strategies accounting fraud or deficiencies2015SEC$1,143,933
Vero Capital Management LLC accounting fraud or deficiencies2015SEC$3,068,706
Deloitte & Touche LLPDeloittebusiness servicesaccounting fraud or deficiencies2015SEC$1,113,916
AlphaBridge Capital Management accounting fraud or deficiencies2015SEC$5,000,000
Computer Sciences CorporationDXC Technologyinformation technologyaccounting fraud or deficiencies2015SEC$190,000,000
First BancorpFirst Bancorp (North Carolina)financial servicesaccounting fraud or deficiencies2015SEC$275,000
Polycom Inc.Plantronicsmiscellaneous manufacturingaccounting fraud or deficiencies2015SEC$750,000
GLR Advisers LLC accounting fraud or deficiencies2015SEC$2,772,475
Broadwind EnergyBroadwind Inc.utilities and power generationaccounting fraud or deficiencies2015SEC$1,000,000
Baker Tilly Hong Kong Limited accounting fraud or deficiencies2014SEC$84,101
Canadian Solar Inc. accounting fraud or deficiencies2014SEC$500,000
Lerner & Sipkins CPAs LLC accounting fraud or deficiencies2014SEC$55,000
OUM & Co. accounting fraud or deficiencies2014SEC$10,000
Boros & Farrington Accountancy Corporation accounting fraud or deficiencies2014SEC$30,000
BKD LLP accounting fraud or deficiencies2014SEC$15,000
Hampton Roads BanksharesAtlantic Union Banksharesfinancial servicesaccounting fraud or deficiencies2014SEC$200,000
Great Lakes Dredge & Dock CorporationGreat Lakes Dredge & Dock Corporationmiscellaneous servicesaccounting fraud or deficiencies2014SEC$150,000
Berman & Co. P.A. accounting fraud or deficiencies2014SEC$15,000
JDA Software Group Inc.New Mountain Capitalprivate equity (including portfolio companies)accounting fraud or deficiencies2014SEC$750,000
Saba Software accounting fraud or deficiencies2014SEC$1,750,000
AgFeed Industries accounting fraud or deficiencies2014SEC$18,000,000
Wilmington TrustM&T Bankfinancial servicesaccounting fraud or deficiencies2014SEC$18,500,000
Ernst & Young LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2014SEC$4,070,000
OM Investment Management accounting fraud or deficiencies2014SEC$1,729,800
AutoChina International Limited accounting fraud or deficiencies2014SEC$4,350,000
CVS Caremark Corp.CVS Healthretailingaccounting fraud or deficiencies2014SEC$20,000,000
Redfin Network Inc. accounting fraud or deficiencies2014SEC$19,480
Lions Gate Entertainment Corp.Lions Gate Entertainmententertainmentaccounting fraud or deficiencies2014SEC$7,500,000
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
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.