Warning: Undefined array key 1 in /usr/home/goodjobsfirst/public_html/violationtrackerlive/function.php on line 727
Basic Search  |  Summaries  |  Advanced Search

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearAgencyPenalty Amount sort icon
Expro Group Holdings N.V. investor protection violation2023SEC$7,998,721
Creative Financial Funding, L.L.C. et al. investor protection violation2002AZ-CC$7,947,777
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesinvestor protection violation2019SEC$7,944,055
Southridge Capital Management LLC and Southridge Advisors LLC investor protection violation2018SEC$7,864,064
Societe Internationale de Telecommunications Aeronautiques SCR economic sanction violation2020OFAC$7,829,640
Bordier & Cie Switzerland tax violations2015DOJ_TAX$7,827,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2010NC-SEC$7,800,000
Zoltek Companies, Inc.Toray Industrieschemicalseconomic sanction violation2018OFAC$7,772,102
ACI Inc. investor protection violation2004SEC$7,756,750
Wheat First Securities Inc. investor protection violation2000FINRA$7,730,000
Baumann & Cie, Banquiers tax violations2015DOJ_TAX$7,700,000
PayPal Inc.PayPal Holdingsfinancial serviceseconomic sanction violation2015OFAC$7,658,300
Equal Earth, Inc. investor protection violation2019SEC$7,655,000
Susquehanna Investment Group investor protection violation2009SEC$7,640,000
Alcon Laboratories, IncAlcon Inc.medical equipment and supplieseconomic sanction violation2016OFAC$7,617,150
Main & Prospect Capital, LLC investor protection violation2022CFTC$7,606,395
Loci Inc. investor protection violation2021SEC$7,600,000
Poloniex, LLC economic sanction violation2023OFAC$7,591,630
Smith & Cox, LLC et al. investor protection violation2020AZ-CC$7,558,866
Silversprings Real Estate Development & Investments, L.L.C. et al. investor protection violation2011AZ-CC$7,554,463
American Express Bank, FSBAmerican Expressfinancial servicesbanking violation2013OCC$7,500,000
RBS Citizens, National AssociationCitizens Financial Groupfinancial servicesbanking violation2013OCC$7,500,000
Logitech InternationalLogitech Internationalelectrical and electronic equipmentaccounting fraud or deficiencies2016SEC$7,500,000
Navistar International Corp.Volkswagenmotor vehiclesinvestor protection violation2016SEC$7,500,000
Lions Gate Entertainment Corp.Lions Gate Entertainmententertainmentaccounting fraud or deficiencies2014SEC$7,500,000
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
Halliburton Co.Halliburtonoilfield services and suppliesaccounting fraud or deficiencies2004SEC$7,500,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2016SEC$7,500,000
American Italian Pasta CompanyTreeHouse Foodsfood productsaccounting fraud or deficiencies2008USAO$7,500,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2007SEC$7,500,000
Edward Jones & Co.Jones Financialfinancial servicesinvestor protection violation2008CA-AG$7,500,000
Bank of America Corp.Bank of Americafinancial servicesanti-money-laundering deficiencies2006NY-MANDA$7,500,000
The Bancorp Bank banking violation2019FDIC$7,500,000
Scotia Capital (USA) Inc.Scotiabankfinancial servicesinvestor protection violation2023SEC$7,500,000
Privatbank IHAG Zurich AG tax violations2015DOJ_TAX$7,453,000
DZ Privatbank (Schweiz) AG tax violations2015DOJ_TAX$7,452,000
American Express Financial Advisors Inc.Ameriprise Financialfinancial servicesinvestor protection violation2005NH-BSR$7,375,000
PNC Investments LLCPNC Financial Servicesfinancial servicesinvestor protection violation2018SEC$7,307,770
Heartland Capital Partners, LLC and Heartland Income Properties LLC investor protection violation2023AZ-CC$7,304,390
Saber Funds, LLC et. al. investor protection violation2015NJ-BOS$7,282,500
Worldwide Capital, Inc. investor protection violation2014SEC$7,253,726
Banque Pasche SA tax violations2015DOJ_TAX$7,229,000
Texas Coastal Energy Company investor protection violation2018SEC$7,200,000
Goldman Sachs Execution & Clearing, L.P. and SLK-Hull Derivatives LLCGoldman Sachsfinancial servicesinvestor protection violation2009SEC$7,200,000
Banco Espirito Santo S.A. investor protection violation2011SEC$7,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2009SEC$7,000,000
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
Arthur Andersen LLP accounting fraud or deficiencies2001SEC$7,000,000
Merchants Bank of California, N.A. anti-money-laundering deficiencies2017FINCEN$7,000,000
Brixmor Property Group Inc. accounting fraud or deficiencies2019SEC$7,000,000
Quadrangle Group LLC investor protection violation2010NY-AG$7,000,000
TFS-ICAP LLC and TFS-ICAP Ltd. investor protection violation2020CFTC$7,000,000
ING America Insurance Holdings Inc.Voya Financialfinancial servicesinvestor protection violation2006FINRA$7,000,000
Momentus Inc. investor protection violation2021SEC$7,000,000
CommunityBank of Texas, N.A. anti-money-laundering deficiencies2021FINCEN$7,000,000
Wells Fargo AdvisorsWells Fargofinancial servicesanti-money-laundering deficiencies2022SEC$7,000,000
Citadel Securities LLC investor protection violation2023SEC$7,000,000
Verdugo Gift Company investor protection violation2021AZ-CC$6,988,143
Martin & Griffin, LLC investor protection violation2003AZ-CC$6,982,222
King Royalty, LLC investor protection violation2023CFTC$6,978,837
Interinvest Corporation investor protection violation2016SEC$6,900,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicestoxic securities abuses2016VA-AG$6,900,000
Weiss Asset Management LP investor protection violation2022SEC$6,899,004
Raymond James Financial Services Advisors, Inc.Raymond James Financialfinancial servicesinvestor protection violation2019SEC$6,877,048
ACP Investment Group, LLC et al. investor protection violation2021NY-AG$6,871,904
Ascenergy LLC investor protection violation2017SEC$6,859,690
Oxford City Football Club, Inc. investor protection violation2017SEC$6,853,358
Mizuho Capital Markets LLCMizuho Financialfinancial servicesinvestor protection violation2023CFTC$6,847,182
Superior Leasing of Arizona, Inc. and Superior Holding Group, Inc. investor protection violation2000AZ-CC$6,792,956
Simpson Capital Management, Inc. investor protection violation2009SEC$6,650,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2010TX-SEC$6,640,432
John Nuveen & Co., Inc.TIAAfinancial servicesinvestor protection violation2000FINRA$6,630,000
BNY MellonBank of New York Mellonfinancial servicesinvestor protection violation2017SEC$6,600,000
Royal Alliance Associates, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2005FINRA$6,600,000
Gateway One Lending & Finance, LLC investor protection violation2021SEC$6,513,192
THL Managers V, LLC and THL Managers VI, LLC investor protection violation2018SEC$6,506,016
American Express Bank, FSBAmerican Expressfinancial servicesbanking violation2012OCC$6,500,000
Fifth Third BancorpFifth Third Bancorpfinancial servicesaccounting fraud or deficiencies2013SEC$6,500,000
8000 Inc. investor protection violation2015SEC$6,500,000
Deutsche Bank Securities, Inc.Deutsche Bankfinancial servicesinvestor protection violation2013FINRA$6,500,000
Coinbase Inc.Coinbase Global Inc.financial servicesinvestor protection violation2021CFTC$6,500,000
CX Futures Exchange, L.P. investor protection violation2022CFTC$6,500,000
Senvest Management LLC investor protection violation2024SEC$6,500,000
Ethiopian Electric Power investor protection violation2016SEC$6,448,854
VTB Capital plc investor protection violation2021SEC$6,429,883
Citizens BankCitizens Financial Groupfinancial servicesbanking violation2013FDIC$6,400,000
Republic Cash Advance, Inc. and Quick Cash Advance, Inc. investor protection violation2002AZ-CC$6,348,492
Standard Chartered Bank (Switzerland) SA, en liquidationStandard Charteredfinancial servicestax violations2015DOJ_TAX$6,337,000
PKB Privatbank AG tax violations2015DOJ_TAX$6,328,000
World Interactive Gaming Corporation investor protection violation2000NY-AG$6,300,000
One Source Mortgage & Investments, Inc. and Strategic Equity Investments, LLC investor protection violation2010AZ-CC$6,274,453
Lasalle Bank MidWest National AssociationBank of Americafinancial servicesbanking violation2005OCC$6,250,000
AT&TAT&Ttelecommunicationsinvestor protection violation2022SEC$6,250,000
3-CG, LLC and Choice Property Group, LLC investor protection violation2012AZ-CC$6,216,949
Profutura LLC investor protection violation2001AZ-CC$6,215,350
Lantheus Medical Imaging Inc. tax violations2014NY-AG$6,200,000
Berkley Capital Management, LLC et al. investor protection violation2022CFTC$6,198,632
Kestra Advisory Services, LLC investor protection violation2019SEC$6,196,279
Cambridge Investment Research Advisors, Inc. investor protection violation2019SEC$6,187,562
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.