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 Industry sort iconPrimary Offense TypeYearAgencyPenalty Amount
Putnam Investment Management, LLCFranklin Resourcesfinancial servicesinvestor protection violation2007SEC$350,000
AllianceBernstein, L.P.Equitable Holdingsfinancial servicesinvestor protection violation2007SEC$450,000
John Hancock Investment Management Services, LLCManulife Financialfinancial servicesinvestor protection violation2007SEC$19,787,879
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2007SEC$200,000
Deutsche Bank Trust Company AmericasDeutsche Bankfinancial servicesinvestor protection violation2007SEC$750,000
The Bank Of New YorkBank of New York Mellonfinancial servicesinvestor protection violation2007SEC$750,000
Wilmington Trust CompanyM&T Bankfinancial servicesinvestor protection violation2007SEC$100,000
Deutsche Bank Securities, Inc.Deutsche Bankfinancial servicesinvestor protection violation2006SEC$442,954
Deutsche Asset Management, Inc. and Deutsche Investment Management Americas, Inc.Deutsche Bankfinancial servicesinvestor protection violation2006SEC$17,200,000
Strong Capital Management, Inc.Wells Fargofinancial servicesinvestor protection violation2006SEC$2,185,927
Deutsche Investment Management Americas, Inc. et al.Deutsche Bankfinancial servicesinvestor protection violation2006SEC$19,329,729
Waddell & Reed, Inc.Macquariefinancial servicesinvestor protection violation2006SEC$50,000,000
Metropolitan Life Insurance CompanyMetLifefinancial servicesinvestor protection violation2006SEC$250,000
New England Securities Corp.MetLifefinancial servicesinvestor protection violation2006SEC$2,614,865
Morgan Keegan & Co., Inc.Raymond James Financialfinancial servicesinvestor protection violation2006SEC$558,806
CIBC World Markets CorporationCanadian Imperial Bank of Commercefinancial servicesinvestor protection violation2005SEC$496,598
State Street Research & Management CompanyBlackRockfinancial servicesinvestor protection violation2005SEC$585,743
Legg Mason Wood Walker, IncorporatedFranklin Resourcesfinancial servicesinvestor protection violation2005SEC$1,000,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesinvestor protection violation2005SEC$500,000
Prudential Equity Group, LLCPrudential Financialfinancial servicesinvestor protection violation2005SEC$125,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2005SEC$700,000
Banc of America Investment Services, Inc., and Bacap Distributors, LLCBank of Americafinancial servicesinvestor protection violation2005SEC$1,500,000
Credit Suisse First Boston, LLCUBSfinancial servicesinvestor protection violation2005SEC$200,000
Fiserv Securities, Inc.Fidelity Investmentsfinancial servicesinvestor protection violation2005SEC$15,000,000
Putnam Investment Management, LLCFranklin Resourcesfinancial servicesinvestor protection violation2005SEC$40,000,001
J.P. Morgan Securities Inc.JPMorgan Chasefinancial servicesinvestor protection violation2005SEC$700,000
Donaldson, Lufkin & Jenrette Securities Corp.UBSfinancial servicesinvestor protection violation2004SEC$1,000,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2004SEC$2,000,000
Brut, LLCNasdaq Inc.financial servicesinvestor protection violation2003SEC$45,000
Spear, Leeds & Kellogg, L.P.Goldman Sachsfinancial servicesinvestor protection violation2003SEC$450,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2002SEC$100,000
Dean Witter Reynolds Inc.Morgan Stanleyfinancial servicesinvestor protection violation2002SEC$500,000
RBC Dain Rauscher IncorporatedRoyal Bank of Canadafinancial servicesinvestor protection violation2002SEC$500,000
Knight Securities, L.P.Virtu Financialfinancial servicesinvestor protection violation2002SEC$75,000
Josephthal & Co., Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2002SEC$75,000
Norwest Investment Services, Inc.Wells Fargofinancial servicesinvestor protection violation2002SEC$153,245
Western Asset Management Co.Franklin Resourcesfinancial servicesinvestor protection violation2001SEC$50,000
Legg Mason Fund Adviser, Inc.Franklin Resourcesfinancial servicesinvestor protection violation2001SEC$50,000
ABN AMRO IncorporatedABN AMROfinancial servicesinvestor protection violation2001SEC$200,000
Legg Mason Wood Walker, IncorporatedFranklin Resourcesfinancial servicesinvestor protection violation2001SEC$50,000
Prudential Securities IncorporatedWells Fargofinancial servicesinvestor protection violation2001SEC$800,000
First Union Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2000SEC$408,931
Dean Witter Reynolds Inc.Morgan Stanleyfinancial servicesinvestor protection violation2000SEC$476,702
Fahnestock & Co., Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2000SEC$20,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2000SEC$100,000
Dreyfus CorporationBank of New York Mellonfinancial servicesinvestor protection violation2000SEC$950,000
Republic Bank & Trust CompanyRepublic Bancorpfinancial servicesbanking violation2018FDIC$300,000
Wintrust Financial CorporationWintrust Financial Corp.financial servicesbanking violation2019FED$1,012,500
Citibank N.A.Citigroupfinancial servicesbankruptcy professional violation2018DOJ_UTP$5,000,000
Wells Fargo Bank N.A.Wells Fargofinancial servicesbankruptcy professional violation2015DOJ_UTP$81,600,000
Capital One Bank (USA) N.A.Capital One Financialfinancial servicesbankruptcy professional violation2011DOJ_UTP$2,350,000
Citibank, N.A.Citigroupfinancial servicesbanking violation2019OCC$25,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2019SEC$8,014,000
Wells Fargo SecuritiesWells Fargofinancial servicesinvestor protection violation2019SEC$812,500
BB&T SecuritiesTruist Financialfinancial servicesinvestor protection violation2019SEC$5,709,753
JPMorgan Chase Bank N.A.JPMorgan Chasefinancial servicesinvestor protection violation2018SEC$135,100,000
Bank of New York MellonBank of New York Mellonfinancial servicesinvestor protection violation2018SEC$54,000,000
MUFG Securities Americas Inc.U.S. Bancorpfinancial servicesinvestor protection violation2018SEC$1,400,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargofinancial servicesinvestor protection violation2019SEC$17,363,847
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2019SEC$11,715,395
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2019SEC$2,971,462
First Republic Investment Management, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2019SEC$1,005,194
Stifel and Nicolaus & Company, IncorporatedStifel Financialfinancial servicesinvestor protection violation2019SEC$6,037,175
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2019SEC$241,227
Sorrento Pacific Financial, LLCAtria Wealth Solutionsfinancial servicesinvestor protection violation2019SEC$49,162
CUSO Financial Services, L.P.Atria Wealth Solutionsfinancial servicesinvestor protection violation2019SEC$296,750
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2019SEC$1,134,152
BB&T Securities, LLCTruist Financialfinancial servicesinvestor protection violation2019SEC$376,059
Next Financial Group, Inc.Atria Wealth Solutionsfinancial servicesinvestor protection violation2019SEC$1,405,349
Bok Financial Securities, Inc.BOK Financialfinancial servicesinvestor protection violation2019SEC$197,801
Ameritas Investment Corp.Ameritas Mutual Holding Companyfinancial servicesinvestor protection violation2019SEC$3,389,174
Principal Securities, Inc.Principal Financialfinancial servicesinvestor protection violation2019SEC$1,764,624
Transamerica Financial Advisors, Inc.Aegonfinancial servicesinvestor protection violation2019SEC$6,023,072
Comerica Securities, Inc.Comericafinancial servicesinvestor protection violation2019SEC$186,377
Santander Securities LLCBanco Santanderfinancial servicesinvestor protection violation2019SEC$270,539
Oppenheimer & Co. Inc. and Oppenheimer Asset Management Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2019SEC$3,528,377
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2019SEC$9,333,516
TIAA-CREF Individual & Institutional Services, LLCTIAAfinancial servicesinvestor protection violation2019SEC$2,395,722
Raymond James Financial Services Advisors, Inc.Raymond James Financialfinancial servicesinvestor protection violation2019SEC$6,877,048
ProEquities, Inc.Dai-ichi Lifefinancial servicesinvestor protection violation2019SEC$1,852,383
Santander Consumer USA Holdings Inc.Banco Santanderfinancial servicesinvestor protection violation2018SEC$1,500,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2018SEC$5,000,000
UBS Financial Services Inc.UBSfinancial servicesanti-money-laundering deficiencies2018FINCEN$5,000,000
UniCredit GroupUniCreditfinancial serviceseconomic sanction violation2019DOJ_CRIMINAL$413,536,632
Standard Chartered BankStandard Charteredfinancial serviceseconomic sanction violation2019DOJ_CRIMINAL$292,210,160
Zurich Life Insurance Company LtdZurich Insurancefinancial servicestax violations2019DOJ_TAX$5,115,000
Western Union Financial Services, Inc.Western Unionfinancial serviceseconomic sanction violation2019OFAC$401,697
UniCredit Bank AGUniCreditfinancial serviceseconomic sanction violation2019OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $553,380,759
UniCredit Bank Austria AGUniCreditfinancial serviceseconomic sanction violation2019OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $20,326,340
UniCredit S.p.A.UniCreditfinancial serviceseconomic sanction violation2019OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $37,316,322
Standard Chartered BankStandard Charteredfinancial serviceseconomic sanction violation2019OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $657,040,033
Deutsche Bank Trust Company AmericasDeutsche Bankfinancial servicesinvestor protection violation2019SEC$500,000
1st Financial Bank U.S.A.1st Financial Bank USAfinancial servicesbanking violation2005WI-AG$43,142
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2008NJ-AG$387,000
Allianz Dresdner Asset Management of America LPAllianzfinancial servicesinvestor protection violation2004NJ-AG$18,000,000
Allianz Life Insurance Company of North AmericaAllianzfinancial servicesinvestor protection violation2007MN-AG$500,000
American Express Centurion BankAmerican Expressfinancial servicestax violations2012CT-AG$14,970
American International GroupAmerican International Groupfinancial servicesinvestor protection violation2010OH-AG$725,000,000
American International Group, Inc.American International Groupfinancial servicestax violations2006MI-AG$5,279,484
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2018NJ-AG$375,000
Banc of America Securities LLCBank of Americafinancial servicesinvestor protection violation2010NJ-AG$1,268,393
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.