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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 TypeYearAgencyPenalty Amount sort icon
Back to Green Mining, LLC investor protection violation2023SEC$3,442,175
Swedbank Latvia AS economic sanction violation2023OFAC$3,430,900
Raymond James & Associates Inc.Raymond James Financialfinancial servicesinvestor protection violation2000FINRA$3,410,000
Platinum Equity Advisors, LLCPlatinum Equityprivate equity (including portfolio companies)investor protection violation2017SEC$3,402,132
Lansing Trade Group, LLCAndersons Inc.wholesalersinvestor protection violation2018CFTC$3,400,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2008NH-BSR$3,400,000
Banca dello Stato del Cantone Ticino tax violations2015DOJ_TAX$3,393,000
Scottsdale Financial Funding Group, LLC investor protection violation2003AZ-CC$3,391,570
Ameritas Investment Corp.Ameritas Mutual Holding Companyfinancial servicesinvestor protection violation2019SEC$3,389,174
Global Fixed Income, LLC, et al. investor protection violation2015SEC$3,385,989
The Lighthouse Events, LLC investor protection violation2020SEC$3,381,686
Leland Energy et al. investor protection violation2018AZ-CC$3,372,537
Blue Bit Banc et al. investor protection violation2019CFTC$3,346,405
Anson Advisors Inc investor protection violation2023SEC$3,330,394
Valiant Bank AG tax violations2015DOJ_TAX$3,304,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2009NJ-AG$3,300,932
Morgan Stanley Investment ManagementMorgan Stanleyfinancial servicesinvestor protection violation2011SEC$3,300,000
The Bancorp Bank banking violation2018FDIC$3,300,000
BDL Manager LLC investor protection violation2014SEC$3,297,740
Bank CIC tax violations2015DOJ_TAX$3,281,000
Belair Payroll Services Inc. anti-money-laundering deficiencies2013DOJ_CRIMINAL$3,267,252
Douglas A. Richardson, CPA, LLC investor protection violation2019MO-SEC$3,252,200
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2016FINRA$3,250,000
Jamieson Capital Financial LLC investor protection violation2022ND-SEC$3,250,000
Level Global Investors, L.P. investor protection violation2011SEC$3,244,171
Impact, Inc. et al. investor protection violation2011ID-SEC$3,238,505
Corix Bioscience, Inc. et al. investor protection violation2019AZ-CC$3,235,192
Corix Bioscience Inc. investor protection violation2021AZ-CC$3,235,192
Deluxe Designs International, LLC and Deluxe Live Productions investor protection violation2009AZ-CC$3,225,744
Bank Coop AG tax violations2015DOJ_TAX$3,223,000
Everest Capital LLC investor protection violation2020SEC$3,208,226
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2011NJ-AG$3,200,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2020SEC$3,200,000
Decon Laboratories, Inc. tax violations2021ATTTB$3,200,000
CFO-5 LLC investor protection violation2010SEC$3,197,222
International Equity Advisors, LLC investor protection violation2005SEC$3,190,000
International Capital Group, LLC investor protection violation2015SEC$3,170,054
Cash 2 U, LLC and Dos Ninas, LLC and Par 3 Management, LLC investor protection violation2010AZ-CC$3,143,755
Trademark Capital Management, LLC and Blue Investments, LLC investor protection violation2009AZ-CC$3,100,880
Hawaiian Gardens Casino anti-money-laundering deficiencies2019CA-AG$3,100,000
Voya Financial Advisors, Inc.Voya Financialfinancial servicesinvestor protection violation2017SEC$3,095,953
Maersk Line, LimitedMaerskfreight and logisticseconomic sanction violation2010OFAC$3,088,400
Titan Capital Real Estate Fund I, LLC investor protection violation2019AZ-CC$3,076,315
Vero Capital Management LLC accounting fraud or deficiencies2015SEC$3,068,706
Arizona Investment Advisers, Inc. investor protection violation2001AZ-CC$3,050,000
Cadaret and Grant & Co., Inc. investor protection violation2017SEC$3,048,000
Hong Kong Entertainment (Overseas) Investments, LTD. dba Tinian Dynasty Hotel & Casino anti-money-laundering deficiencies2015USAO$3,036,969
Banca Credinvest SA tax violations2015DOJ_TAX$3,022,000
The Princeton Partnership, LLC investor protection violation2015MO-SEC$3,016,710
Deutsche Bank SecuritiesDeutsche Bankfinancial servicesaccounting fraud or deficiencies2014CFTC$3,000,000
Vitesse Semiconductor Corp.Microchip Technology Inc.electrical and electronic equipmentaccounting fraud or deficiencies2010SEC$3,000,000
WestLB AG banking violation2003FED$3,000,000
Take-Two Interactive Software, Inc.Take-Two Interactive Software Inc.entertainmentaccounting fraud or deficiencies2009SEC$3,000,000
Analog Devices, Inc.Analog Devices Inc.electrical and electronic equipmentaccounting fraud or deficiencies2008SEC$3,000,000
Dynegy Inc.Vistra Energyutilities and power generationaccounting fraud or deficiencies2002SEC$3,000,000
Nomura Asset Acceptance Corporation and Nomura Home Equity Loan, Inc.Nomurafinancial servicestoxic securities abuses2016NCUA$3,000,000
MagnaChip Semiconductor Corporation accounting fraud or deficiencies2017SEC$3,000,000
Bank of New York Mellon CorporationBank of New York Mellonfinancial servicesbanking violation2017FED$3,000,000
First National Bank of OmahaFirst National of Nebraskafinancial servicesbanking violation2016OCC$3,000,000
Intrade The Prediction Market Limited (Intrade) and Trade Exchange Network Limited investor protection violation2018CFTC$3,000,000
TCF National BankHuntington Bancsharesfinancial servicesbanking violation2018OCC$3,000,000
Agria Corporation accounting fraud or deficiencies2018SEC$3,000,000
Prosper Funding LLC accounting fraud or deficiencies2019SEC$3,000,000
New York Racing Association Inc. tax violations2005USAO$3,000,000
ING Life Insurance and Annuity CompanyVoya Financialfinancial servicesinvestor protection violation2006NH-BSR$3,000,000
Nuveen Investments, LLCTIAAfinancial servicesinvestor protection violation2011FINRA$3,000,000
Cadence Bank, National AssociationCadence Bankfinancial servicesbanking violation2021OCC$3,000,000
Warrior Trading investor protection violation2022FTC$3,000,000
Blackbaud Inc.Blackbaudinformation technologyinvestor protection violation2023SEC$3,000,000
Marcum LLP accounting fraud or deficiencies2023PCAOB$3,000,000
GlennCap LLC investor protection violation2023SEC$3,000,000
PricewaterhouseCoopers Auditing Company SAPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2023PCAOB$3,000,000
PricewaterhouseCoopers Zhong Tian LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2023PCAOB$3,000,000
Out of the Blue Processors, LLC dba Out of the Blue Processors II, LLC investor protection violation2015AZ-CC$2,995,500
Microsoft CorporationMicrosoftinformation technologyeconomic sanction violation2023OFAC$2,980,265
MKJJ Consulting LLC investor protection violation2017SEC$2,973,916
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2019SEC$2,971,462
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2005FINRA$2,970,000
Citigroup Global MarketsCitigroupfinancial servicesinvestor protection violation2017SEC$2,963,735
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2017SEC$2,963,735
Renn Capital Group, Inc. investor protection violation2005SEC$2,961,362
Macquarie Capital (USA) Inc.Macquariefinancial servicesinvestor protection violation2015FINRA$2,950,000
Regions BankRegions Financialfinancial servicesbanking violation2023FED$2,950,000
Intesa Sanpaolo S.p.A.Intesa Sanpaolofinancial serviceseconomic sanction violation2013OFAC$2,949,030
Yucaipa Master Manager, LLC investor protection violation2018SEC$2,934,312
CAA General Partnership investor protection violation2010AZ-CC$2,929,858
Ernst & Young LLPErnst & Youngbusiness servicesinvestor protection violation2008SEC$2,918,987
Pursol Solar System, Inc. investor protection violation2012CA-DFPI$2,905,201
Goldman, Sachs & Co.Goldman Sachsfinancial servicestoxic securities abuses2016VA-AG$2,900,000
Stifel Nicolaus & Company, Inc.Stifel Financialfinancial servicesinvestor protection violation2015FINRA$2,900,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2023SEC$2,900,000
Equitystar Capital Management, LLC investor protection violation2018SEC$2,890,518
Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLCOppenheimer Holdingsfinancial servicesinvestor protection violation2013SEC$2,886,677
Fiduciary Asset Management LLC investor protection violation2012SEC$2,859,858
Tradewale LLC and Tradewale Managed Fund investor protection violation2023CFTC$2,853,810
Jorge Romero Investments, Inc. and Maximum Return Investments, Inc. investor protection violation2011CA-DFPI$2,840,868
Decolar.com, Inc. economic sanction violation2014OFAC$2,809,800
Hawaiian Gardens Casino, Inc. d/b/a The Gardens Casino anti-money-laundering deficiencies2016FINCEN$2,800,000
Oppenheimer & Company, Inc.Oppenheimer Holdingsfinancial servicesanti-money-laundering deficiencies2005FINCEN$2,800,000
Peoples Bank banking violation2017FED$2,800,000
Maxwell Technologies, Inc.Tesla Inc.motor vehiclesaccounting fraud or deficiencies2018SEC$2,800,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.