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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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Company sort iconCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearAgencyPenalty Amount
Workplace Essentials, Inc. tax violations2016CT-AG$6,116
Word Professional Institute investor protection violation2011MD-SEC$30,000
Woodstock Securities, Ltd. investor protection violation2001WA-FIN$6,000
Woodstock Financial Group Inc. investor protection violation2019MT-FIN$10,000
Woods Hole Group, Inc. tax violations2014CT-AG$8,513
Woodlands Securities Corporation investor protection violation2001TX-SEC$5,000
Woodland Resources LLC et al. investor protection violation2020TX-SEC$20,000
Woodforest National BankWoodforest National Bankfinancial servicesbanking violation2010OCC$33,000,000
Woodbury Financial Services, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2009SEC$65,000
Woodbury Financial Services, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2019SEC$1,171,028
Woodbury Financial Services, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2009MO-SEC$6,000
Woodbury Financial Services, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2023SEC$100,000
Woodbury Financial Services Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2004TX-SEC$12,500
Woodbridge Structured Funding LLC investor protection violation2017PA-BKG$30,000
Woodbridge Group of Companies LLC investor protection violation2019SEC$892,000
Wood Pro Installers, Inc. tax violations2015CT-AG$8,198
WOOD & HUSTON BANK banking violation2010FDIC$13,090
Women of Substance LLC investor protection violation2022PA-BKG$5,000
Womack Investment Advisers, Inc. investor protection violation2022SEC$677,955
Womack Investment Advisers, Inc. investor protection violation2023OK-DCC$200,000
Womack Investment Advisers, Inc. investor protection violation2023OK-SEC$200,000
Wolverine Trading LLC and Wolverine Asset Management LLC investor protection violation2015SEC$1,153,303
Wolff Asset Management, LLC investor protection violation2023PA-BKG$5,000
Wolfepack Transportation, Inc. aka Wolfpack Transportation, Inc. investor protection violation2009AZ-CC$448,043
Wolfe & Hurst Bond Brokers, Inc investor protection violation2009SEC$25,000
Wolf River Community Bank banking violation2012FDIC$9,095
WOLF RIVER COMMUNITY BANK banking violation2012FDIC$5,500
Wolf Creek Exploration, Ltd. investor protection violation2004VA-SEC$45,000
Wohl Capital Investment Group, LLC investor protection violation2017AZ-CC$37,918
WOGE/WOG Ellison Well #1 Joint Venture investor protection violation2008WA-FIN$5,000
WMF Management, LLC et al. investor protection violation2018AZ-CC$3,732,894
WMA Securities, Inc. investor protection violation2000FINRA$125,000
Wm Smith & Co. investor protection violation2017SEC$50,000
WM Financial Services, Inc. investor protection violation2003FL-OFR$40,000
WM Financial Services, Inc. investor protection violation2004FINRA$350,000
WL Ross & Co. LLCInvescofinancial servicesinvestor protection violation2016SEC$2,300,000
Witter & Westlake Investments, Inc. investor protection violation2021KY-FIN$6,750
WithumSmith+Brown, PC accounting fraud or deficiencies2024PCAOB$2,000,000
Wisteria Global, Inc. investor protection violation2015SEC$1,138,935
Wise Enterprises, LLC and Wise Lending, LLC investor protection violation2010ID-SEC$2,443,637
Wisdom, Inc. investor protection violation2008MS-SEC$314,500
Wisconsin River Bank banking violation2020FDIC$18,500
Wisconsin Retirement & Insurance Advisors, LLC investor protection violation2019WI-FIN$72,651
Wisconsin Community Bank banking violation2012FDIC$15,000
Wireline, Inc. investor protection violation2021SEC$650,000
Wireless Worldwide Connections, LLC, IX investor protection violation2006MN-FIN$5,130
Wipe New, LLC tax violations2014CT-AG$6,000
Wintrust Financial CorporationWintrust Financial Corp.financial servicesbanking violation2019FED$1,012,500
Winthrop Investment Management Co. investor protection violation2020VT-FIN$11,250
Winter, Kloman, Moter & Repp, S.C. investor protection violation2018SEC$33,848
Winter Equipment Company, Inc. tax violations2013CT-AG$15,269
Winston Reed Investments LLC investor protection violation2020SEC$255,850
Winslow and Evans & Crocker, Inc. investor protection violation2021SEC$1,851,787
Winning Mortgages, LLC investor protection violation2007MD-SEC$20,000
WINGS TO GO, INC. investor protection violation2018VA-SEC$7,500
Windy Inc. investor protection violation2023SEC$89,979
Windward Partners LLC investor protection violation2007TX-SEC$10,000
Windsor Street Capital, LP investor protection violation2018NH-BSR$5,000
Windsor Street Capital, L.P. fka Meyers Associates investor protection violation2017SEC$200,000
Windsor Street Capital, L.P. fka Meyers Associates investor protection violation2017SEC$10,000
Windsor Jones, LLC investor protection violation2022IA-INS$2,398,373
Windsor Capital Advisors, Inc. investor protection violation2001FINRA$20,000
Windsor Asset Management investor protection violation2004MD-SEC$48,919
Window World, Inc. investor protection violation2013IN-SEC$9,000
WINDOW WORLD, INC. investor protection violation2012VA-SEC$8,000
Wilson-Davis & Company, Inc. investor protection violation2017SEC$310,713
Wilson-Davis & Co., Inc. investor protection violation2019SEC$300,000
Wilson Tool International, Inc. economic sanction violation2011OFAC$15,000
Wilson Insight investor protection violation2023PA-BKG$45,000
Wilson Advisory Group investor protection violation2013CO-SEC$56,000
Wilshire-Pennington Group Inc. investor protection violation2018OK-SEC$25,000
Wilshire-Pennington Group Inc. investor protection violation2019OK-SEC$5,000
Wilmington Trust Investment Management, LLCM&T Bankfinancial servicesinvestor protection violation2023SEC$1,327,147
Wilmington Trust CompanyM&T Bankfinancial servicesinvestor protection violation2004SEC$125,000
Wilmington Trust CompanyM&T Bankfinancial servicesinvestor protection violation2007SEC$100,000
Wilmington Trust Co.M&T Bankfinancial servicesinvestor protection violation2005DE-SEC$50,000
Wilmington TrustM&T Bankfinancial servicesaccounting fraud or deficiencies2014SEC$18,500,000
Wilmington Savings Fund Society, FSB investor protection violation2016SEC$375,000
Wilmington Savings Fund Society, Federal Savings BankWSFS Financial Corp.financial servicesbanking violation2019OCC$85,265
Wilmington Capital Securities, LLC investor protection violation2020CT-BKG$11,275
Wilmington Capital Securities, LLC investor protection violation2020CT-SEC$11,275
Willis Lease Finance Corporation investor protection violation2014SEC$150,000
Willingham Asset Management Inc. investor protection violation2003TX-SEC$5,000
Williamson Poultry Farms, Inc. investor protection violation2002MS-SEC$5,000
Williams Wealth Management, LLC investor protection violation2021NH-BSR$5,000
Williams Advisory Group, LLC investor protection violation2018CFTC$19,450,034
William T. McCallum CPA, P.C. accounting fraud or deficiencies2017PCAOB$5,000
William Somerville, Inc. tax violations2012CT-AG$7,000
William R. Evans Chartered investor protection violation2002AZ-CC$5,000
William Grant & Sons, Inc.William Grant & Sons Ltd.beveragestax violations2024ATTTB$303,815
William Gallagher Associates Insurance Brokers, Inc. tax violations2015CT-AG$20,130
William Blair & Company, L.L.C. investor protection violation2017SEC$4,500,000
William Blair & Company LLC investor protection violation2023SEC$10,000,000
William and Alice Mortensen Foundation, Inc. tax violations2014CT-AG$5,415
Willbros USA, Inc.Primoris Servicesconstruction and engineeringeconomic sanction violation2009OFAC$6,600
Willamette Valley Bank banking violation2019FDIC$275,000
Willamette Valley Bank banking violation2022FDIC$425,000
Wilkay Corp. tax violations2002CA-LACDA$59,400
Wildlife Management Institute, Inc. tax violations2016CT-AG$6,600
WiFiMed Holdings Company, Inc. investor protection violation2008AR-SEC$10,000
Wi-Lan Technologies Inc. tax violations2015CT-AG$12,255
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.