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Violation Tracker Summary for Offense Group

Offense Group: financial offenses
Penalty Total since 2000: $286,391,284,995
Number of Penalty Records: 10,968
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$26,659,159,167117
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
Zurcher Kantonalbank tax violations2018USAO$98,500,000
LLC Wholesale Supply LLC money laundering2022USAO$98,000,000
AEGON USA Investment Management LLC et al.Aegonfinancial servicesinvestor protection violation2018SEC$97,600,000
Banamex USACitigroupfinancial servicesanti-money-laundering deficiencies2017DOJ_CRIMINAL$97,440,000
Barclays CapitalBarclaysfinancial servicesinvestor protection violation2017SEC$97,037,659
Western Union Financial Services, Inc.Western Unionfinancial servicesanti-money-laundering deficiencies2010MULTI-AG$94,000,000
Freepoint Commodities LLC investor protection violation2023CFTC$91,000,000
Credit Agricole S.A.Credit Agricolefinancial serviceseconomic sanction violation2015FED$90,300,000
Credit Suisse AGUBSfinancial servicesaccounting fraud or deficiencies2016SEC$90,000,000
State Street Bank and Trust CompanyState Street Corp.financial servicesinvestor protection violation2019SEC$88,780,000
JPMorgan Chase BankJPMorgan Chasefinancial serviceseconomic sanction violation2011OFAC$88,300,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2004SEC$87,500,000
Bank J. Safra Sarasin AG tax violations2015DOJ_TAX$85,809,000
USAA Federal Savings BankUSAAfinancial servicesbanking violation2020OCC$85,000,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2021CFTC$84,320,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2024SEC$83,000,000
Wells Fargo Bank N.A.Wells Fargofinancial servicesbankruptcy professional violation2015DOJ_UTP$81,600,000
Monsanto CompanyBayerchemicalsaccounting fraud or deficiencies2016SEC$80,000,000
Bear, Stearns & Co. Inc.JPMorgan Chasefinancial servicesinvestor protection violation2003SEC$80,000,000
J.P. Morgan Securities Inc.JPMorgan Chasefinancial servicesinvestor protection violation2003SEC$80,000,000
Lehman Brothers Inc. investor protection violation2003SEC$80,000,000
UBS Warburg LLCUBSfinancial servicesinvestor protection violation2003SEC$80,000,000
Merrill Lynch & Co. Inc.Bank of Americafinancial servicesaccounting fraud or deficiencies2003SEC$80,000,000
Bear Stearns & Co. LLCJPMorgan Chasefinancial servicesinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $80,000,000
Deutsche BankDeutsche Bankfinancial servicesinvestor protection violation2002MULTI-AG$80,000,000
J.P. Morgan Chase & Co.JPMorgan Chasefinancial servicesinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $80,000,000
Lehman Brothers Inc. investor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $80,000,000
UBS Warburg LLCUBSfinancial servicesinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $80,000,000
Capital One Bank (USA), National AssociationCapital One Financialfinancial servicesbanking violation2020OCC$80,000,000
USAA Federal Savings BankUSAAfinancial servicesanti-money-laundering deficiencies2022FINCEN$80,000,000
Hudson Advisors L.P. and Lone Star Global Acquisitions Ltd. investor protection violation2022SEC$79,700,000
Bank Julius Baer & Co. Ltd.Julius Baer Groupfinancial servicesmoney laundering2021DOJ_CRIMINAL$79,000,000
Coutts & Co LtdNatWest Group PLCfinancial servicestax violations2015DOJ_TAX$78,484,000
Swiss Life Holding AG et al.Swiss Life Groupfinancial servicestax violations2021DOJ_TAX$77,374,337
OppenheimerFunds, Inc.Invescofinancial servicesinvestor protection violation2009IL-AG$77,230,000
Jenkens & Gilchrist tax violations2007IRS$76,000,000
Greenetrack Inc. tax violations2022AL-AG$76,000,000
State Street Bank and Trust Co.State Street Corp.financial servicesinvestor protection violation2016MA-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $75,500,000
Hong Kong Entertainment (Overseas) Investments, Ltd. d/b/a Tinian Dynasty Hotel & Casino anti-money-laundering deficiencies2015FINCEN$75,000,000
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2004SEC$75,000,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesanti-money-laundering deficiencies2018OCC$75,000,000
Credit Suisse First Boston LLCUBSfinancial servicesinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $75,000,000
BNP ParibasBNP Paribasfinancial servicesinvestor protection violation2023CFTC$75,000,000
Societe GeneraleSociete Generalefinancial servicesinvestor protection violation2023CFTC$75,000,000
Wells FargoWells Fargofinancial servicesinvestor protection violation2023CFTC$75,000,000
Wegelin & Co tax violations2013DOJ_TAX$74,000,000
Tyco International Ltd.Johnson Controlsautomotive partsaccounting fraud or deficiencies2008NJ-AG$73,250,000
Wells Fargo Bank, N.A.Wells Fargofinancial servicesbanking violation2021USAO$72,600,000
General Reinsurance CorporationBerkshire Hathawaydiversifiedinvestor protection violation2009OH-AG$72,000,000
Citigroup Inc.Citigroupfinancial servicesbanking violation2004FED$70,000,000
Citibank N.A.Citigroupfinancial servicesanti-money-laundering deficiencies2018OCC$70,000,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesanti-money-laundering deficiencies2018FINCEN$70,000,000
Robinhood Financial LLCRobinhood Marketsfinancial servicesinvestor protection violation2021FINRA$69,600,000
Luca International Group, LLC investor protection violation2016SEC$68,300,000
American Skandia Investment Services, Inc.Prudential Financialfinancial servicesinvestor protection violation2009SEC$68,000,000
St. Paul Travelers Companies Inc.Travelersfinancial servicesinvestor protection violation2005NM-AG$67,500,000
Tower Research Capital LLC investor protection violation2019CFTC$67,493,849
OppenheimerFundsInvescofinancial servicesinvestor protection violation2010NM-AG$67,300,000
AIC Inc. investor protection violation2014SEC$66,760,521
Knight Securities, L.P.Virtu Financialfinancial servicesinvestor protection violation2004SEC$66,500,000
SunTrust Mortgage, Inc.Truist Financialfinancial servicestoxic securities abuses2013FHFA$65,000,000
ServiceLink Holdings, LLCFidelity National Financialfinancial servicesbanking violation2017FED$65,000,000
Wells Fargo & CompanyWells Fargofinancial servicesinvestor protection violation2018NY-AG$65,000,000
Robinhood Financial LLCRobinhood Marketsfinancial servicesinvestor protection violation2020SEC$65,000,000
City National BankRoyal Bank of Canadafinancial servicesbanking violation2024OCC$65,000,000
Kraft Heinz CompanyKraft Heinzfood productsaccounting fraud or deficiencies2021SEC$62,000,000
JPMorgan Chase & Co.JPMorgan Chasefinancial servicesbanking violation2016FED$61,900,000
Basler Kantonalbank tax violations2018DOJ_TAX$60,400,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasefinancial servicesbanking violation2013OCC$60,000,000
Western UnionWestern Unionfinancial servicesanti-money-laundering deficiencies2018NY-DFS$60,000,000
Morgan Stanley Bank, N.A.Morgan Stanleyfinancial servicesbanking violation2020OCC$60,000,000
BNP Paribas (Suisse) SABNP Paribasfinancial servicestax violations2015DOJ_TAX$59,783,000
Deutsche Bank AGDeutsche Bankfinancial serviceseconomic sanction violation2015FED$58,000,000
Vale S.A.Vale S.A.mining and mineralsaccounting fraud or deficiencies2023SEC$55,900,000
Focus Media Holding Limited investor protection violation2015SEC$55,600,000
American Express Bank InternationalAmerican Expressfinancial servicesanti-money-laundering deficiencies2007DOJ_CRIMINAL$55,000,000
Hartford Financial Services Group, Inc.Hartford Financial Servicesfinancial servicesinvestor protection violation2006SEC$55,000,000
Osiris Fund Limited Partnership and Osiris Partners, LLC investor protection violation2014NJ-BOS$54,600,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2016SEC$54,300,000
Bank of New York MellonBank of New York Mellonfinancial servicesinvestor protection violation2018SEC$54,000,000
Societe Generale S.A.Societe Generalefinancial serviceseconomic sanction violation2018OFAC$53,966,916
Oasis International Group et al. investor protection violation2023CFTC$53,270,336
WachoviaWells Fargofinancial servicestoxic securities abuses2015NCUA$53,000,000
AR Capital LLC investor protection violation2019SEC$53,000,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesbanking violation2014OCC$51,900,000
America Modern Green Senior (Houston) LLC, America Modern Green Community (Houston) LLC, and America Modern Green Residential (Houston) LLC investor protection violation2018SEC$51,400,000
Golden California Regional Center, LLC investor protection violation2019SEC$50,295,232
THE ROYAL BANK OF SCOTLAND GROUP PLCNatWest Group PLCfinancial servicesbanking violation2013FED$50,000,000
UBS SecuritiesUBSfinancial servicestoxic securities abuses2013SEC$50,000,000
BDO USA, LLPBDO Internationalbusiness servicestax violations2012USAO$50,000,000
General Electric CompanyGeneral Electricdiversifiedaccounting fraud or deficiencies2009SEC$50,000,000
Federal Home Loan Mortgage Corporation (Freddie Mac)Freddie Mac (Federal Home Loan Mortgage Corporation)financial servicesinvestor protection violation2007SEC$50,000,000
MBIA Inc.MBIAfinancial servicesaccounting fraud or deficiencies2007SEC$50,000,000
Tyco International Ltd.Johnson Controlsautomotive partsaccounting fraud or deficiencies2006SEC$50,000,000
McAfee, Inc.Advent Internationalprivate equity (including portfolio companies)accounting fraud or deficiencies2006SEC$50,000,000
Deloitte & Touche LLPDeloittebusiness servicesaccounting fraud or deficiencies2005SEC$50,000,000
Vivendi Universal, S.A.Comcasttelecommunicationsaccounting fraud or deficiencies2003SEC$50,000,000
Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2003SEC$50,000,000
Wachovia Bank N.A.Wells Fargofinancial servicesanti-money-laundering deficiencies2010USAO$50,000,000
Rabobank, National AssociationRabobankfinancial servicesanti-money-laundering deficiencies2018OCC$50,000,000
Waddell & Reed, Inc.Macquariefinancial servicesinvestor protection violation2006SEC$50,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.