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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 Industry sort iconPrimary Offense TypeYearAgencyPenalty Amount
Lordstown Motors Corp.Lordstown Motorsmotor vehiclesinvestor protection violation2024SEC$25,500,000
Volkswagen AGVolkswagenmotor vehiclesinvestor protection violation2024SEC$48,750,000
Great Lakes Dredge & Dock CorporationGreat Lakes Dredge & Dock Corporationmiscellaneous servicesaccounting fraud or deficiencies2014SEC$150,000
Medifast Inc.Medifast Inc.miscellaneous servicesaccounting fraud or deficiencies2013SEC$200,000
Huron Consulting Group Inc.Huron Consulting Groupmiscellaneous servicesaccounting fraud or deficiencies2012SEC$1,000,000
Satyam Computer Services LimitedTech Mahindramiscellaneous servicesaccounting fraud or deficiencies2011SEC$10,000,000
Priceline.com, IncorporatedBooking Holdingsmiscellaneous serviceseconomic sanction violation2008OFAC$12,250
Travelocity.comExpedia Groupmiscellaneous serviceseconomic sanction violation2007OFAC$182,750
Xerox (UK) LimitedXeroxmiscellaneous serviceseconomic sanction violation2004OFAC$5,207
University of California at Los AngelesUniversity of Californiamiscellaneous serviceseconomic sanction violation2003OFAC$5,750
United Rentals, IncUnited Rentalsmiscellaneous servicesaccounting fraud or deficiencies2008SEC$14,000,000
McCann-Erickson WorldwideInterpublicmiscellaneous servicesaccounting fraud or deficiencies2008SEC$12,000,000
TALX CorporationEquifaxmiscellaneous servicesaccounting fraud or deficiencies2005SEC$2,500,000
Xerox CorporationXeroxmiscellaneous servicesaccounting fraud or deficiencies2002SEC$10,000,000
NeuStar IncTransUnionmiscellaneous servicesinvestor protection violation2016SEC$180,000
Barrett Business Services Inc.Barrett Business Servicesmiscellaneous servicesaccounting fraud or deficiencies2018SEC$1,500,000
Hertz Global Holdings, Inc.Hertzmiscellaneous servicesinvestor protection violation2018SEC$16,000,000
ExpediaExpedia Groupmiscellaneous serviceseconomic sanction violation2019OFAC$325,406
Ascend Management Innovations LLCMaximusmiscellaneous servicestax violations2016CT-AG$22,800
Expedia, Inc.Expedia Groupmiscellaneous servicestax violations2015HI-AG$13,275,000
Grand Canyon Education, Inc.Grand Canyon Education Inc.miscellaneous servicestax violations2014CT-AG$24,345
Mar Cor Purification, Inc.Xylemmiscellaneous servicestax violations2015CT-AG$14,543
Orbitz LLCExpedia Groupmiscellaneous servicestax violations2015HI-AG$13,275,000
Priceline.Com, LLPBooking Holdingsmiscellaneous servicestax violations2015HI-AG$13,275,000
Travelocity.Com LLPExpedia Groupmiscellaneous servicestax violations2015HI-AG$13,275,000
Morningstar Credit Ratings, LLCMorningstar Inc.miscellaneous servicesinvestor protection violation2020SEC$3,500,000
CRITTER CONTROL INC.Rollins Inc.miscellaneous servicesinvestor protection violation2018VA-SEC$23,500
Airbnb Payments, Inc.Airbnb Inc.miscellaneous serviceseconomic sanction violation2022OFAC$91,172
Morningstar Credit Ratings, LLCMorningstar Inc.miscellaneous servicesinvestor protection violation2022SEC$1,150,000
Rollins Inc.Rollins Inc.miscellaneous servicesaccounting fraud or deficiencies2022SEC$8,000,000
Brink's CompanyBrink'smiscellaneous servicesinvestor protection violation2022SEC$400,000
Evoqua Water Technologies Corp.Xylemmiscellaneous servicesaccounting fraud or deficiencies2023SEC$8,500,000
Maximus, Inc.Maximusmiscellaneous servicesinvestor protection violation2023SEC$500,000
Lyft Inc.Lyft Inc.miscellaneous servicesinvestor protection violation2023SEC$10,000,000
Polycom Inc.Plantronicsmiscellaneous manufacturingaccounting fraud or deficiencies2015SEC$750,000
Diebold, Inc.Diebold Nixdorfmiscellaneous manufacturingaccounting fraud or deficiencies2010SEC$25,000,000
Myers Industries, Inc.Myers Industriesmiscellaneous manufacturingeconomic sanction violation2008OFAC$16,250
Varian, Inc.Agilent Technologiesmiscellaneous manufacturingeconomic sanction violation2007OFAC$114,958
International Game TechnologyInternational Game Technologymiscellaneous manufacturingaccounting fraud or deficiencies2016SEC$500,000
Stanley Black & Decker, Inc.Stanley Black & Deckermiscellaneous manufacturingeconomic sanction violation2019OFAC$1,869,144
Unifi Manufacturing, Inc.Unifi Inc.miscellaneous manufacturingtax violations2016CT-AG$27,075
Teledyne Technologies, Inc.Teledyne Technologiesmiscellaneous manufacturingeconomic sanction violation2012OFAC$30,385
Garlock Sealing Tech, LLCEnPro Industriesmiscellaneous manufacturingeconomic sanction violation2010OFAC$16,875
3M Imtec Corporation3M Companymiscellaneous manufacturingeconomic sanction violation2010OFAC$125,000
Smith & Wesson Sales CompanySmith & Wessonmiscellaneous manufacturingtax violations2021ATTTB$1,729,000
Mattel Inc.Mattelmiscellaneous manufacturingaccounting fraud or deficiencies2022SEC$3,500,000
3M Company3M Companymiscellaneous manufacturingeconomic sanction violation2023OFAC$9,618,477
Oxbow Carbon and Minerals LLCOxbow Corporationmiscellaneous energy products and systemseconomic sanction violation2009OFAC$276,250
Advanced Emissions Solutions, Inc.Advanced Emissions Solutionsmiscellaneous energy products and systemsinvestor protection violation2017SEC$500,000
Bombardier Services Corp.Alstommiscellaneous energy products and systemstax violations2013CT-AG$6,585
Eagle Alcohol Company LLCAlto Ingredientsmiscellaneous energy products and systemstax violations2020ATTTB$7,500
Holtec InternationalHoltec Internationalmiscellaneous energy products and systemstax violations2024NJ-AG$5,000,000
Newmont CorporationNewmont Corporationmining and mineralseconomic sanction violation2022OFAC$141,442
Compass Minerals International Inc.Compass Minerals Internationalmining and mineralsinvestor protection violation2022SEC$12,000,000
Vale S.A.Vale S.A.mining and mineralsaccounting fraud or deficiencies2023SEC$55,900,000
Rio Tinto PLCRio Tintomining and mineralsinvestor protection violation2023SEC$28,000,000
Atlas Tube, Inc.Zekelman Industriesmetalseconomic sanction violation2004OFAC$126,500
ArthroCare CorporationSmith & Nephewmedical equipment and suppliesaccounting fraud or deficiencies2014DOJ_CRIMINAL$30,000,000
Alcon Laboratories, IncAlcon Inc.medical equipment and supplieseconomic sanction violation2016OFAC$7,617,150
Zimmer Dental Inc.Zimmer Biometmedical equipment and supplieseconomic sanction violation2007OFAC$82,850
Guidant CorporationBoston Scientific Corp.medical equipment and supplieseconomic sanction violation2007OFAC$277,017
Medtronic MiniMed, IncMedtronicmedical equipment and supplieseconomic sanction violation2004OFAC$12,500
Osiris TherapeuticsSmith & Nephewmedical equipment and suppliesaccounting fraud or deficiencies2017SEC$1,500,000
Dentsply Sirona Inc.Dentsply Sironamedical equipment and supplieseconomic sanction violation2017OFAC$1,220,400
Intuitive Surgical, Inc.Intuitive Surgicalmedical equipment and suppliestax violations2012CT-AG$18,435
Stryker Sustainability Solutions, Inc.Strykermedical equipment and suppliestax violations2013CT-AG$14,995
MiMedx Group Inc.MiMedx Group, Incmedical equipment and suppliesaccounting fraud or deficiencies2019SEC$1,500,000
Dentsply Sirona Inc.Dentsply Sironamedical equipment and suppliesinvestor protection violation2020SEC$1,000,000
Baxter International Inc.Baxter Internationalmedical equipment and suppliesaccounting fraud or deficiencies2022SEC$18,000,000
Cable News Network, Inc.Warner Bros. Discovery Inc.mediaeconomic sanction violation2004OFAC$7,500
Kaplan K12 Learning Services, LLCGraham Holdingsmediatax violations2015CT-AG$5,700
Computer Sciences CorporationDXC Technologyinformation technologyaccounting fraud or deficiencies2015SEC$190,000,000
NIC Inc.Tyler Technologiesinformation technologyaccounting fraud or deficiencies2011SEC$500,000
Fidelity National Information ServicesFidelity National Information Servicesinformation technologyeconomic sanction violation2008OFAC$12,260
International Business MachinesIBM Corp.information technologyaccounting fraud or deficiencies2007SEC$7,000,000
Siebel Systems, Inc.Oracleinformation technologyinvestor protection violation2002SEC$250,000
Jack Henry & Associates, Inc.Jack Henry & Associatesinformation technologyaccounting fraud or deficiencies2016SEC$780,000
Moody's Investors Service, Inc.Moody'sinformation technologyinvestor protection violation2018SEC$1,250,000
Moody's Investors Service, Inc.Moody'sinformation technologyinvestor protection violation2018SEC$15,000,000
Tangoe Inc.Tangoe Inc.information technologyaccounting fraud or deficiencies2018SEC$1,500,000
Bill.com, Inc.Bill.cominformation technologytax violations2014CT-AG$7,110
CareCore National, LLCEviCore Healthcareinformation technologytax violations2014CT-AG$11,160
Facebook Inc.Meta Platforms Inc.information technologyinvestor protection violation2019SEC$100,000,000
Mercury Payment Systems, LLCFidelity National Information Servicesinformation technologytax violations2015CT-AG$7,800
Reveal Imaging Technologies, Inc.Leidosinformation technologytax violations2013CT-AG$10,455
Standard and Poor's Financial Services LLCS&P Globalinformation technologyinvestor protection violation2015MULTI-AG$19,000,000
Bloomberg Tradebook LLCBloomberginformation technologyinvestor protection violation2020SEC$5,000,000
Atos Ltd.Atosinformation technologyinvestor protection violation2017MI-SEC$40,000
SAP SESAPinformation technologyeconomic sanction violation2021DOJ_NATSEC$5,140,000
SAP SESAPinformation technologyeconomic sanction violation2021OFAC$2,132,174
S&P Dow Jones Indices LLCS&P Globalinformation technologyinvestor protection violation2021SEC$9,000,000
Paycom Software, Inc.Paycom Softwareinformation technologyinvestor protection violation2021SEC$250,000
S&P Global, Inc.S&P Globalinformation technologyeconomic sanction violation2022OFAC$78,750
Synchronoss Technologies, Inc.Synchronoss Technologiesinformation technologyinvestor protection violation2022SEC$12,500,000
S&P Global RatingsS&P Globalinformation technologyinvestor protection violation2022SEC$2,500,000
Bloomberg Finance L.P.Bloomberginformation technologyinvestor protection violation2023SEC$5,000,000
Activision Blizzard Inc.Microsoftinformation technologyinvestor protection violation2023SEC$35,000,000
Blackbaud Inc.Blackbaudinformation technologyinvestor protection violation2023SEC$3,000,000
DXC Technology CompanyDXC Technologyinformation technologyaccounting fraud or deficiencies2023SEC$8,000,000
Microsoft CorporationMicrosoftinformation technologyeconomic sanction violation2023OFAC$2,980,265
Microsoft CorporationMicrosoftinformation technologyeconomic sanction violation2023BIS$347,631
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.