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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
Waddell & Reed, Inc.Macquariefinancial servicesinvestor protection violation2006SEC$50,000,000
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2019SEC$50,000,000
Beazer Homes USA Inc.Beazer Homes USAconstruction and engineeringaccounting fraud or deficiencies2009USAO(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000
Royal Bank of ScotlandNatWest Group PLCfinancial serviceseconomic sanction violation2013NY-DFS$50,000,000
Bank of AmericaBank of Americafinancial servicesinvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000
HDR Global Trading Limited et al. investor protection violation2021CFTC$50,000,000
BlockFi Lending LLC investor protection violation2022MULTI-AG$50,000,000
BlockFi Lending LLC investor protection violation2022SEC$50,000,000
Grand River Enterprises Six Nations, Ltd. and Native Wholesale Supply Company, Inc. tax violations2022NY-AG$50,000,000
Jefferies LLCJefferies Financial Groupdiversifiedinvestor protection violation2022SEC$50,000,000
Nomura Securities International, Inc.Nomurafinancial servicesinvestor protection violation2022SEC$50,000,000
HSZH Verwaltungs AG tax violations2016DOJ_TAX$49,000,000
Las Vegas Sands Corp.Las Vegas Sands Corp.entertainmentanti-money-laundering deficiencies2013USAO$47,400,300
Regions BankRegions Financialfinancial servicesbanking violation2014FED$46,000,000
Edmond de Rothschild (Suisse) SA and Edmond de Rothschild (Lugano) SA tax violations2015DOJ_TAX$45,245,000
ConAgra Foods, Inc.ConAgra Brandsfood productsaccounting fraud or deficiencies2007SEC$45,000,000
Merrill Lynch & Co.Bank of Americafinancial servicesinvestor protection violation2013NJ-AG$45,000,000
Value Line Inc. investor protection violation2009SEC$43,705,765
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinafinancial servicesinvestor protection violation2019SEC$42,700,000
Super Absorbent Co., Synchronized Funding, LLC investor protection violation2010CA-DFPI$42,650,000
Hon Hai Precision Industry Company Ltd. And E-Star Inc.Foxconn Technology Group (Hon Hai Precision Industry Company)electrical and electronic equipmenttax violations2007USAO$42,000,000
Merrill Lynch, Pierce, Fenner & SmithBank of Americafinancial servicesinvestor protection violation2018SEC$42,000,000
Bank of America Merrill LynchBank of Americafinancial servicesinvestor protection violation2018NY-AG$42,000,000
Banque Cantonale Vaudoise tax violations2015DOJ_TAX$41,677,000
Tether Holdings Limited et al. investor protection violation2021CFTC$41,000,000
Tycoon Trading, LLC et al. investor protection violation2023AK-DBS$40,684,525
Putnam Investment Management, LLCFranklin Resourcesfinancial servicesinvestor protection violation2005SEC$40,000,001
Ernst & YoungErnst & Youngbusiness servicesbanking violation2004FDIC$40,000,000
ABN AMRO Bank, N.V.ABN AMROfinancial serviceseconomic sanction violation2006OFAC$40,000,000
Harbert Management CorporationHarbert Managementdiversifiedtax violations2017NY-AG$40,000,000
Fiat Chrysler Automobiles N.V.Stellantismotor vehiclesaccounting fraud or deficiencies2019SEC$40,000,000
G.B. Enterprises Inc. tax violations2004USAO$40,000,000
Mashreqbank PSC anti-money-laundering deficiencies2018NY-DFS$40,000,000
First Eagle Investment Management and FEF Distributors investor protection violation2015SEC$39,748,260
Sidley Austin LLPSidley Austinbusiness servicestax violations2007IRS$39,400,000
Blackstone GroupBlackstoneprivate equity (including portfolio companies)investor protection violation2015SEC$39,000,000
Akazoo S.A. investor protection violation2021SEC$38,800,000
Protege Financial & Insurance Service, Inc. et al. investor protection violation2014CA-DFPI$38,200,000
The Bank of New YorkBank of New York Mellonfinancial servicesanti-money-laundering deficiencies2005USAO$38,000,000
Monex Deposit Company et al. investor protection violation2022CFTC$38,000,000
BMO Harris Financial Advisors Inc. and BMO Asset Management Corp.Bank of Montrealfinancial servicesinvestor protection violation2019SEC$37,980,000
Navellier & Associates, Inc. investor protection violation2020SEC$37,478,190
Bio Defense Corp. investor protection violation2019SEC$37,475,717
Bank Hapoalim B.M,Bank Hapoalimfinancial servicestax violations2020FED$37,350,000
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
Wachovia CorporationWells Fargofinancial servicesinvestor protection violation2004SEC$37,000,000
Symbol Technologies, Inc.Zebra Technologieselectrical and electronic equipmentaccounting fraud or deficiencies2004SEC$37,000,000
Deutsche Bank Securities, Inc.Deutsche Bankfinancial servicesinvestor protection violation2016NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $37,000,000
Goldman Sachs GroupGoldman Sachsfinancial servicesbanking violation2016FED$36,300,000
G.B. Enterprises Inc. tax violations2004USAO$36,005,649
Hercules IncorporatedAshland Global Holdingschemicalstax violations2004IRS$36,000,000
IB Capital FX, LLC investor protection violation2016CFTC$35,420,000
State Street Bank and Trust CompanyState Street Corp.financial servicesinvestor protection violation2017SEC$35,300,000
Banca IMI Securities Corp.Intesa Sanpaolofinancial servicesinvestor protection violation2017SEC$35,300,000
Advanta Bank Corporation banking violation2009FDIC$35,150,000
HSBC Bank USA, National AssociationHSBCfinancial servicesbanking violation2016OCC$35,000,000
Citibank, N.A.Citigroupfinancial servicesbanking violation2015OCC$35,000,000
Capital One Bank (USA), National AssociationCapital One Financialfinancial servicesbanking violation2012OCC$35,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasefinancial servicesbanking violation2011OCC$35,000,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2016SEC$35,000,000
OppenheimerFunds Inc.Invescofinancial servicesinvestor protection violation2012SEC$35,000,000
F-Squared Investments investor protection violation2014SEC$35,000,000
Nortel Networks Corporation accounting fraud or deficiencies2007SEC$35,000,000
Cardinal Health, Inc.Cardinal Healthwholesalersaccounting fraud or deficiencies2007SEC$35,000,000
Altaba Inc. investor protection violation2018SEC$35,000,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2016NY-AG$35,000,000
International Investment Group, LLC investor protection violation2020SEC$35,000,000
Industrial Bank of KoreaIndustrial Bank of Koreafinancial servicesanti-money-laundering deficiencies2020NY-DFS$35,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2020SEC$35,000,000
National Bank of Pakistan anti-money-laundering deficiencies2022NY-DFS$35,000,000
National Bank of Pakistan anti-money-laundering deficiencies2022NY-DFS$35,000,000
Sparkster Ltd investor protection violation2022SEC$35,000,000
Activision Blizzard Inc.Microsoftinformation technologyinvestor protection violation2023SEC$35,000,000
Bank of MontrealBank of Montrealfinancial servicesinvestor protection violation2023CFTC$35,000,000
BNP Paribas Securities Corp.BNP Paribasfinancial servicesinvestor protection violation2023SEC$35,000,000
SG Americas Securities, LLCSociete Generalefinancial servicesinvestor protection violation2023SEC$35,000,000
Wells Fargo Clearing Services LLCWells Fargofinancial servicesinvestor protection violation2023SEC$35,000,000
Interactive Brokers Corp.Interactive Brokers Groupfinancial servicesinvestor protection violation2023SEC$35,000,000
WEX Bank and Higher One, Inc.WEX Inc.financial servicesbanking violation2015FDIC$34,980,000
Empires Consulting Corp. investor protection violation2023SEC$34,839,951
Wells Fargo Bank, National AssociationWells Fargofinancial servicesbanking violation2011OCC$34,500,000
Walgreens Boots Alliance Inc.Walgreens Boots Allianceretailinginvestor protection violation2018SEC$34,500,000
BDO USA, LLPBDO Internationalbusiness servicestax violations2012IRS$34,400,000
Beaulieu GroupEngineered Floorsbuilding materialstax violations2007USAO$33,184,364
Woodforest National BankWoodforest National Bankfinancial servicesbanking violation2010OCC$33,000,000
Royal Bank of Scotland PLCNatWest Group PLCfinancial serviceseconomic sanction violation2013OFAC$33,000,000
Bank of America CorporationBank of Americafinancial servicesinvestor protection violation2009SEC$33,000,000
INGVoya Financialfinancial servicesinvestor protection violation2006MULTI-AG$33,000,000
MUFG Bank Ltd.U.S. Bancorpfinancial servicesbanking violation2019NY-DFS$33,000,000
Prudential Financial Inc.Prudential Financialfinancial servicesinvestor protection violation2019SEC$32,600,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2003SEC$32,500,000
HSBC Bank USA, National AssociationHSBCfinancial servicesbanking violation2017OCC$32,500,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2014FINRA$32,400,000
Circle Society, Corp. investor protection violation2021CFTC$32,141,375
Lehman Brothers, Inc. investor protection violation2014WA-AG$31,300,000
Deutsche Bank (Suisse) SADeutsche Bankfinancial servicestax violations2015DOJ_TAX$31,026,000
RBC Capital Markets LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2011SEC$30,400,000
City National Rochdale, LLC investor protection violation2022SEC$30,361,803
JPMorgan Chase Bank, National AssociationJPMorgan Chasefinancial servicesbanking violation2015OCC$30,000,000
Bank of America, National AssociationBank of Americafinancial servicesbanking violation2015OCC$30,000,000
ArthroCare CorporationSmith & Nephewmedical equipment and suppliesaccounting fraud or deficiencies2014DOJ_CRIMINAL$30,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.