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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
Microsoft CorporationMicrosoftinformation technologyeconomic sanction violation2023BIS$347,631
Comscore, Inc.ComScoreinformation servicesaccounting fraud or deficiencies2019SEC$5,000,000
Thermon Manufacturing CompanyThermon Group Holdingsindustrial equipmenteconomic sanction violation2009OFAC$14,613
Buehler Ltd.Illinois Tool Worksindustrial equipmenteconomic sanction violation2008OFAC$20,000
Tyco Valves & Controls Middle East, Inc.Emerson Electricindustrial equipmenteconomic sanction violation2007OFAC$450,905
Ebara International Corp.Ebaraindustrial equipmenteconomic sanction violation2004OFAC$44,000
Cooper Industries, IncEatonindustrial equipmenteconomic sanction violation2003OFAC$13,658
Ingersoll-Rand Co.Ingersoll Randindustrial equipmenteconomic sanction violation2003OFAC$137,500
Metso MineralsMetso Outotecindustrial equipmenteconomic sanction violation2003OFAC$10,000
Flowserve CorporationFlowserveindustrial equipmentinvestor protection violation2005SEC$350,000
Flowserve CorporationFlowserveindustrial equipmenteconomic sanction violation2011OFAC$502,408
UQM Technologies, Inc.Danfossindustrial equipmentinvestor protection violation2019SEC$500,000
Belden Inc.Beldenindustrial equipmentinvestor protection violation2020SEC$650,000
Alfa Laval Inc.Alfa Lavalindustrial equipmenteconomic sanction violation2021OFAC$16,875
Alfa Laval Middle East Ltd.Alfa Lavalindustrial equipmenteconomic sanction violation2021OFAC$415,965
Danfoss A/SDanfossindustrial equipmenteconomic sanction violation2022OFAC$4,379,810
Lumber Liquidators Holdings Inc.LL Flooring Holdingshousewares and home furnishingsinvestor protection violation2019SEC$6,000,000
Tupperware Brands CorporationTupperware Brandshousewares and home furnishingsinvestor protection violation2022SEC$900,000
Newell Brands Inc.Newell Brandshousewares and home furnishingsaccounting fraud or deficiencies2023SEC$12,500,000
Nu Skin Enterprises, Inc.Nu Skin Enterpriseshousehold and personal care productsinvestor protection violation2016SEC$765,688
Hill's Pet Nutrition Sales, Inc.Colgate-Palmolivehousehold and personal care productstax violations2016CT-AG$13,283
Kimberly-Clark Global Sales, LLCKimberly-Clarkhousehold and personal care productstax violations2012CT-AG$9,465
Starwood Hotel & Resorts Worldwide, Inc.Marriott Internationalhotelsinvestor protection violation2014SEC$75,000
Starwood Hotels & Resorts Worldwide Foundation, Inc.Marriott Internationalhotelstax violations2014CT-AG$9,000
Hilton International Co.Hilton Worldwidehotelseconomic sanction violation2010OFAC$735,407
Hilton Worldwide Holdings Inc.Hilton Worldwidehotelsaccounting fraud or deficiencies2020SEC$600,000
Terex CorporationTerexheavy equipmenteconomic sanction violation2005OFAC$7,000
Caterpillar, Inc.Caterpillar Inc.heavy equipmenteconomic sanction violation2003OFAC$18,000
Terex CorporationTerexheavy equipmentaccounting fraud or deficiencies2009SEC$8,000,000
Greenbrier Companies Inc.Greenbrier Companiesheavy equipmentinvestor protection violation2023SEC$1,000,000
Health Net Inc.Centenehealthcare servicesinvestor protection violation2016SEC$340,000
HealthSouth CorporationEncompass Healthhealthcare servicesaccounting fraud or deficiencies2005SEC$100,000,000
Oxford Health Plans, Inc.UnitedHealth Grouphealthcare servicesaccounting fraud or deficiencies2002SEC$250,000
Eurofins Lancaster Laboratories, Inc.Eurofins Scientifichealthcare servicestax violations2013CT-AG$15,600
HealthSouthEncompass Healthhealthcare servicesaccounting fraud or deficiencies2006NM-AG$445,000,000
SeniorBridge Family Companies (NY), Inc.Humanahealthcare servicestax violations2015CT-AG$6,270
WellCare Health Plans Inc.Centenehealthcare servicesinvestor protection violation2010MULTI-AG$200,000,000
ModusLink Global Solutions Inc.Steel Connect Inc.freight and logisticsaccounting fraud or deficiencies2016SEC$1,600,000
Stena Bulk LLCStena Spherefreight and logisticseconomic sanction violation2009OFAC$426,486
Bax Global IncDeutsche Bahnfreight and logisticseconomic sanction violation2005OFAC$22,815
DHL Express (USA), Inc.Deutsche Postfreight and logisticseconomic sanction violation2005OFAC$25,000
Kuehne & Nagel, Inc.Kuehne & Nagelfreight and logisticseconomic sanction violation2005OFAC$18,957
DHL Airways, IncDeutsche Postfreight and logisticseconomic sanction violation2004OFAC$28,073
Maersk Line, Ltd.Maerskfreight and logisticseconomic sanction violation2004OFAC$5,500
Maersk Inc.Maerskfreight and logisticseconomic sanction violation2003OFAC$40,000
Zim American Israeli Shipping Co., IncZim Integrated Shipping Services Ltd.freight and logisticseconomic sanction violation2003OFAC$250,000
Overseas Shipholding GroupOverseas Shipholding Groupfreight and logisticsaccounting fraud or deficiencies2017SEC$5,000,000
CMA CGM (America) LLCCMA CGMfreight and logisticseconomic sanction violation2011OFAC$374,400
Maersk Line, LimitedMaerskfreight and logisticseconomic sanction violation2010OFAC$3,088,400
Energetics, Inc.VSE Corp.freight and logisticsinvestor protection violation2011AZ-CC$250,000
Roadrunner Transportation Systems, IncRoadrunner Transportation Systemsfreight and logisticsinvestor protection violation2023SEC$9,635,911
Diamond FoodsCampbell Soupfood productsaccounting fraud or deficiencies2014SEC$5,000,000
Lactalis USA, Inc.Lactalisfood productseconomic sanction violation2009OFAC$20,950
Koch Foods, L.L.C.Koch Foodsfood productseconomic sanction violation2006OFAC$43,947
Barry Callebaut USA, IncBarry Callebautfood productseconomic sanction violation2004OFAC$6,852
ConAgra Foods, Inc.ConAgra Brandsfood productsaccounting fraud or deficiencies2007SEC$45,000,000
Tyson Foods, Inc.Tyson Foodsfood productsaccounting fraud or deficiencies2005SEC$1,500,000
Dean Foods CompanyDairy Farmers of America (DFA)food productsaccounting fraud or deficiencies2004SEC$400,000
Mondelez International, Inc.Mondelez Internationalfood productsaccounting fraud or deficiencies2017SEC$13,000,000
American Italian Pasta CompanyTreeHouse Foodsfood productsaccounting fraud or deficiencies2008USAO$7,500,000
Omega Protein CorporationCooke Inc.food productsinvestor protection violation2019SEC$400,000
Ventura Foods, LLCVentura Foodsfood productstax violations2013CT-AG$35,235
Herbalife Nutrition Ltd.Herbalifefood productsaccounting fraud or deficiencies2019SEC$20,000,000
Bimbo Foods Bakeries Distribution, LLCBimbo Groupfood productsinvestor protection violation2015MD-SEC$50,000
Tyson Foods, Inc.Tyson Foodsfood productsinvestor protection violation2021CFTC$1,500,000
Kraft Heinz CompanyKraft Heinzfood productsaccounting fraud or deficiencies2021SEC$62,000,000
Mondelez GlobalMondelez Internationalfood productsinvestor protection violation2022CFTC$16,000,000
WEX Bank and Higher One, Inc.WEX Inc.financial servicesbanking violation2015FDIC$34,980,000
Citizens BankCitizens Financial Groupfinancial servicesbanking violation2015FDIC$8,800,000
Citizens BankCitizens Financial Groupfinancial servicesbanking violation2013FDIC$6,400,000
1st Financial Bank USA1st Financial Bank USAfinancial servicesbanking violation2010FDIC$10,140,000
Synovus BankSynovus Financialfinancial servicesbanking violation2013FDIC$135,050
German American BancorpGerman American Bancorpfinancial servicesbanking violation2013FDIC$70,000
Great Western BankFirst Interstate Bancsystemfinancial servicesbanking violation2013FDIC$40,810
TCF National BankHuntington Bancsharesfinancial servicesbanking violation2016OCC$56,500
HSBC Bank USA, National AssociationHSBCfinancial servicesbanking violation2016OCC$35,000,000
Sun National BankOceanFirst Financialfinancial servicesbanking violation2016OCC$25,000
Citizens Bank, National AssociationCitizens Financial Groupfinancial servicesbanking violation2015OCC$2,000,000
First Financial Bank, National AssociationFirst Financial Bancorp.financial servicesbanking violation2015OCC$11,700
RBS Citizens, National AssociationCitizens Financial Groupfinancial servicesbanking violation2015OCC$10,000,000
Citibank, N.A.Citigroupfinancial servicesbanking violation2015OCC$35,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasefinancial servicesbanking violation2015OCC$30,000,000
Bank of America, National AssociationBank of Americafinancial servicesbanking violation2015OCC$1,104,530
First National Bank of PennsylvaniaF.N.B. Corporationfinancial servicesbanking violation2015OCC$180,720
Wells Fargo Bank, National AssociationWells Fargofinancial servicesbanking violation2015OCC$4,000,000
Bank of America, National AssociationBank of Americafinancial servicesbanking violation2015OCC$30,000,000
Santander Bank, National AssociationBanco Santanderfinancial servicesbanking violation2015OCC$6,000,000
Keybank National AssociationKeyCorpfinancial servicesbanking violation2015OCC$5,005
Bank of America, National AssociationBank of Americafinancial servicesbanking violation2014OCC$250,000,000
Citibank, National AssociationCitigroupfinancial servicesbanking violation2014OCC$350,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasefinancial servicesbanking violation2014OCC$350,000,000
Capital One, National AssociationCapital One Financialfinancial servicesbanking violation2014OCC$4,000,000
PNC Bank, National AssociationPNC Financial Servicesfinancial servicesbanking violation2014OCC$2,000,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesbanking violation2014OCC$51,900,000
Associated Bank, National AssociationAssociated Banc-Corpfinancial servicesbanking violation2014OCC$500,000
Old National BankOld National Bancorpfinancial servicesbanking violation2014OCC$500,000
American Express Bank, FSBAmerican Expressfinancial servicesbanking violation2013OCC$7,500,000
Mutual of Omaha BankFirst Citizens BancSharesfinancial servicesbanking violation2013OCC$51,765
JPMorgan Chase Bank, National AssociationJPMorgan Chasefinancial servicesbanking violation2013OCC$60,000,000
Swineford National BankFulton Financialfinancial servicesbanking violation2013OCC$33,880
RBS Citizens, National AssociationCitizens Financial Groupfinancial servicesbanking violation2013OCC$7,500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.