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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 Parent sort iconCurrent Parent IndustryPrimary Offense TypeYearAgencyPenalty Amount
BB&T Securities, LLCTruist Financialfinancial servicesinvestor protection violation2015SEC$200,000
BB&T Securities, LLCTruist Financialfinancial servicesinvestor protection violation2018SEC$100,000
BB&T SecuritiesTruist Financialfinancial servicesinvestor protection violation2019SEC$5,709,753
BB&T Securities, LLCTruist Financialfinancial servicesinvestor protection violation2019SEC$376,059
SunTrust BankTruist Financialfinancial servicesbanking violation2005WI-AG$10,107
Branch Banking & Trust Co.Truist Financialfinancial serviceseconomic sanction violation2014OFAC$19,125
McGriff, Seibels & Williams of Texas, Inc.Truist Financialfinancial serviceseconomic sanction violation2011OFAC$122,408
Bank of LouisvilleTruist Financialfinancial servicesinvestor protection violation2002KY-INS$27,000,000
Branch Banking and Trust CompanyTruist Financialfinancial servicesinvestor protection violation2016SC-SEC$97,500
SunTrust Robinson Humphrey, Inc.Truist Financialfinancial servicesinvestor protection violation2016FINRA$1,500,000
SunTrust Robinson Humphrey, Inc.Truist Financialfinancial servicesinvestor protection violation2011FINRA$5,000,000
SunTrust Investment Services, Inc.Truist Financialfinancial servicesinvestor protection violation2010FINRA$1,440,000
SunTrust Robinson Humphrey, Inc.Truist Financialfinancial servicesinvestor protection violation2008FINRA$1,650,000
SunTrust Investment Services, Inc.Truist Financialfinancial servicesinvestor protection violation2008FINRA$300,000
SunTrust Capital Markets, Inc.Truist Financialfinancial servicesinvestor protection violation2005FINRA$100,000
YourPeople, Inc., dba Zenefits FTW Insurance ServicesTriNet Groupbusiness servicesinvestor protection violation2017SEC$450,000
YourPeople, Inc.TriNet Groupbusiness servicestax violations2016CT-AG$8,070
American Italian Pasta CompanyTreeHouse Foodsfood productsaccounting fraud or deficiencies2008USAO$7,500,000
St. Paul Travelers Companies Inc.Travelersfinancial servicesinvestor protection violation2005NM-AG$67,500,000
NeuStar IncTransUnionmiscellaneous servicesinvestor protection violation2016SEC$180,000
TPG CapitalTPG Capitalprivate equity (including portfolio companies)investor protection violation2001SEC$50,000
TPG Capital Advisors, LLCTPG Capitalprivate equity (including portfolio companies)investor protection violation2017SEC$12,487,620
Toyota Motor Credit CorporationToyotamotor vehicleseconomic sanction violation2013OFAC$23,400
ConvergEx GroupToronto-Dominion Bankfinancial servicesinvestor protection violation2013SEC$107,424,429
TD BankToronto-Dominion Bankfinancial servicesinvestor protection violation2013SEC$15,000,000
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankfinancial servicesinvestor protection violation2004SEC$2,000,000
SG Cowen & Co., LLC f/k/a SG Cowen Securities CorporationToronto-Dominion Bankfinancial servicesinvestor protection violation2004SEC$125,000
Toronto-Dominion BankToronto-Dominion Bankfinancial serviceseconomic sanction violation2017OFAC$516,105
TD Securities (USA) LLCToronto-Dominion Bankfinancial servicesinvestor protection violation2016SEC$500,000
TD Options LLCToronto-Dominion Bankfinancial servicesinvestor protection violation2009SEC$1,000,000
TD Bank, N.A.Toronto-Dominion Bankfinancial serviceseconomic sanction violation2021OFAC$115,005
TD Securities (USA) LLCToronto-Dominion Bankfinancial servicesinvestor protection violation2022SEC$152,955
Zoltek Companies, Inc.Toray Industrieschemicalseconomic sanction violation2018OFAC$7,772,102
Tops Markets, Inc.Tops Marketsretailingtax violations2000NY-AG$21,000
Privilege Underwriters Reciprocal ExchangeTokio Marinefinancial serviceseconomic sanction violation2023OFAC$466,200
TIAA-CREF Individual & Institutional Services, LLCTIAAfinancial servicesinvestor protection violation2019SEC$2,395,722
Nuveen Investments, LLCTIAAfinancial servicesinvestor protection violation2011FINRA$3,000,000
John Nuveen & Co., Inc.TIAAfinancial servicesinvestor protection violation2000FINRA$6,630,000
Nuveen Securities LLCTIAAfinancial servicesinvestor protection violation2023SEC$8,500,000
TIAA-CREF Individual & Institutional Services LLCTIAAfinancial servicesinvestor protection violation2024SEC$2,200,000
Thrivent Investment Management Inc.Thrivent Financialfinancial servicesinvestor protection violation2020IL-SEC$400,000
Thor Industries Inc.Thor Industriesmotor vehiclesaccounting fraud or deficiencies2011SEC$1,000,000
Thermon Manufacturing CompanyThermon Group Holdingsindustrial equipmenteconomic sanction violation2009OFAC$14,613
Maxwell Technologies, Inc.Tesla Inc.motor vehiclesaccounting fraud or deficiencies2018SEC$2,800,000
Tesla Inc.Tesla Inc.motor vehiclesinvestor protection violation2018SEC$20,000,000
Tesla Energy Solutions (fka SolarCity) and Novogradac & Company LLPTesla Inc.motor vehiclestax violations2018OR-AG$13,000,000
Terex CorporationTerexheavy equipmenteconomic sanction violation2005OFAC$7,000
Terex CorporationTerexheavy equipmentaccounting fraud or deficiencies2009SEC$8,000,000
Teledyne Technologies, Inc.Teledyne Technologiesmiscellaneous manufacturingeconomic sanction violation2012OFAC$30,385
FMC TechnologiesTechnipFMCoilfield services and suppliesaccounting fraud or deficiencies2016SEC$2,500,000
Satyam Computer Services LimitedTech Mahindramiscellaneous servicesaccounting fraud or deficiencies2011SEC$10,000,000
Target Corp.Targetretailingtax violations2004IL-AG$803,904
Tangoe Inc.Tangoe Inc.information technologyaccounting fraud or deficiencies2018SEC$1,500,000
Take-Two Interactive Software, Inc.Take-Two Interactive Software Inc.entertainmentaccounting fraud or deficiencies2009SEC$3,000,000
Take-Two Interactive Software, Inc.Take-Two Interactive Software Inc.entertainmentaccounting fraud or deficiencies2005SEC$7,500,000
Take-Two Interactive Software, Inc.Take-Two Interactive Software Inc.entertainmenttax violations2009NY-MANDA$300,000
Synovus BankSynovus Financialfinancial servicesbanking violation2013FDIC$135,050
AFB&TSynovus Financialfinancial servicesbanking violation2009FDIC$7,040
Synchronoss Technologies, Inc.Synchronoss Technologiesinformation technologyinvestor protection violation2022SEC$12,500,000
Swiss Life Holding AG et al.Swiss Life Groupfinancial servicestax violations2021DOJ_TAX$77,374,337
Super Micro Computers, Inc.Super Micro Computer Inc.electrical and electronic equipmenteconomic sanction violation2006OFAC$179,327
Beam Suntory Inc.Suntorybeveragesinvestor protection violation2018SEC$8,181,838
Massachusetts Financial Services CompanySun Life Financialfinancial servicesinvestor protection violation2018SEC$1,900,000
Sumitomo Mitsui Banking CorporationSumitomo Groupdiversifiedeconomic sanction violation2010OFAC$229,380
SMBC Nikko Securities America, Inc.Sumitomo Groupdiversifiedinvestor protection violation2023SEC$9,000,000
Stryker Sustainability Solutions, Inc.Strykermedical equipment and suppliestax violations2013CT-AG$14,995
INTL FCStoneStoneX Groupfinancial servicesaccounting fraud or deficiencies2016SEC$150,000
Stifel Nicolaus & Co.Stifel Financialfinancial servicesinvestor protection violation2014SEC$60,000
Thomas Weisel Partners LLCStifel Financialfinancial servicesinvestor protection violation2004SEC$12,500,000
Stifel, Nicolaus & Company, IncorporatedStifel Financialfinancial servicesinvestor protection violation2017SEC$300,000
Stifel and Nicolaus & Company, IncorporatedStifel Financialfinancial servicesinvestor protection violation2019SEC$6,037,175
Stifel, Nicolaus & Co., Inc.Stifel Financialfinancial servicesinvestor protection violation2019SEC$2,700,000
Thomas Weisel Partners LLCStifel Financialfinancial servicesinvestor protection violation2006CT-SEC$52,480
Stifel, Nicolaus & Company, Inc.Stifel Financialfinancial servicesinvestor protection violation2011IL-SEC$80,224
Stifel, Nicolaus & Company, Inc.Stifel Financialfinancial servicesinvestor protection violation2010MO-SEC$211,617
Stifel, Nicolaus & Company, Inc.Stifel Financialfinancial servicesinvestor protection violation2017MS-SEC$50,000
Stifel, Nicolaus & Company Inc.Stifel Financialfinancial servicesinvestor protection violation2014NE-DBF$61,000
Stifel Nicolaus & Company, Inc.Stifel Financialfinancial servicesinvestor protection violation2010NJ-BOS$5,415,381
Thomas Weisel Partners LLCStifel Financialfinancial servicesinvestor protection violation2005MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $5,000,000
Stifel Nicolaus & Company, Inc.Stifel Financialfinancial servicesinvestor protection violation2015FINRA$2,900,000
STIFEL, NICOLAUS & COMPANY, INC.Stifel Financialfinancial servicesinvestor protection violation2023MA-SEC$2,500,000
Stena Bulk LLCStena Spherefreight and logisticseconomic sanction violation2009OFAC$426,486
DaimlerChryslerStellantismotor vehicleseconomic sanction violation2004OFAC$32,500
Fiat Chrysler Automobiles N.V.Stellantismotor vehiclesaccounting fraud or deficiencies2019SEC$40,000,000
Fiat Chrysler Automobiles N.V.Stellantismotor vehiclesinvestor protection violation2020SEC$9,500,000
ModusLink Global Solutions Inc.Steel Connect Inc.freight and logisticsaccounting fraud or deficiencies2016SEC$1,600,000
State Street Bank and Trust CompanyState Street Corp.financial servicesinvestor protection violation2016SEC$382,400,000
State Street Bank & Trust CoState Street Corp.financial serviceseconomic sanction violation2003OFAC$22,000
State Street Bank and Trust CompanyState Street Corp.financial servicesinvestor protection violation2017SEC$35,300,000
State Street BankState Street Corp.financial servicesinvestor protection violation2010WA-AG$11,700,000
State Street Bank & Trust Co.State Street Corp.financial servicesinvestor protection violation2010MA-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $300,000,000
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
State Street Bank and Trust CompanyState Street Corp.financial servicesinvestor protection violation2019SEC$88,780,000
State Street Global AdvisorsState Street Corp.financial servicesinvestor protection violation2012MA-SEC$5,000,000
State Street Bank and Trust CompanyState Street Corp.financial servicesinvestor protection violation2018NH-BSR$325,000
State Street Global Markets LLCState Street Corp.financial servicesinvestor protection violation2005FINRA$1,400,000
State Farm VP Management Corp.State Farm Insurancefinancial servicesinvestor protection violation2013PA-BKG$75,000
State Farm Bank, FSBState Farm Insurancefinancial servicesbanking violation2020OCC$547,200
Stanley Black & Decker, Inc.Stanley Black & Deckermiscellaneous manufacturingeconomic sanction violation2019OFAC$1,869,144
Standard Chartered BankStandard Charteredfinancial serviceseconomic sanction violation2012DOJ_CRIMINAL$227,000,000
Standard Chartered Bank (Switzerland) SA, en liquidationStandard Charteredfinancial servicestax violations2015DOJ_TAX$6,337,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.