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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 IndustryPrimary Offense Type sort iconYearAgencyPenalty Amount
Grant Thornton LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2017PCAOB$1,500,000
Stevenson & Company CPAs LLC accounting fraud or deficiencies2017PCAOB$10,000
Weld Asia Associates accounting fraud or deficiencies2017PCAOB$20,000
Anthony Kam & Associates Limited accounting fraud or deficiencies2017PCAOB$10,000
VanDuyne, Bruno & Co., P.A. accounting fraud or deficiencies2017PCAOB$10,000
Brace & Associates, PLLC accounting fraud or deficiencies2017PCAOB$10,000
Weaver and Tidwell, L.L.P. accounting fraud or deficiencies2017PCAOB$30,000
BDO Auditores, S.L.P. accounting fraud or deficiencies2017PCAOB$40,000
Seale and Beers CPAs, LLC accounting fraud or deficiencies2017PCAOB$20,000
Enterprise CPAs, Ltd. accounting fraud or deficiencies2017PCAOB$10,000
Jerome Rosenberg CPA, P.C. accounting fraud or deficiencies2017PCAOB$10,000
L&L CPAs, PA accounting fraud or deficiencies2017PCAOB$5,000
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2017PCAOB$1,000,000
William T. McCallum CPA, P.C. accounting fraud or deficiencies2017PCAOB$5,000
Fulvio & Associates, L.L.P. accounting fraud or deficiencies2017PCAOB$20,000
BDO Hungary Audit, Ltd. accounting fraud or deficiencies2017PCAOB$20,000
Ernst & Young, S.L.Ernst & Youngbusiness servicesaccounting fraud or deficiencies2017PCAOB$10,000
Goldstein, Zugman, Weinstein & Poole, LLC accounting fraud or deficiencies2017PCAOB$10,000
Grant Thornton DaejooGrant Thorntonbusiness servicesaccounting fraud or deficiencies2017PCAOB$10,000
Grant Thornton Fast & ABS Auditores y Consultores Ltda.Grant Thorntonbusiness servicesaccounting fraud or deficiencies2017PCAOB$10,000
KPMG Auditores IndependentesKPMGbusiness servicesaccounting fraud or deficiencies2017PCAOB$15,000
Korwek & Company, PA accounting fraud or deficiencies2017PCAOB$10,000
Price Waterhouse & Co. S.R.L.PricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2017PCAOB$25,000
PricewaterhouseCoopers Auditores, S.L.PricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2017PCAOB$15,000
SEJONG LLP accounting fraud or deficiencies2017PCAOB$5,000
Thomas J. Trumeter accounting fraud or deficiencies2017PCAOB$15,000
Canuswa Accounting & Tax Services Inc. accounting fraud or deficiencies2017PCAOB$20,000
Cutler & Co., LLC accounting fraud or deficiencies2017PCAOB$20,000
KAP Purwantono, Sungkoro & Surja accounting fraud or deficiencies2017PCAOB$1,000,000
HJ & Associates accounting fraud or deficiencies2017PCAOB$10,000
Scrudato & Co., PA accounting fraud or deficiencies2016PCAOB$15,000
Deloitte Accountants B.V.Deloittebusiness servicesaccounting fraud or deficiencies2016PCAOB$300,000
Deloitte Touche Tohmatsu Auditores IndependentesDeloittebusiness servicesaccounting fraud or deficiencies2016PCAOB$8,000,000
Galaz, Yamazaki, Ruiz Urquiza, S.C. accounting fraud or deficiencies2016PCAOB$750,000
Berkow, Schechter & Company LLP accounting fraud or deficiencies2016PCAOB$15,000
Roth & Company, P.C. accounting fraud or deficiencies2016PCAOB$20,000
Goldman Kurland and Mohidin, LLP accounting fraud or deficiencies2016PCAOB$15,000
Donahue Associates LLC accounting fraud or deficiencies2016PCAOB$5,000
Moss, Krusick & Associates, LLC accounting fraud or deficiencies2016PCAOB$10,000
Scott and Company LLC accounting fraud or deficiencies2016PCAOB$10,000
L.L. Bradford & Company, LLC accounting fraud or deficiencies2015PCAOB$12,500
Stein & Company, LLP accounting fraud or deficiencies2015PCAOB$5,000
BDO Auditores, S.L.P. accounting fraud or deficiencies2015PCAOB$10,000
Turner, Jones and Company PLLC accounting fraud or deficiencies2015PCAOB$10,000
Bravos & Associates CPA's accounting fraud or deficiencies2015PCAOB$10,000
HDSG & Associates accounting fraud or deficiencies2015PCAOB$5,000
CST Group, CPAs, P.C. accounting fraud or deficiencies2015PCAOB$7,500
Goracke & Associates, P.C. accounting fraud or deficiencies2015PCAOB$20,000
Mistretta Associates accounting fraud or deficiencies2015PCAOB$20,000
Samyn & Martin, LLC accounting fraud or deficiencies2015PCAOB$10,000
Walker & Armstrong LLP accounting fraud or deficiencies2015PCAOB$7,500
Harris & Gillespie CPA's, PLLC accounting fraud or deficiencies2015PCAOB$15,000
Morrill & Associates, LLC accounting fraud or deficiencies2015PCAOB$20,000
Acquavella, Chiarelli, Shuster, Berkower & Co., LLP accounting fraud or deficiencies2013PCAOB$10,000
Hood & Associates CPAs, P.C. accounting fraud or deficiencies2013PCAOB$10,000
Deloitte & Touche LLPDeloittebusiness servicesaccounting fraud or deficiencies2013PCAOB$2,000,000
P. Parikh & Associates accounting fraud or deficiencies2013PCAOB$10,000
Brock, Schechter & Polakoff, LLP accounting fraud or deficiencies2012PCAOB$20,000
Ernst & Young LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2012PCAOB$2,000,000
Bentleys Brisbane Partnership accounting fraud or deficiencies2011PCAOB$10,000
Price Waterhouse, Bangalore et al.PricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2011PCAOB$1,500,000
Deloitte & Touche LLPDeloittebusiness servicesaccounting fraud or deficiencies2007PCAOB$1,000,000
Iconix Brand Group Inc.Iconix Brand Groupapparelaccounting fraud or deficiencies2019SEC$5,500,000
MiMedx Group Inc.MiMedx Group, Incmedical equipment and suppliesaccounting fraud or deficiencies2019SEC$1,500,000
Hill International, Inc. accounting fraud or deficiencies2020SEC$500,000
Ahmed & Associates CPA P.C. accounting fraud or deficiencies2020PCAOB$10,000
PricewaterhouseCoopersPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2014NY-DFS$25,000,000
Liggett & Webb, P.A. accounting fraud or deficiencies2020PCAOB$20,000
Grant Thornton LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2020PCAOB$750,000
Da Hua CPAs accounting fraud or deficiencies2020PCAOB$10,000
East Asia Sentinel Limited accounting fraud or deficiencies2020PCAOB$10,000
Ruihua Certified Public Accountants accounting fraud or deficiencies2020PCAOB$10,000
Zhonghua Certified Public Accountants LLP accounting fraud or deficiencies2020PCAOB$10,000
Marcum LLP accounting fraud or deficiencies2020PCAOB$250,000
Jones Simkins LLC accounting fraud or deficiencies2020PCAOB$10,000
The Cheesecake Factory IncorporatedCheesecake Factoryrestaurants and foodserviceaccounting fraud or deficiencies2020SEC$125,000
Andeavor LLCMarathon Petroleumoil and gasaccounting fraud or deficiencies2020SEC$20,000,000
Hilton Worldwide Holdings Inc.Hilton Worldwidehotelsaccounting fraud or deficiencies2020SEC$600,000
HP Inc.HP Inc.electrical and electronic equipmentaccounting fraud or deficiencies2020SEC$6,000,000
Interface Inc. accounting fraud or deficiencies2020SEC$5,000,000
BMW AGBMWmotor vehiclesaccounting fraud or deficiencies2020SEC$18,000,000
Power Solutions International Inc. accounting fraud or deficiencies2020SEC$1,700,000
Revolution Lighting Technologies Inc. accounting fraud or deficiencies2020SEC$1,250,000
RPM International Inc.RPM Internationalchemicalsaccounting fraud or deficiencies2020SEC$2,022,500
Luckin Coffee Inc. accounting fraud or deficiencies2020SEC$180,000,000
General Electric Co.General Electricdiversifiedaccounting fraud or deficiencies2020SEC$200,000,000
Morgan & Company LLP accounting fraud or deficiencies2021PCAOB$25,000
MJF & Associates, APC accounting fraud or deficiencies2021PCAOB$10,000
KPMG AustraliaKPMGbusiness servicesaccounting fraud or deficiencies2021PCAOB$450,000
Haskell & White LLP accounting fraud or deficiencies2021PCAOB$20,000
Morey, Nee, Buck & Oswald, LLC accounting fraud or deficiencies2021PCAOB$10,000
RBSM LLP accounting fraud or deficiencies2021PCAOB$50,000
Kraft Heinz CompanyKraft Heinzfood productsaccounting fraud or deficiencies2021SEC$62,000,000
Healthcare Services Group, Inc.Healthcare Services Group Inc.business servicesaccounting fraud or deficiencies2021SEC$6,000,000
Ernst & Young LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2021SEC$10,000,000
Tandy Leather Factory Inc. accounting fraud or deficiencies2021SEC$200,000
Dale Matheson Carr-Hilton LaBonte LLP accounting fraud or deficiencies2021PCAOB$50,000
Harbourside CPA LLP accounting fraud or deficiencies2021PCAOB$10,000
Slack & Company LLC accounting fraud or deficiencies2021PCAOB$15,000
SS Accounting and Auditing Inc. accounting fraud or deficiencies2021PCAOB$5,000
WDM Chartered Professional Accountants accounting fraud or deficiencies2021PCAOB$10,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.