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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
ArthroCare CorporationSmith & Nephewmedical equipment and suppliesaccounting fraud or deficiencies2014DOJ_CRIMINAL$30,000,000
Kohlberg Kravis Roberts & Co.KKR & Co.private equity (including portfolio companies)investor protection violation2015SEC$30,000,000
W.P. Carey & Co.W.P. Carey Inc.real estateaccounting fraud or deficiencies2008SEC$30,000,000
Ameriprise Financial, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2005SEC$30,000,000
Credit Suisse SecuritiesUBSfinancial servicesinvestor protection violation2016NY-AG$30,000,000
Harbinger Capital Partners Offshore Manager LLC tax violations2018NY-AG$30,000,000
Riverstone Holdings LLCRiverstone Holdingsprivate equity (including portfolio companies)investor protection violation2009NY-AG$30,000,000
Citibank, N.A.Citigroupfinancial servicesbanking violation2019OCC$30,000,000
Mylan N.V.Viatrispharmaceuticalsinvestor protection violation2019SEC$30,000,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2013MA-SEC$30,000,000
Payward Ventures, Inc. and Payward Trading Ltd. investor protection violation2023SEC$30,000,000
Wells Fargo & Co.Wells Fargofinancial serviceseconomic sanction violation2023OFAC$30,000,000
Industrial and Commercial Bank of China Ltd.Industrial and Commercial Bank of Chinafinancial servicesbanking violation2024NY-DFS$30,000,000
EFG Bank European Financial Group SA, Geneva and EFG Bank AG tax violations2015DOJ_TAX$29,988,000
BitClave PTE Ltd investor protection violation2020SEC$29,744,197
BAYERISCHE HYPO- UND VEREINSBANK AG tax violations2006USAO$29,635,125
Deutsche Bank Securities Inc.Deutsche Bankfinancial 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. $28,750,000
Vuuzle Media Corp. et al. investor protection violation2023SEC$28,599,662
Levecke Corporation tax violations2021ATTTB$28,578,944
Morgan Stanley Mortgage Capital HoldingsMorgan Stanleyfinancial servicestoxic securities abuses2011NV-AG$28,200,000
Mercury Interactive, LLC accounting fraud or deficiencies2007SEC$28,000,000
Bank of New York MellonBank of New York Mellonfinancial servicesinvestor protection violation2013FL-AG$28,000,000
Rio Tinto PLCRio Tintomining and mineralsinvestor protection violation2023SEC$28,000,000
Coutts & Co Ltd.NatWest Group PLCfinancial servicestax violations2019DOJ_TAX$27,900,000
AZ Investment Property Experts, LLC and Sandy Beach Esmeralda Development, LLC investor protection violation2019AZ-CC$27,801,783
Yellowstone Capital et al. investor protection violation2023NJ-AG$27,375,000
A.C.L.N. Ltd. and Scandinavian Car Carriers investor protection violation2004SEC$27,000,000
Banco Bilbao Vizcaya Argentaria, S.A.Banco Bilbao Vizcaya Argentariafinancial servicesbanking violation2016FED$27,000,000
Bank of LouisvilleTruist Financialfinancial servicesinvestor protection violation2002KY-INS$27,000,000
UBS Financial Services Inc. of Puerto RicoUBSfinancial servicesinvestor protection violation2012SEC$26,600,000
Stiefel Laboratories Inc. investor protection violation2020SEC$26,510,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2020NH-BSR$26,250,000
Success Trade, Inc. and Success Trade Securities, Inc. investor protection violation2015SEC$26,158,214
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2018MULTI-FIN$26,000,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2019MULTI-AG$25,848,000
Lordstown Motors Corp.Lordstown Motorsmotor vehiclesinvestor protection violation2024SEC$25,500,000
Diebold, Inc.Diebold Nixdorfmiscellaneous manufacturingaccounting fraud or deficiencies2010SEC$25,000,000
American International Group, Inc.American International Groupfinancial servicesaccounting fraud or deficiencies2006DOJ_CRIMINAL$25,000,000
Zurich Financial ServicesZurich Insurancefinancial servicesaccounting fraud or deficiencies2008SEC$25,000,000
The BISYS GroupCitigroupfinancial servicesaccounting fraud or deficiencies2007SEC$25,000,000
Motorola Inc.Motorola Solutionstelecommunicationsaccounting fraud or deficiencies2007SEC$25,000,000
Doral Financial Corporation accounting fraud or deficiencies2006SEC$25,000,000
Lucent Technologies Inc.Nokiatelecommunicationsaccounting fraud or deficiencies2004SEC$25,000,000
Citibank, N.A.Citigroupfinancial servicesbanking violation2019OCC$25,000,000
AOLApollo Global Managementprivate equity (including portfolio companies)accounting fraud or deficiencies2006AK-AG$25,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2010FL-AG$25,000,000
Time Warner accounting fraud or deficiencies2006AK-AG$25,000,000
Wachovia Capital Markets LLCWells Fargofinancial servicesinvestor protection violation2006MULTI-AG$25,000,000
National Oilwell VarcoNOV Inc.oilfield services and supplieseconomic sanction violation2016USAO$25,000,000
Citigroup, Inc.Citigroupfinancial servicesaccounting fraud or deficiencies2003NY-MANDA$25,000,000
J.P. Morgan Chase & Co.JPMorgan Chasefinancial servicesaccounting fraud or deficiencies2003NY-MANDA$25,000,000
PricewaterhouseCoopersPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2014NY-DFS$25,000,000
Bear, Stearns & Co. Inc.JPMorgan Chasefinancial servicesinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
J.P. Morgan Securities Inc.JPMorgan Chasefinancial servicesinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
Lehman Brothers Inc. investor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
Morgan Stanley & Co.Morgan Stanleyfinancial servicesinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
UBS Warburg and UBS PaineWebberUBSfinancial servicesinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
MetLife Securities, Inc.MetLifefinancial servicesinvestor protection violation2016FINRA$25,000,000
Grand River Enterprises Six Nations, Ltd. tax violations2022NY-AG$25,000,000
Native Wholesale Supply Company, Inc. tax violations2022NY-AG$25,000,000
BMO Capital Markets CorpBank of Montrealfinancial servicesinvestor protection violation2023SEC$25,000,000
Mizuho Securities USA LLCMizuho Financialfinancial servicesinvestor protection violation2023SEC$25,000,000
Charter Communications Inc.Charter Communicationstelecommunicationsaccounting fraud or deficiencies2023SEC$25,000,000
Merrill Lynch Commodities, Inc.Bank of Americafinancial servicesinvestor protection violation2019CFTC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $24,900,000
Wachovia Capital Markets LLCWells Fargofinancial servicesinvestor protection violation2007MULTI-FIN$24,650,000
General Reinsurance CorporationBerkshire Hathawaydiversifiedaccounting fraud or deficiencies2010DOJ_CRIMINAL$24,500,000
Bittrex, Inc. economic sanction violation2022OFAC$24,280,829
Crowd Machine, Inc. and Metavine, Inc. investor protection violation2024SEC$24,234,548
Dreyfus Sons & Co Ltd, Banquiers tax violations2015DOJ_TAX$24,161,000
AK Equity Group LLC and Xapphire LLC investor protection violation2023CFTC$24,080,325
BNY Mellon Securities LLCBank of New York Mellonfinancial servicesinvestor protection violation2011SEC$24,045,447
Bittrex Inc. et al. investor protection violation2023SEC$24,000,000
Bittrex Inc. investor protection violation2023SEC$24,000,000
Maerki Baumann & Co. AG tax violations2015DOJ_TAX$23,920,000
Liechtensteinische Landesbank AG tax violations2013USAO$23,800,000
Silver Star FX LLC dba Silver Star Live and Silver Star Live Software LLC investor protection violation2021CFTC$23,506,392
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2017NY-AG$23,500,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2007NY-AG$23,300,000
Summitcrest Capital, Inc. investor protection violation2023SEC$23,181,761
Time Warner Inc. et al. accounting fraud or deficiencies2006PA-AG$23,000,000
Fabio Bretas de Freitas and Phy Capital Investments LLC investor protection violation2019CFTC$22,986,190
Voya Financial Advisors, Inc.Voya Financialfinancial servicesinvestor protection violation2020SEC$22,919,155
Zilmil, Inc. investor protection violation2019CFTC$22,854,289
eAdGear Inc. accounting fraud or deficiencies2016SEC$22,640,000
Calvert Investment Distributors, Inc. and Calvert Investment Management, Inc. investor protection violation2017SEC$22,614,534
Citadel Securities LLC investor protection violation2017SEC$22,600,000
Dinar Corp., Inc. and My Monex, Inc. investor protection violation2020CFTC$22,600,000
Morgan StanleyMorgan Stanleyfinancial servicestoxic securities abuses2016IL-AG$22,500,000
Goldman SachsGoldman Sachsfinancial 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. $22,500,000
Nexo Capital, Inc. investor protection violation2023MULTI-FIN$22,500,000
Nexo Capital Inc. investor protection violation2023SEC$22,500,000
KuCoin securities issuance or trading violation2023NY-AG$22,066,642
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2005SEC$22,000,000
Rahn + Bodmer Co. tax violations2021USAO$22,000,000
Union Bank of California, N.A.U.S. Bancorpfinancial servicesanti-money-laundering deficiencies2007DOJ_CRIMINAL$21,600,000
Banco Popular de Puerto RicoPopular Inc.financial servicesanti-money-laundering deficiencies2003DOJ_CRIMINAL$21,600,000
Taberna Capital Management investor protection violation2015SEC$21,500,000
SmartWear Technologies, Inc. investor protection violation2012CA-DFPI$21,420,639
BISYS Fund Services, Inc. investor protection violation2006SEC$21,400,000
Tyche Asset Management LLC et al. investor protection violation2023CFTC$21,308,692
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.