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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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Company sort iconCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearAgencyPenalty Amount
Watermark Securities, Inc. investor protection violation2022SEC$25,000
Waterfront Beer and Wine, Inc economic sanction violation2003OFAC$12,440
Water Island Capital LLC investor protection violation2015SEC$50,000
Waste Management, Inc.Waste Management Inc.waste management and environmental servicesinvestor protection violation2001CT-AG$457,000,000
Washington Wealth Management, LLC investor protection violation2016SEC$50,000
WASHINGTON SQUARE SECURITIES investor protection violation2002VA-SEC$15,000
Washington Mutual Mortgage Securities Corp.JPMorgan Chasefinancial servicestoxic securities abuses2021NM-AG$4,642,857
Washington Federal Bank, National AssociationWashington Federal Inc.financial servicesbanking violation2021OCC$40,500
Warrior Trading investor protection violation2022FTC$3,000,000
Warrior Fund LLC investor protection violation2010SEC$221,384
Warren Exploration, LLC investor protection violation2007AZ-CC$122,000
Warren Averett, LLC accounting fraud or deficiencies2023PCAOB$200,000
Warren & Massey Asset Management Ltd., Inc. investor protection violation2009MO-SEC$16,430
Warner Financial Group Inc. investor protection violation2013TX-SEC$5,000
WaMu Investments, Inc. investor protection violation2008FINRA$250,000
Walton Financial, LLC investor protection violation2017CO-SEC$150,000
Walleye Capital LLC investor protection violation2022CFTC$550,000
Wall Street Radio, Inc. dba Winning on Wall Street investor protection violation2016CO-SEC$80,000
Wall Street Financial Group, Inc. investor protection violation2001FL-OFR$10,000
Wall Street Financial Group Inc. investor protection violation2013PA-BKG$100,000
Wall Street Capital Funding LLC investor protection violation2011SEC$300,000
Wall Street Access investor protection violation2006SEC$688,084
Wall Street Access investor protection violation2022SEC$97,523
Wall Private Wealth LLC investor protection violation2017PA-BKG$10,000
Walker Financial Advisors, Inc. investor protection violation2013CA-DFPI$27,600
Walker & Armstrong LLP accounting fraud or deficiencies2015PCAOB$7,500
Walgreens Boots Alliance Inc.Walgreens Boots Allianceretailinginvestor protection violation2018SEC$34,500,000
Wal-Mart Stores, Inc.Walmartretailingeconomic sanction violation2003OFAC$50,000
Wal-Mart Stores Inc.Walmartretailingtax violations2004IL-AG$803,904
Wahed Invest, LLC investor protection violation2022SEC$300,000
Wagner Capital Management, LLC investor protection violation2019AZ-CC$71,928
Wadsworth Investment Co., Inc. investor protection violation2012CT-SEC$77,000
Waddell & Reed, LLCMacquariefinancial servicesinvestor protection violation2022SEC$200,000
Waddell & Reed, Inc.Macquariefinancial servicesinvestor protection violation2006SEC$50,000,000
Waddell & Reed, Inc.Macquariefinancial servicesinvestor protection violation2003FL-OFR$8,800
Waddell & Reed, Inc.Macquariefinancial servicesinvestor protection violation2006MO-SEC$172,161
Waddell & Reed, Inc.Macquariefinancial servicesinvestor protection violation2005MT-FIN$25,000
Waddell & Reed, Inc.Macquariefinancial servicesinvestor protection violation2016NH-BSR$900,000
Waddell & Reed, Inc.Macquariefinancial servicesinvestor protection violation2005MULTI-FIN$18,000,000
Waddell & Reed, Inc.Macquariefinancial servicesinvestor protection violation2005FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $16,000,000
Waddell & Reed Inc.Macquariefinancial servicesinvestor protection violation2008OK-SEC$10,000
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2009DE-AG$309,000
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2011NJ-AG$3,200,000
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2008MD-SEC$50,000
Wachovia Securities LLCWells Fargofinancial servicesinvestor protection violation2007ND-SEC$75,000
Wachovia Securities LLCWells Fargofinancial servicesinvestor protection violation2004FINRA$650,000
Wachovia SecuritiesWells Fargofinancial servicesinvestor protection violation2009FINRA$4,500,000
Wachovia CorporationWells Fargofinancial servicesinvestor protection violation2004SEC$37,000,000
Wachovia Capital Markets, LLCWells Fargofinancial servicesinvestor protection violation2006SEC$125,000
Wachovia Capital Markets, LLCWells Fargofinancial servicesinvestor protection violation2007FINRA$300,000
Wachovia Capital Markets LLCWells Fargofinancial servicesinvestor protection violation2006MULTI-AG$25,000,000
Wachovia Capital Markets LLCWells Fargofinancial servicesinvestor protection violation2007MULTI-FIN$24,650,000
Wachovia Bank, National AssociationWells Fargofinancial servicesbanking violation2008OCC$168,900,000
Wachovia Bank N.A.Wells Fargofinancial servicesanti-money-laundering deficiencies2010USAO$50,000,000
Wachovia BankWells Fargofinancial servicesanti-money-laundering deficiencies2010FINCEN$110,000,000
Wachovia BankWells Fargofinancial serviceseconomic sanction violation2007OFAC$11,000
Wachovia BankWells Fargofinancial serviceseconomic sanction violation2005OFAC$5,500
Wachovia BankWells Fargofinancial serviceseconomic sanction violation2004OFAC$11,000
WachoviaWells Fargofinancial servicestoxic securities abuses2015NCUA$53,000,000
WA State Construction LLC investor protection violation2022WA-SEC$10,000
W.R Starkey Mortgage, LLP investor protection violation2010AR-SEC$20,000
W.P. Carey & Co.W.P. Carey Inc.real estateaccounting fraud or deficiencies2008SEC$30,000,000
W.L. Lyons, LLC investor protection violation2016SEC$200,000
W.J. Nolan & Co. investor protection violation2001SEC$192,028
W & R Insurance Agency of Montana, Inc. investor protection violation2005MT-FIN$25,000
Vybe Nation International Entertainment Group, LLC investor protection violation2022FL-OFR$240,000
Vuuzle Media Corp. et al. investor protection violation2023SEC$28,599,662
VTR Capital, Inc. nka Fairchild Financial Group, Inc. investor protection violation2000FL-OFR$12,000
VTB Capital plc investor protection violation2021SEC$6,429,883
VSS Fund Management LLC investor protection violation2018SEC$200,000
VSR Financial Services, Inc. investor protection violation2011MO-SEC$55,470
Voyager Financial Group, LLC investor protection violation2013IA-INS$10,000
Voyager Digital Ltd. et al. investor protection violation2023NH-BSR$1,007,880
Voya Holdings Inc.Voya Financialfinancial servicesinvestor protection violation2018SEC$3,600,000
Voya Financial Advisors, Inc.Voya Financialfinancial servicesinvestor protection violation2017SEC$3,095,953
Voya Financial Advisors, Inc.Voya Financialfinancial servicesinvestor protection violation2020SEC$22,919,155
Voya Financial Advisors Inc.Voya Financialfinancial servicesinvestor protection violation2018SEC$1,000,000
Voxeljet AG investor protection violation2022SEC$175,000
Vonberg Valve, Inc. economic sanction violation2009OFAC$11,049
Volvo Construction Equipment North America, Inc.Volvomotor vehicleseconomic sanction violation2009OFAC$33,000
Volumetric Funds, Inc. investor protection violation2021NJ-BOS$9,850
Volumetric Fund, Inc. investor protection violation2021CT-BKG$10,000
Volkswagen AGVolkswagenmotor vehiclesinvestor protection violation2024SEC$48,750,000
Voices in the Wilderness economic sanction violation2003OFAC$20,000
Voice, Video & Data Services, Inc. investor protection violation2008KY-FIN$10,000
Voice of Guo Media, Inc. investor protection violation2022AZ-CC$100,000
Vocelli, LLC investor protection violation2013MD-SEC$5,000
VMware, Inc.Broadcomelectrical and electronic equipmentinvestor protection violation2022SEC$8,000,000
Vlad Investments, LLC investor protection violation2011WA-FIN$6,350
Vivic Corp. investor protection violation2023SEC$60,000
Vivendi Universal, S.A.Comcasttelecommunicationsaccounting fraud or deficiencies2003SEC$50,000,000
Vitesse Semiconductor Corp.Microchip Technology Inc.electrical and electronic equipmentaccounting fraud or deficiencies2010SEC$3,000,000
Visual Group, LLC investor protection violation2022CT-SEC$100,000
VIST BANK banking violation2011FDIC$9,000
VisionPoint Advisory Group, LLC investor protection violation2017SEC$45,000
Visionary Sports Entertainment, Inc. investor protection violation2009CO-SEC$92,307
Visionary Group Holdings, Inc. investor protection violation2011CA-DFPI$1,285,750
Visionary Business Works, Inc. dba Fleetronix investor protection violation2017AZ-CC$856,044
Vision Travel, Inc. aka Global Vision Travel investor protection violation2008CT-SEC$115,000
Vision Technologies, Inc. investor protection violation2014AR-SEC$8,000
Vision Securities, Inc. investor protection violation2006CT-SEC$15,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.