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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
Standard Chartered Bank (Switzerland) SA, en liquidationStandard Charteredfinancial servicestax violations2015DOJ_TAX$6,337,000
Standard Chartered BankStandard Charteredfinancial serviceseconomic sanction violation2012OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $132,000,000
Standard Chartered BankStandard Charteredfinancial serviceseconomic sanction violation2019DOJ_CRIMINAL$292,210,160
Standard Chartered BankStandard Charteredfinancial serviceseconomic sanction violation2019OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $657,040,033
Standard Chartered BankStandard Charteredfinancial serviceseconomic sanction violation2019NY-MANDA$292,000,000
Standard Chartered BankStandard Charteredfinancial serviceseconomic sanction violation2012NY-MANDA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $113,500,000
Standard Chartered BankStandard Charteredfinancial servicesanti-money-laundering deficiencies2014NY-DFS$300,000,000
Standard Chartered BankStandard Charteredfinancial serviceseconomic sanction violation2019NY-DFS$180,000,000
St. Joe CompanySt. Joe Companyreal estateaccounting fraud or deficiencies2015SEC$2,750,000
Spirit Airlines, Inc.Spirit Airlinesairlineseconomic sanction violation2008OFAC$100,000
Nicor, Inc.Southern Companyutilities and power generationaccounting fraud or deficiencies2007SEC$10,000,000
Societe Generale Private Banking (Suisse) SASociete Generalefinancial servicestax violations2015DOJ_TAX$17,807,000
Societe Generale Private Banking (Lugano-Svizzera)Societe Generalefinancial servicestax violations2015DOJ_TAX$1,363,000
Societe GeneraleSociete Generalefinancial serviceseconomic sanction violation2003OFAC$6,600
Societe GeneraleSociete Generalefinancial serviceseconomic sanction violation2003OFAC$11,000
SG Americas Securities LLCSociete Generalefinancial servicesinvestor protection violation2015SEC$1,011,093
SG Americas Securities, LLCSociete Generalefinancial servicesinvestor protection violation2009SEC$8,384,932
Societe Generale S.A.Societe Generalefinancial serviceseconomic sanction violation2018USAO$717,200,000
Societe Generale S.A.Societe Generalefinancial serviceseconomic sanction violation2018OFAC$53,966,916
SG Americas Securities LLC (Societe Generale)Societe Generalefinancial servicesinvestor protection violation2018SEC$800,000
Societe GeneraleSociete Generalefinancial serviceseconomic sanction violation2011OFAC$111,259
Societe GeneraleSociete Generalefinancial serviceseconomic sanction violation2018NY-MANDA$162,800,000
Societe Generale Financial CorporationSociete Generalefinancial servicesbanking violation2020CA-DFPI$10,250
SG Americas Securities, LLCSociete Generalefinancial servicesinvestor protection violation2020FINRA$1,550,000
Societe Generale S.A.Societe Generalefinancial servicesinvestor protection violation2021CFTC$1,500,000
Societe GeneraleSociete Generalefinancial servicesinvestor protection violation2023CFTC$75,000,000
SG Americas Securities, LLCSociete Generalefinancial servicesinvestor protection violation2023SEC$35,000,000
Smith & Wesson Sales CompanySmith & Wessonmiscellaneous manufacturingtax violations2021ATTTB$1,729,000
ArthroCare CorporationSmith & Nephewmedical equipment and suppliesaccounting fraud or deficiencies2014DOJ_CRIMINAL$30,000,000
Osiris TherapeuticsSmith & Nephewmedical equipment and suppliesaccounting fraud or deficiencies2017SEC$1,500,000
Skechers U.S.A. Inc.Skechers USA Inc.apparelinvestor protection violation2024SEC$1,250,000
Sierra Pacific Industries Corp.Sierra Pacific Industriesbuilding materialstax violations2014CT-AG$5,685
Dresser-Rand Group, Inc.Siemens Energyutilities and power generationeconomic sanction violation2006OFAC$171,305
Sidley Austin LLPSidley Austinbusiness servicestax violations2007IRS$39,400,000
Royal Dutch Petroleum CompanyShell PLCoil and gasaccounting fraud or deficiencies2004SEC$120,000,000
ShellShell PLCoil and gastax violations2000LA-AG$4,360,000
Galena Biopharma, Inc.SELLAS Life Sciences Grouppharmaceuticalsaccounting fraud or deficiencies2017SEC$200,000
Securian Financial Services, Inc.Securian Financialfinancial servicesinvestor protection violation2020AK-DBS$10,000
Securian Financial Services, Inc.Securian Financialfinancial servicesinvestor protection violation2009MO-SEC$79,445
Securian Financial Services Inc.Securian Financialfinancial servicesinvestor protection violation2009TX-SEC$50,000
SeaWorld Entertainment Inc.SeaWorld Entertainmententertainmentinvestor protection violation2018SEC$4,000,000
Seacoast National BankSeacoast Banking Corporation of Floridafinancial servicesbanking violation2013OCC$26,950
Seacoast National BankSeacoast Banking Corporation of Floridafinancial servicesbanking violation2006OCC$16,500
Bank of Nova ScotiaScotiabankfinancial servicesinvestor protection violation2018CFTC$800,000
Scotia Capital (USA) Inc.Scotiabankfinancial servicesinvestor protection violation2023SEC$7,500,000
Schupp & Grochmal, LLCSchupp & Grochmalfinancial servicesinvestor protection violation2020CT-BKG$10,510
Schupp & Grochmal, LLCSchupp & Grochmalfinancial servicesinvestor protection violation2020CT-SEC$7,500
Schlumberger Oilfield HoldingsSchlumbergeroilfield services and supplieseconomic sanction violation2015OFAC$232,708,356
Cameron International CorporationSchlumbergeroilfield services and supplieseconomic sanction violation2021OFAC$1,423,766
SAP SESAPinformation technologyeconomic sanction violation2021DOJ_NATSEC$5,140,000
SAP SESAPinformation technologyeconomic sanction violation2021OFAC$2,132,174
SandRidge Energy, Inc.SandRidge Energyoil and gasinvestor protection violation2016SEC$1,400,000
Samsung International, IncSamsungdiversifiedeconomic sanction violation2003OFAC$11,000
S&T BANKS&T Bancorpfinancial servicesbanking violation2010FDIC$32,640
Standard and Poor's Financial Services LLCS&P Globalinformation technologyinvestor protection violation2015MULTI-AG$19,000,000
S&P Dow Jones Indices LLCS&P Globalinformation technologyinvestor protection violation2021SEC$9,000,000
S&P Global, Inc.S&P Globalinformation technologyeconomic sanction violation2022OFAC$78,750
S&P Global RatingsS&P Globalinformation technologyinvestor protection violation2022SEC$2,500,000
Raytheon CompanyRTX Corporationaerospace and military contractingaccounting fraud or deficiencies2006SEC$12,000,000
RPM International Inc.RPM Internationalchemicalsaccounting fraud or deficiencies2020SEC$2,022,500
Philips Electronics of North America CorporationRoyal Philipsdiversifiedeconomic sanction violation2009OFAC$128,750
City National BankRoyal Bank of Canadafinancial servicesbanking violation2010OCC$5,250
RBC Capital Markets LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2011SEC$30,400,000
City National BankRoyal Bank of Canadafinancial servicesbanking violation2005OCC$750,000
RBC Dain Rauscher IncRoyal Bank of Canadafinancial servicesinvestor protection violation2006SEC$1,500,000
RBC Capital Markets LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2016SEC$2,500,000
RBC Capital Markets CorporationRoyal Bank of Canadafinancial servicesinvestor protection violation2009SEC$125,000
Ferris, Baker Watts, Inc.Royal Bank of Canadafinancial servicesinvestor protection violation2009SEC$800,656
RBC Dain Rauscher IncorporatedRoyal Bank of Canadafinancial servicesinvestor protection violation2002SEC$500,000
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2019SEC$11,715,395
RBC Capital Markets Corp.Royal Bank of Canadafinancial servicesinvestor protection violation2010NJ-AG$51,724
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2013NJ-AG$450,000
Royal Bank of CanadaRoyal Bank of Canadafinancial servicesinvestor protection violation2009DE-AG$22,156
RBC Capital Markets LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2020SEC$3,889,007
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2013CA-DFPI$33,520
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2012MA-SEC$250,000
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2012MT-FIN$186,439
RBC Capital Markets CorporationRoyal Bank of Canadafinancial 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. $9,800,000
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2014MULTI-FIN$2,800,000
RBC Capital Markets LLC and RBC Capital Markets Arbitrage S.A.Royal Bank of Canadafinancial servicesinvestor protection violation2016FINRA$3,500,000
RBC Dain Rauscher, Inc.Royal Bank of Canadafinancial servicesinvestor protection violation2005FINRA$1,700,000
RBC Dain Rauscher, Inc.Royal Bank of Canadafinancial servicesinvestor protection violation2004FINRA$150,000
RBC Capital Markets LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2021SEC$863,326
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2021VA-SEC$10,000
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2023VA-SEC$11,000
Royal Bank of CanadaRoyal Bank of Canadafinancial servicesaccounting fraud or deficiencies2023SEC$6,000,000
City National BankRoyal Bank of Canadafinancial servicesbanking violation2024OCC$65,000,000
CBORD Group, Inc.Roper Technologieselectrical and electronic equipmenttax violations2013CT-AG$9,848
Rolls-Royce Naval Marine, Inc.Rolls-Royceaerospace and military contractingtax violations2012CT-AG$5,663
CRITTER CONTROL INC.Rollins Inc.miscellaneous servicesinvestor protection violation2018VA-SEC$23,500
Rollins Inc.Rollins Inc.miscellaneous servicesaccounting fraud or deficiencies2022SEC$8,000,000
Robinhood Financial LLCRobinhood Marketsfinancial servicesinvestor protection violation2020SEC$65,000,000
Robinhood Financial LLCRobinhood Marketsfinancial servicesinvestor protection violation2021FINRA$69,600,000
Robinhood Financial LLCRobinhood Marketsfinancial servicesinvestor protection violation2022VT-FIN$640,000
Robinhood Financial LLCRobinhood Marketsfinancial servicesinvestor protection violation2023MULTI-FIN$10,200,000
Roadrunner Transportation Systems, IncRoadrunner Transportation Systemsfreight and logisticsinvestor protection violation2023SEC$9,635,911
Riverstone Holdings LLCRiverstone Holdingsprivate equity (including portfolio companies)investor protection violation2009NY-AG$30,000,000
Rio Tinto PLCRio Tintomining and mineralsinvestor protection violation2023SEC$28,000,000
Ribbon Communications Inc. (fka Sonus Networks)Ribbon Communicationstelecommunicationsinvestor protection violation2018SEC$1,900,000
Royal Alliance Associates, SagePoint Financial and FSC Securities CorporationReverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2016SEC$9,500,000
KMS Financial Services, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2017SEC$552,086
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.