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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
Tyche Asset Management LLC et al. investor protection violation2023CFTC$21,308,692
CSK Auto CorporationO'Reilly Automotiveretailingaccounting fraud or deficiencies2011DOJ_CRIMINAL$20,900,000
Chemical Trust, U.S. Guarantee Corp., and United Marketing Trust investor protection violation2000SEC$20,590,000
CitigroupCitigroupfinancial servicestoxic securities abuses2011NCUA$20,500,000
Prime Group Holdings LLC investor protection violation2023SEC$20,500,000
Synergy Oil, LLC investor protection violation2014CA-DFPI$20,400,047
UniCredit Bank Austria AGUniCreditfinancial 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. $20,326,340
Renaissance Management, LLC et al. investor protection violation2016CA-DFPI$20,275,000
Oppenheimer & Co., Inc.Oppenheimer Holdingsfinancial servicesanti-money-laundering deficiencies2015FINCEN$20,000,000
Edward D. Jones & Co. LPJones Financialfinancial servicesinvestor protection violation2015SEC$20,000,000
JPMorgan Chase BankJPMorgan Chasefinancial servicesaccounting fraud or deficiencies2012CFTC$20,000,000
Guggenheim Partners Investment Management LLCGuggenheim Partnersfinancial servicesinvestor protection violation2015SEC$20,000,000
CVS Caremark Corp.CVS Healthretailingaccounting fraud or deficiencies2014SEC$20,000,000
Scientific-Atlanta, Inc.Cisco Systemselectrical and electronic equipmentaccounting fraud or deficiencies2006SEC$20,000,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2005SEC$20,000,000
Franklin Advisers, Inc. and Franklin Templeton Distributors, Inc.Franklin Resourcesfinancial servicesinvestor protection violation2004SEC$20,000,000
Bank of America CorporationBank of Americafinancial servicesinvestor protection violation2014SEC$20,000,000
Tesla Inc.Tesla Inc.motor vehiclesinvestor protection violation2018SEC$20,000,000
Clovis Oncology Inc.Clovis Oncologypharmaceuticalsinvestor protection violation2018SEC$20,000,000
Carlyle GroupCarlyle Groupprivate equity (including portfolio companies)investor protection violation2009NY-AG$20,000,000
OppenheimerFunds Inc.Invescofinancial servicesinvestor protection violation2009OR-AG$20,000,000
Royal Bank of ScotlandNatWest Group PLCfinancial servicestoxic securities abuses2018IL-AG$20,000,000
The Hartford Financial Services GroupHartford Financial Servicesfinancial servicesinvestor protection violation2006MULTI-AG$20,000,000
Herbalife Nutrition Ltd.Herbalifefood productsaccounting fraud or deficiencies2019SEC$20,000,000
UniCredit Bank Austria AGUniCreditfinancial serviceseconomic sanction violation2019NY-MANDA$20,000,000
ABN AMROABN AMROfinancial serviceseconomic sanction violation2005NY-DFS$20,000,000
Wells Fargo & Co.Wells Fargofinancial servicesinvestor protection violation2020MD-AG$20,000,000
Andeavor LLCMarathon Petroleumoil and gasaccounting fraud or deficiencies2020SEC$20,000,000
Deloitte Touche Tohmatsu Certified Public Accountants LLP (Deloitte-China)Deloittebusiness servicesaccounting fraud or deficiencies2022SEC$20,000,000
Deloitte & ToucheDeloittebusiness servicesinvestor protection violation2012MI-AG$19,900,000
Pacific Investment Management Company (PIMCO) investor protection violation2016SEC$19,829,807
John Hancock Investment Management Services, LLCManulife Financialfinancial servicesinvestor protection violation2007SEC$19,787,879
American Financial Investments, LLC investor protection violation2022AZ-CC$19,724,875
UBS AGUBSfinancial servicesinvestor protection violation2015SEC$19,500,000
Countrywide Securities Corporation and Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicestoxic securities abuses2016VA-AG$19,500,000
Williams Advisory Group, LLC investor protection violation2018CFTC$19,450,034
Western Asset Management CompanyFranklin Resourcesfinancial servicesinvestor protection violation2014SEC$19,400,000
DFRF Enterprises LLC and DFRF Enterprises, LLC investor protection violation2019SEC$19,390,352
Deutsche Investment Management Americas, Inc. et al.Deutsche Bankfinancial servicesinvestor protection violation2006SEC$19,329,729
Citigroup, Inc.Citigroupfinancial servicesaccounting fraud or deficiencies2003SEC$19,000,000
QwestLumen Technologiestelecommunicationsaccounting fraud or deficiencies2007AK-AG$19,000,000
Standard and Poor's Financial Services LLCS&P Globalinformation technologyinvestor protection violation2015MULTI-AG$19,000,000
Summit Trust Company accounting fraud or deficiencies2015SEC$18,900,000
Chatham Asset Management LLCChatham Asset Managementfinancial servicesinvestor protection violation2023SEC$18,800,000
KBL (Switzerland) Ltd. tax violations2015DOJ_TAX$18,792,000
Green Screen Partners, LLC et al. investor protection violation2002CA-DFPI$18,592,430
Wilmington TrustM&T Bankfinancial servicesaccounting fraud or deficiencies2014SEC$18,500,000
Deutsche BankDeutsche Bankfinancial servicesinvestor protection violation2016SEC$18,500,000
Presbyterian Healthcare tax violations2017NM-AG$18,500,000
iFinex Inc. et al. investor protection violation2021NY-AG$18,500,000
Citigroup Global MarketsCitigroupfinancial servicesinvestor protection violation2017SEC$18,300,000
ICP Asset Management investor protection violation2012SEC$18,275,033
Pruco Securities, LLCPrudential Financialfinancial servicesinvestor protection violation2020SEC$18,252,341
AgFeed Industries accounting fraud or deficiencies2014SEC$18,000,000
Allianz Dresdner Asset Management of America LPAllianzfinancial servicesinvestor protection violation2004NJ-AG$18,000,000
Franklin/Templeton Distributors, Inc.Franklin Resourcesfinancial servicesinvestor protection violation2004CA-AG$18,000,000
Markstone Capital Group LLC investor protection violation2010NY-AG$18,000,000
Waddell & Reed, Inc.Macquariefinancial servicesinvestor protection violation2005MULTI-FIN$18,000,000
BMW AGBMWmotor vehiclesaccounting fraud or deficiencies2020SEC$18,000,000
RBS Financial Products, Inc.NatWest Group PLCfinancial servicestoxic securities abuses2020MD-AG$18,000,000
MIO Partners Inc. investor protection violation2021SEC$18,000,000
Baxter International Inc.Baxter Internationalmedical equipment and suppliesaccounting fraud or deficiencies2022SEC$18,000,000
Digital World Acquisition Corp. investor protection violation2023SEC$18,000,000
AssetMark Inc. investor protection violation2023SEC$18,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2024SEC$18,000,000
Citibank, N.A.Citigroupfinancial servicesbanking violation2020OCC$17,998,510
BioChemics Inc. investor protection violation2015SEC$17,897,887
CanAm Capital Corp. et al. investor protection violation2012CA-DFPI$17,860,000
Societe Generale Private Banking (Suisse) SASociete Generalefinancial servicestax violations2015DOJ_TAX$17,807,000
UBS Willow Management LLC and UBS Fund Advisor LLCUBSfinancial servicesinvestor protection violation2015SEC$17,500,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2013MA-SEC$17,500,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargofinancial servicesinvestor protection violation2019SEC$17,363,847
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2009SEC$17,300,000
Wells FargoWells Fargofinancial servicestoxic securities abuses2018IL-AG$17,250,000
Deutsche Asset Management, Inc. and Deutsche Investment Management Americas, Inc.Deutsche Bankfinancial servicesinvestor protection violation2006SEC$17,200,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2007SEC$17,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesanti-money-laundering deficiencies2016FINRA$17,000,000
The Options Clearing Corporation investor protection violation2023SEC$17,000,000
1st Global Advisors, Inc. investor protection violation2021SEC$16,873,153
Christie's Inc. tax violations2020NY-MANDA$16,700,000
Whispering Winds Properties, L.L.C et al. investor protection violation2009AZ-CC$16,633,570
Bank of America N.A.Bank of Americafinancial serviceseconomic sanction violation2014OFAC$16,562,700
CG Technology LP (formerly Cantor Gaming) anti-money-laundering deficiencies2016USAO$16,500,000
Virtus Investment Advisers, Inc. investor protection violation2015SEC$16,500,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesanti-money-laundering deficiencies2016FINRA$16,500,000
Northwestern Mutual Investment Services LLCNorthwestern Mutualfinancial servicesinvestor protection violation2024SEC$16,500,000
The Chamber Group, Inc. investor protection violation2002AZ-CC$16,342,404
Berkshire Resources, L.L.C. investor protection violation2010SEC$16,255,846
Murtha Cullina LLP investor protection violation2007CT-AG$16,250,000
Forstmann Little & Co. investor protection violation2004CT-AG$16,200,000
DCAST Capital Investments LLCandFive Traders LLC investor protection violation2023CFTC$16,087,440
ICOBox investor protection violation2020SEC$16,059,428
Riggs BankPNC Financial Servicesfinancial servicesanti-money-laundering deficiencies2005USAO$16,000,000
Gabelli Funds LLCGamco Investors Inc.financial servicesinvestor protection violation2008SEC$16,000,000
Hertz Global Holdings, Inc.Hertzmiscellaneous servicesinvestor protection violation2018SEC$16,000,000
Nationwide Retirement Solutions investor protection violation2010AL-AG$16,000,000
BDO SeidmanBDO Internationalbusiness servicesaccounting fraud or deficiencies2002USAO$16,000,000
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
Mondelez GlobalMondelez Internationalfood productsinvestor protection violation2022CFTC$16,000,000
U.S. Bancorp Investments, Inc.U.S. Bancorpfinancial servicesinvestor protection violation2020SEC$15,992,441
Financial Tree Trust et al. investor protection violation2022CFTC$15,900,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.