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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
Vision Securities, Inc. investor protection violation2006CT-SEC$15,000
Vision III Architects, Inc. tax violations2013CT-AG$7,613
Vision Financial Markets LLC anti-money-laundering deficiencies2019SEC$625,000
Virtus Investment Advisers, Inc. investor protection violation2015SEC$16,500,000
Virtual Mining Corp. and Active Mining Corp. investor protection violation2015MO-SEC$43,115
Virtua Capital Management, LLC investor protection violation2022SEC$1,864,089
Virtu ITG Canada Corp. investor protection violation2020SEC$200,000
Virtu Americas LLCVirtu Financialfinancial servicesinvestor protection violation2019SEC$1,500,000
Virginia Commercial Capital Corp. investor protection violation2012IL-SEC$18,500
VipBinary.com et al. investor protection violation2012MD-SEC$25,000
Vining Sparks IBG, L.P. investor protection violation2010CT-SEC$20,000
Viking Credit Master, LLC tax violations2012CT-AG$6,990
Vika Ventures LLC investor protection violation2023SEC$8,929,120
VII Peaks Capital, LLC investor protection violation2021SEC$1,030,699
Victory H2O Distribution, LLC investor protection violation2017MI-SEC$30,000
Victory Asset investor protection violation2018CFTC$1,800,000
Victoire Finance Capital LLC investor protection violation2008SEC$215,631
Viatical Center, Inc. investor protection violation2002AZ-CC$12,500
VI Capital Management, LLC investor protection violation2018WA-FIN$12,500
vFinance Investments, Inc. investor protection violation2008SEC$26,559
vFinance Investments, Inc. investor protection violation2005SEC$50,000
vFinance Investments, Inc. investor protection violation2009FINRA$27,500
VFG, LLC fka Voyager Financial Group, LLC investor protection violation2014FL-OFR$60,000
Veterinary Information Network, Inc. tax violations2016CT-AG$6,750
Veteri Place Corp. investor protection violation2018SEC$75,000
Vestreon Funding, L.L.C. investor protection violation2006IL-SEC$10,000
Vested Securities, LLC investor protection violation2023ME-SEC$6,698
Vespers, LLC investor protection violation2012HI-SEC$230,000
Vesper Corp. economic sanction violation2007OFAC$23,800
Verus Capital Partners, LLC investor protection violation2021SEC$45,000
Verto Capital Management LLC investor protection violation2018SEC$620,594
Verto Capital Management investor protection violation2017SEC$4,158,517
Vertical Securities, LLC and Vertical Group, LLC investor protection violation2005MO-SEC$5,000
Vertical Integration Group LLC dba Churchill Clearing Corp. investor protection violation2014FL-OFR$550,000
Vertical Capital Partners, Inc. investor protection violation2007SEC$490,432
Vertical Capital Asset Management, LLC investor protection violation2017SEC$9,034,957
Verrazano Enterprises, Inc. tax violations2021NY-AG$189,000
Vero Capital Management LLC accounting fraud or deficiencies2015SEC$3,068,706
VERMILLION STATE BANK banking violation2011FDIC$8,000
VERMILLION STATE BANK banking violation2010FDIC$9,800
Verizon Service Corp. and Verizon New EnglandVerizon Communicationstelecommunicationstax violations2012MA-AG$317,909
Verizon BusinessVerizon Communicationstelecommunicationsaccounting fraud or deficiencies2007OK-AG$11,700,000
VERITRAX CORPORATION investor protection violation2011VA-SEC$1,550,000
Verifone, Inc.Francisco Partnersprivate equity (including portfolio companies)tax violations2012CT-AG$6,205
VeriFone Holdings, Inc.Francisco Partnersprivate equity (including portfolio companies)accounting fraud or deficiencies2009SEC$25,000
Vericorp, Inc. investor protection violation2012CA-DFPI$8,200,000
Veredus Corp. tax violations2015CT-AG$6,285
Verdugo Gift Company investor protection violation2021AZ-CC$6,988,143
Verde Bio Holdings Inc. investor protection violation2023SEC$90,000
Veravest Investments, Inc. investor protection violation2003FL-OFR$5,000
Veracode, Inc. tax violations2014CT-AG$5,385
Venulum Ltd. investor protection violation2013SC-SEC$5,500
Venture Capital Investments LLC investor protection violation2020CFTC$900,604
Ventura Foods, LLCVentura Foodsfood productstax violations2013CT-AG$35,235
Vee-Marine Int'l Corp. economic sanction violation2003OFAC$24,750
VCAP Securities investor protection violation2015SEC$1,477,332
VC Direct Solutions investor protection violation2013ME-SEC$8,000
VBit Technologies Inc investor protection violation2022WA-SEC$15,000
VBIT Technologies Corp et al. investor protection violation2023MT-FIN$338,507
Vasilios Community Development Corporation investor protection violation2016VA-SEC$250,000
Vasari Energy Inc. investor protection violation2017PA-BKG$7,500
Varian, Inc.Agilent Technologiesmiscellaneous manufacturingeconomic sanction violation2007OFAC$114,958
Varel Holdings, Inc economic sanction violation2009OFAC$110,000
Varco International, Inc.NOV Inc.oilfield services and supplieseconomic sanction violation2003OFAC$7,428
Vanguard Organizations, Inc. tax violations2014CT-AG$7,560
Vanguard Advisers Inc.Vanguard Groupfinancial servicesinvestor protection violation2017PA-BKG$23,480
VanDuyne, Bruno & Co., P.A. accounting fraud or deficiencies2017PCAOB$10,000
Vandham Securities Corp. investor protection violation2019SEC$200,000
Vanderbilt Capital Advisors LLC investor protection violation2002SEC$125,000
Van Wagoner Capital Management, Inc. investor protection violation2004SEC$800,000
Van On State, LLC investor protection violation2005MD-SEC$15,000
Van Eck Associates Corporation investor protection violation2024SEC$1,750,000
Valuepoint Partners, Inc. investor protection violation2012MO-SEC$5,000
Value Line Inc. investor protection violation2009SEC$43,705,765
Valor Capital Asset Management, LLC investor protection violation2018SEC$715,871
Valor Capital Asset Management LLC investor protection violation2016TX-SEC$48,000
Valo Holdings Group investor protection violation2023SEC$668,240
VALLEY BUSINESS BANK banking violation2011FDIC$12,600
VALLEY BANK AND TRUST CO. banking violation2009FDIC$9,200
VALLEY BANK banking violation2008FDIC$12,000
Valley Bank banking violation2012FDIC$5,400
VALLEY BANK banking violation2011FDIC$45,000
VALLEY BANK banking violation2010FDIC$22,000
Valkyrie, Inc. investor protection violation2009WA-FIN$10,000
Validea Capital Management LLC investor protection violation2023CT-SEC$5,250
Valiant Industries Inc. et al. investor protection violation2016IN-SEC$13,000
VALIANT HEALTH CARE, INC. investor protection violation2012VA-SEC$92,528
Valiant Bank AG tax violations2015DOJ_TAX$3,304,000
Valentine Capital Asset Management, Inc.? investor protection violation2010SEC$432,007
Vale S.A.Vale S.A.mining and mineralsaccounting fraud or deficiencies2023SEC$55,900,000
VAILSHIRE CAPITAL MANAGEMENT, LLC investor protection violation2023FL-OFR$5,000
Vadian Bank AG tax violations2015DOJ_TAX$4,253,000
Vaccaro Consultant, LLC investor protection violation2016NJ-BOS$1,500,000
V Wealth Advisers, LLC investor protection violation2020MO-SEC$7,500
UVEST Financial Services Group, Inc.LPL Financialfinancial servicesinvestor protection violation2013MULTI-FIN$750,000
UTF Trucking, Inc. tax violations2014CT-AG$14,655
Ustocktrade LLC investor protection violation2023SEC$75,000
USI-Tech Limited investor protection violation2020SC-SEC$50,000
Used Apple Store investor protection violation2016NH-BSR$5,713
USDB Group Inc. aka US Deposit Brokers Group aka USDB investor protection violation2011AZ-CC$606,325
USAA Federal Savings BankUSAAfinancial servicesbanking violation2020OCC$85,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.