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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 ParentCurrent Parent Industry sort iconPrimary Offense TypeYearAgencyPenalty Amount
JPMorgan Chase BankJPMorgan Chasefinancial serviceseconomic sanction violation2011OFAC$88,300,000
State Street Bank and Trust CompanyState Street Corp.financial servicesinvestor protection violation2016SEC$382,400,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2016SEC$10,000,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2016SEC$415,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2016SEC$1,000,000
INTL FCStoneStoneX Groupfinancial servicesaccounting fraud or deficiencies2016SEC$150,000
KeyBanc Capital Markets Inc.KeyCorpfinancial servicesaccounting fraud or deficiencies2016SEC$175,000
Ocwen Financial Corp.Ocwen Financialfinancial servicesaccounting fraud or deficiencies2016SEC$2,000,000
Guggenheim Partners Investment Management LLCGuggenheim Partnersfinancial servicesinvestor protection violation2015SEC$20,000,000
First BancorpFirst Bancorp (North Carolina)financial servicesaccounting fraud or deficiencies2015SEC$275,000
Nationwide Life Insurance CompanyNationwidefinancial servicesinvestor protection violation2015SEC$8,000,000
Macquarie Capital (USA) Inc.Macquariefinancial servicesinvestor protection violation2015SEC$15,000,000
Hampton Roads BanksharesAtlantic Union Banksharesfinancial servicesaccounting fraud or deficiencies2014SEC$200,000
Wedbush SecuritiesWedbush Securitiesfinancial servicesinvestor protection violation2014SEC$2,440,000
Charles Schwab & Co.Charles Schwab Corp.financial servicesinvestor protection violation2014SEC$61,800
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2014SEC$56,000
Investment Professionals Inc.Ameriprise Financialfinancial servicesinvestor protection violation2014SEC$67,800
J.P. Morgan SecuritiesJPMorgan Chasefinancial servicesinvestor protection violation2014SEC$54,000
Oppenheimer & Co.Oppenheimer Holdingsfinancial servicesinvestor protection violation2014SEC$61,200
Stifel Nicolaus & Co.Stifel Financialfinancial servicesinvestor protection violation2014SEC$60,000
TD AmeritradeCharles Schwab Corp.financial servicesinvestor protection violation2014SEC$100,800
UBS Financial ServicesUBSfinancial servicesinvestor protection violation2014SEC$56,400
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2014SEC$67,200
Wilmington TrustM&T Bankfinancial servicesaccounting fraud or deficiencies2014SEC$18,500,000
LavaFlow Inc.Citigroupfinancial servicesinvestor protection violation2014SEC$5,000,000
Transamerica Financial AdvisorsAegonfinancial servicesinvestor protection violation2014SEC$1,107,248
Western Asset Management CompanyFranklin Resourcesfinancial servicesinvestor protection violation2014SEC$19,400,000
ConvergEx GroupToronto-Dominion Bankfinancial servicesinvestor protection violation2013SEC$107,424,429
TD BankToronto-Dominion Bankfinancial servicesinvestor protection violation2013SEC$15,000,000
AXA RosenbergAXAfinancial servicesinvestor protection violation2011SEC$242,000,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2011SEC$10,000,000
Regions BankRegions Financialfinancial servicesinvestor protection violation2010SEC$1,000,001
U.S. Pension Trust Corp. and U.S. College Trust Corp.U.S. Pension Trust Corp.financial servicesinvestor protection violation2010SEC$112,600,000
Assurant Inc.Assurantfinancial servicesaccounting fraud or deficiencies2010SEC$3,500,000
Goldman Sachs GroupGoldman Sachsfinancial servicesbanking violation2016FED$36,300,000
1ST FINANCIAL BANK USA1st Financial Bank USAfinancial servicesbanking violation2009FDIC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $140,000
AFB&TSynovus Financialfinancial servicesbanking violation2009FDIC$7,040
BANK OF KENTUCKY, INC., THETruist Financialfinancial servicesbanking violation2009FDIC$30,415
American Express Centurion BankAmerican Expressfinancial servicesbanking violation2009FDIC$250,000
REPUBLIC BANK & TRUST COMPANYRepublic Bancorpfinancial servicesbanking violation2009FDIC$22,000
CITIZENS BUSINESS BANKCVB Financialfinancial servicesbanking violation2009FDIC$16,200
WELLS FARGO FINANCIAL BANKWells Fargofinancial servicesbanking violation2009FDIC$125,000
CompuCredit CorporationAtlanticus Holdingsfinancial servicesbanking violation2008FDIC$116,400,000
BANK OF THE CASCADESFirst Interstate Bancsystemfinancial servicesbanking violation2008FDIC$43,550
UMPQUA BANKUmpqua Holdingsfinancial servicesbanking violation2008FDIC$90,240
CATHAY BANKCathay General Bancorpfinancial servicesbanking violation2008FDIC$55,500
BUSEY BANKFirst Busey Corp.financial servicesbanking violation2006FDIC$5,200
THE RICHLAND TRUST COMPANYPark National Corp.financial servicesbanking violation2006FDIC$11,100
FIRST BANKFirst Bancorp (North Carolina)financial servicesbanking violation2004FDIC$12,000
NEW YORK COMMUNITY BANKNew York Community Bancorpfinancial servicesbanking violation2004FDIC$8,000
THE COLUMBIA BANKFulton Financialfinancial servicesbanking violation2002FDIC$7,000
Regions BankRegions Financialfinancial servicesbanking violation2009FED$135,000
Compass BankPNC Financial Servicesfinancial servicesbanking violation2009FED$70,625
Heritage Bank of CommerceHeritage Commerce Corp.financial servicesbanking violation2008FED$6,840
Capital City BankCapital City Bank Groupfinancial servicesbanking violation2007FED$85,045
Hanmi BankHanmi Financial Corp.financial servicesbanking violation2007FED$8,835
East West BankEast West Bancorpfinancial servicesbanking violation2007FED$16,245
First Interstate BankFirst Interstate Bancsystemfinancial servicesbanking violation2005FED$15,750
Citigroup Inc.Citigroupfinancial servicesbanking violation2004FED$70,000,000
Credit Agricole S.A.Credit Agricolefinancial servicesbanking violation2004FED$8,000,000
U.S. Trust CorporationBank of Americafinancial servicesbanking violation2001FED$5,000,000
Credit Suisse AGUBSfinancial serviceseconomic sanction violation2009DOJ_CRIMINAL$268,000,000
Lloyds TSB Bank PLCLloyds Banking Groupfinancial serviceseconomic sanction violation2009DOJ_CRIMINAL$175,000,000
Union Bank of California, N.A.U.S. Bancorpfinancial servicesanti-money-laundering deficiencies2007DOJ_CRIMINAL$21,600,000
American Express Bank InternationalAmerican Expressfinancial servicesanti-money-laundering deficiencies2007DOJ_CRIMINAL$55,000,000
BankAtlanticTruist Financialfinancial servicesanti-money-laundering deficiencies2006DOJ_CRIMINAL$10,000,000
American International Group, Inc.American International Groupfinancial servicesaccounting fraud or deficiencies2006DOJ_CRIMINAL$25,000,000
PNC ICLC Corp.PNC Financial Servicesfinancial servicesaccounting fraud or deficiencies2003DOJ_CRIMINAL$115,000,000
UBS AGUBSfinancial servicestax violations2009DOJ_TAX$780,000,000
Australia and New Zealand Bank Group, Ltd.Australia and New Zealand Banking Groupfinancial serviceseconomic sanction violation2009OFAC$5,750,000
A.G. Edwards and Sons Inc.Wells Fargofinancial serviceseconomic sanction violation2008OFAC$122,358
BankAtlanticTruist Financialfinancial serviceseconomic sanction violation2008OFAC$7,500
BB&TTruist Financialfinancial serviceseconomic sanction violation2007OFAC$10,000
Citigroup, N. A.Citigroupfinancial serviceseconomic sanction violation2008OFAC$16,250
Key Bank National AssociationKeyCorpfinancial serviceseconomic sanction violation2008OFAC$200,000
American Express Travel Related Services Co., Inc.American Expressfinancial serviceseconomic sanction violation2007OFAC$16,625
National Australia Bank Ltd.National Australia Bankfinancial serviceseconomic sanction violation2007OFAC$100,000
Wachovia BankWells Fargofinancial serviceseconomic sanction violation2007OFAC$11,000
ABN AMRO Bank, N.V.ABN AMROfinancial serviceseconomic sanction violation2006OFAC$40,000,000
Bank of ChinaBank of Chinafinancial serviceseconomic sanction violation2005OFAC$11,000
Fidelity Brokerage Services, Inc. dba Fidelity InvestmentsFidelity Investmentsfinancial serviceseconomic sanction violation2005OFAC$63,853
PNC BankPNC Financial Servicesfinancial serviceseconomic sanction violation2005OFAC$8,200
Seabury & Smith Inc.Marsh & McLennanfinancial serviceseconomic sanction violation2005OFAC$46,341
SunTrust BankTruist Financialfinancial serviceseconomic sanction violation2005OFAC$40,423
SunTrust BankTruist Financialfinancial serviceseconomic sanction violation2005OFAC$30,800
The Bank of New YorkBank of New York Mellonfinancial serviceseconomic sanction violation2005OFAC$5,844
Union Bank of CaliforniaU.S. Bancorpfinancial serviceseconomic sanction violation2005OFAC$5,500
Wachovia BankWells Fargofinancial serviceseconomic sanction violation2005OFAC$5,500
Wells Fargo BankWells Fargofinancial serviceseconomic sanction violation2005OFAC$42,833
ABN AMRO Bank, IncABN AMROfinancial serviceseconomic sanction violation2004OFAC$25,847
American ExpressAmerican Expressfinancial serviceseconomic sanction violation2004OFAC$18,391
American Express Bank Ltd.American Expressfinancial serviceseconomic sanction violation2004OFAC$5,041
American Express CompanyAmerican Expressfinancial serviceseconomic sanction violation2004OFAC$5,500
Arab Banking Corp.Arab Banking Corp.financial serviceseconomic sanction violation2004OFAC$5,500
Bank of AmericaBank of Americafinancial serviceseconomic sanction violation2004OFAC$13,573
Bank of ChinaBank of Chinafinancial serviceseconomic sanction violation2004OFAC$10,000
Bank of New YorkBank of New York Mellonfinancial serviceseconomic sanction violation2004OFAC$137,500
Bank of New YorkBank of New York Mellonfinancial serviceseconomic sanction violation2004OFAC$34,623
Bank of New YorkBank of New York Mellonfinancial serviceseconomic sanction violation2004OFAC$27,500
Bank of New YorkBank of New York Mellonfinancial serviceseconomic sanction violation2004OFAC$5,500
Bank OneJPMorgan Chasefinancial serviceseconomic sanction violation2004OFAC$5,500
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.