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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 IndustryPrimary Offense TypeYearAgencyPenalty Amount sort icon
Cortrust Bank National Association banking violation2004OCC$5,250
Blo Blow Dry Bar Inc. tax violations2015CT-AG$5,250
Custom Exterior Systems, Inc. tax violations2016CT-AG$5,250
EXCHANGE BANK banking violation2010FDIC$5,250
Western Growers Financial Services, Inc. investor protection violation2006IL-SEC$5,250
American Alternative Investments, LLC investor protection violation2020ID-SEC$5,250
Validea Capital Management LLC investor protection violation2023CT-SEC$5,250
COLLINS CAPITAL LLC investor protection violation2024IN-SEC$5,250
Syzygy 3, Inc. tax violations2013CT-AG$5,265
COULEE BANK banking violation2009FDIC$5,270
Premier Valley Bank banking violation2015FDIC$5,280
Gant Private Financial Management investor protection violation2015PA-BKG$5,296
Parker Street Securities LLC investor protection violation2023CO-SEC$5,300
KLM CargoAir France-KLMairlineseconomic sanction violation2010OFAC$5,336
Parker Street Securities LLC investor protection violation2023CT-SEC$5,340
Northern Michigan Bank & Trust banking violation2012FDIC$5,345
BANK OF ONTARIO banking violation2009FDIC$5,350
Cuba Paquetes economic sanction violation2003OFAC$5,361
Financial Vision Advisory Services, LLC investor protection violation2020CT-BKG$5,375
Financial Vision Advisory Services, LLC investor protection violation2020CT-SEC$5,375
Patapsco Securities, Inc. dba Chapin Davis investor protection violation2008AL-SEC$5,377
Safra National Bank economic sanction violation2003OFAC$5,380
J. D'Addario & Company, Inc. economic sanction violation2005OFAC$5,385
Colonial Medical Supply Co., Inc. tax violations2016CT-AG$5,385
Elliott Enterprises, Inc. tax violations2014CT-AG$5,385
Presidio International, Inc. tax violations2013CT-AG$5,385
Veracode, Inc. tax violations2014CT-AG$5,385
PEOPLE'S BANK AND TRUST COMPANY OF PICKETT COUNTY banking violation2009FDIC$5,390
Stockman Bank of Montana banking violation2015FDIC$5,400
SOUND BANKING COMPANY banking violation2009FDIC$5,400
American Tax Funding Servicing, LLC tax violations2015CT-AG$5,400
Celldex Therapeutics, Inc. tax violations2012CT-AG$5,400
Diamond Properties Management LLC tax violations2014CT-AG$5,400
GoPro, Inc. tax violations2015CT-AG$5,400
Impala USA, Inc. tax violations2015CT-AG$5,400
Kamunting Street Capital Management, LP tax violations2014CT-AG$5,400
Pacific Resources Benefits Advisors, LLCBrown & Brownfinancial servicestax violations2014CT-AG$5,400
Peoplelink, LLC tax violations2012CT-AG$5,400
Seagate US LLC tax violations2016CT-AG$5,400
WPP Group USA, Inc.WPPbusiness servicestax violations2016CT-AG$5,400
Valley Bank banking violation2012FDIC$5,400
BANK OF NEW GLARUS, THE banking violation2010FDIC$5,400
ASF, Inc. economic sanction violation2011OFAC$5,400
DREAM DINNERS, INC. investor protection violation2010VA-SEC$5,400
AMERICAN COMMUNITY BANK banking violation2010FDIC$5,405
Western Bank banking violation2014FED$5,410
William and Alice Mortensen Foundation, Inc. tax violations2014CT-AG$5,415
WEST BANK banking violation2006FDIC$5,440
Oracle Ten Fund, L.P. tax violations2014CT-AG$5,445
Green Forest Investments and Development Company, LLC investor protection violation2009MO-SEC$5,460
Paez Real Estate Funding investor protection violation2006IL-SEC$5,462
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020KY-FIN$5,465
Citizens State Bank banking violation2014FDIC$5,470
CITIZENS BANK AND TRUST COMPANY OF CHICAGO banking violation2009FDIC$5,500
COATESVILLE SAVINGS BANK banking violation2009FDIC$5,500
SPENCER SAVINGS BANK banking violation2009FDIC$5,500
SUN SECURITY BANK banking violation2009FDIC$5,500
CENTURY BANK OF GEORGIA banking violation2008FDIC$5,500
CHELSEA SAVINGS BANK banking violation2007FDIC$5,500
FIRST UNITED BANK banking violation2006FDIC$5,500
FARMERS STATE BANK OF HOFFMAN banking violation2004FDIC$5,500
THE POCA VALLEY BANK, INC. banking violation2002FDIC$5,500
SHOREBANK banking violation2001FDIC$5,500
FIRST TUSKEGEE BANK banking violation2001FDIC$5,500
CAPITOL THRIFT AND LOAN ASSOCIATION banking violation2001FDIC$5,500
PEOPLES COMMUNITY BANK banking violation2001FDIC$5,500
Community First Bank & Trust banking violation2003FED$5,500
Confi-Dental Products, Co. economic sanction violation2008OFAC$5,500
Diversified Business Communications economic sanction violation2007OFAC$5,500
La Salle Bank Midwest, N.A. economic sanction violation2008OFAC$5,500
Lubrizol CorporationBerkshire Hathawaydiversifiedeconomic sanction violation2006OFAC$5,500
Atlantic Bank economic sanction violation2005OFAC$5,500
Union Bank of CaliforniaU.S. Bancorpfinancial serviceseconomic sanction violation2005OFAC$5,500
Wachovia BankWells Fargofinancial serviceseconomic sanction violation2005OFAC$5,500
American Express CompanyAmerican Expressfinancial serviceseconomic sanction violation2004OFAC$5,500
Arab Banking Corp.Arab Banking Corp.financial serviceseconomic sanction violation2004OFAC$5,500
Banco de Chile economic sanction violation2004OFAC$5,500
Bank of New YorkBank of New York Mellonfinancial serviceseconomic sanction violation2004OFAC$5,500
Bank OneJPMorgan Chasefinancial serviceseconomic sanction violation2004OFAC$5,500
California Federal Bank economic sanction violation2004OFAC$5,500
CitibankCitigroupfinancial serviceseconomic sanction violation2004OFAC$5,500
Commerzbank AGCommerzbankfinancial serviceseconomic sanction violation2004OFAC$5,500
Corporate One Federal Credit Union economic sanction violation2004OFAC$5,500
Deutsche BankDeutsche Bankfinancial serviceseconomic sanction violation2004OFAC$5,500
HSBC Bank USAHSBCfinancial serviceseconomic sanction violation2004OFAC$5,500
ICN Pharmaceuticals, IncBausch Healthpharmaceuticalseconomic sanction violation2004OFAC$5,500
Maersk Line, Ltd.Maerskfreight and logisticseconomic sanction violation2004OFAC$5,500
P.J. Caputo Shipping, Inc economic sanction violation2004OFAC$5,500
SeaMates International, Inc. economic sanction violation2004OFAC$5,500
Stanford Research Systems economic sanction violation2004OFAC$5,500
Trade Arbed, Inc economic sanction violation2004OFAC$5,500
World-Wide Sires Inc. economic sanction violation2004OFAC$5,500
Credit Lyonnais, NYCredit Agricolefinancial serviceseconomic sanction violation2003OFAC$5,500
Deutsche Bank A.G.Deutsche Bankfinancial serviceseconomic sanction violation2003OFAC$5,500
Felins USA Inc economic sanction violation2003OFAC$5,500
HSBC Bank USAHSBCfinancial serviceseconomic sanction violation2003OFAC$5,500
MashreqBank economic sanction violation2003OFAC$5,500
National City BankPNC Financial Servicesfinancial serviceseconomic sanction violation2003OFAC$5,500
Polsteam USA, Inc. economic sanction violation2003OFAC$5,500
State Bank of India economic sanction violation2003OFAC$5,500
Uptown National Bank of Chicago economic sanction violation2003OFAC$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.