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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
Financial Tree Trust et al. investor protection violation2022CFTC$15,900,000
Medsis International, Inc. investor protection violation2024SEC$15,871,200
GetAnswers, Inc. investor protection violation2007SEC$15,713,676
Capital Financial Partners, LLC et al. investor protection violation2017SEC$15,700,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2018SEC$15,700,000
Arcturus Corporation and Aschere Energy LLC investor protection violation2017SEC$15,500,000
Piguet Galland & Cie SA tax violations2015DOJ_TAX$15,365,000
Omega Knight 2, LLC investor protection violation2019CFTC$15,257,028
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2022FINRA$15,200,000
Migros Bank AG tax violations2015DOJ_TAX$15,037,000
UBS Financial ServicesUBSfinancial servicesinvestor protection violation2016SEC$15,025,882
Citigroup Global MarketsCitigroupfinancial servicesinvestor protection violation2015SEC$15,000,000
Bankrate Inc.Red Venturesbusiness servicesaccounting fraud or deficiencies2015SEC$15,000,000
Macquarie Capital (USA) Inc.Macquariefinancial servicesinvestor protection violation2015SEC$15,000,000
TD BankToronto-Dominion Bankfinancial servicesinvestor protection violation2013SEC$15,000,000
Sigue Corporation anti-money-laundering deficiencies2008DOJ_CRIMINAL$15,000,000
RenaissanceRe Holdings Ltd.RenaissanceRe Holdingsfinancial servicesaccounting fraud or deficiencies2007SEC$15,000,000
Elan Corporation, plcPerrigopharmaceuticalsaccounting fraud or deficiencies2005SEC$15,000,000
Allergan Inc.AbbViepharmaceuticalsinvestor protection violation2017SEC$15,000,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesbanking violation2017OCC$15,000,000
Shake-N-Go Fashion Inc. and Model Model Hair Fashion Inc. anti-money-laundering deficiencies2014USAO$15,000,000
US BancorpU.S. Bancorpfinancial servicesbanking violation2018FED$15,000,000
Elemetal LLC anti-money-laundering deficiencies2018USAO$15,000,000
PNC Bank, National AssociationPNC Financial Servicesfinancial servicesbanking violation2018OCC$15,000,000
Moody's Investors Service, Inc.Moody'sinformation technologyinvestor protection violation2018SEC$15,000,000
Ingram Micro Inc.Platinum Equityprivate equity (including portfolio companies)investor protection violation2009SEC$15,000,000
Fiserv Securities, Inc.Fidelity Investmentsfinancial servicesinvestor protection violation2005SEC$15,000,000
McKinsey & Company, Inc.McKinseybusiness servicesbankruptcy professional violation2019DOJ_UTP$15,000,000
Conseco, Inc.CNO Financialfinancial servicesinvestor protection violation2004NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $15,000,000
The Options Clearing Corporation investor protection violation2019SEC$15,000,000
BGC Financial, LPBGC Partnersfinancial servicesinvestor protection violation2019CFTC$15,000,000
First Bank of Delaware banking violation2012FDIC$15,000,000
NissanNissanmotor vehiclesaccounting fraud or deficiencies2019SEC$15,000,000
Raymond James & Associates, Inc. et al.Raymond James Financialfinancial servicesinvestor protection violation2019SEC$15,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2008MULTI-FIN$15,000,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial 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. $15,000,000
Ernst & Young, LLPErnst & Youngbusiness servicestax violations2003IRS$15,000,000
Goldman SachsGoldman Sachsfinancial servicesinvestor protection violation2023CFTC$15,000,000
HSBC Securities (USA) Inc.HSBCfinancial servicesinvestor protection violation2023SEC$15,000,000
MUFG Union Bank, National AssociationU.S. Bancorpfinancial servicesbanking violation2023OCC$15,000,000
American Express National BankAmerican Expressfinancial servicesbanking violation2023OCC$15,000,000
Houlihan Lokey Capital, Inc. investor protection violation2023SEC$15,000,000
Bancredito International Bank and Trust Corporation anti-money-laundering deficiencies2023FINCEN$15,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chasefinancial servicesinvestor protection violation2023CFTC$15,000,000
Robert W. Baird & Co. Inc. investor protection violation2023SEC$15,000,000
Shinhan Bank America anti-money-laundering deficiencies2023FINCEN$15,000,000
Metropolitan Commercial Bank anti-money-laundering deficiencies2023NY-DFS$15,000,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesbanking violation2023OCC$15,000,000
Guggenheim Securities LLC investor protection violation2024SEC$15,000,000
J.C. Reed & Co. investor protection violation2013SEC$14,910,003
Yes Entertainment, LLC investor protection violation2000SEC$14,546,808
Fluor CorporationFluorconstruction and engineeringaccounting fraud or deficiencies2023SEC$14,500,000
Metropolitan Commercial Bank banking violation2023FED$14,500,000
Wells Fargo Bank, N.A.Wells Fargofinancial servicesinvestor protection violation2019CFTC$14,475,000
Tycoon Trading, LLC investor protection violation2022AK-DBS$14,439,086
UBS Securities LLCUBSfinancial servicesinvestor protection violation2015SEC$14,400,000
Linkbrokers Derivatives LLC investor protection violation2014SEC$14,000,000
United Rentals, IncUnited Rentalsmiscellaneous servicesaccounting fraud or deficiencies2008SEC$14,000,000
EDGA Exchange, Inc. and EDGX Exchange, Inc. investor protection violation2015SEC$14,000,000
New York Stock ExchangeIntercontinentalExchange Groupfinancial servicesinvestor protection violation2018SEC$14,000,000
Union Bancaire Privee, UBP SAUnion Bancaire Priveefinancial servicestax violations2020DOJ_TAX$14,000,000
Dental Support Plus Franchise, LLC investor protection violation2018AZ-CC$13,614,954
House of Oxford Inc. tax violations2014USAO$13,600,000
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2015FINRA$13,500,000
Eagle Bancorp, Inc. investor protection violation2022SEC$13,350,493
Branded Marketing LLC investor protection violation2015NJ-AG$13,300,000
Expedia, Inc.Expedia Groupmiscellaneous servicestax violations2015HI-AG$13,275,000
Orbitz LLCExpedia Groupmiscellaneous servicestax violations2015HI-AG$13,275,000
Priceline.Com, LLPBooking Holdingsmiscellaneous servicestax violations2015HI-AG$13,275,000
Travelocity.Com LLPExpedia Groupmiscellaneous servicestax violations2015HI-AG$13,275,000
Success Trade Inc. investor protection violation2015DC-DISB$13,179,804
Kooima & Kaemingk Commodities, Inc. investor protection violation2018CFTC$13,170,857
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2017FINRA$13,030,000
Alere Inc.Abbott Laboratoriespharmaceuticalsaccounting fraud or deficiencies2017SEC$13,023,885
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2017SEC$13,000,000
Mondelez International, Inc.Mondelez Internationalfood productsaccounting fraud or deficiencies2017SEC$13,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesanti-money-laundering deficiencies2017SEC$13,000,000
Tesla Energy Solutions (fka SolarCity) and Novogradac & Company LLPTesla Inc.motor vehiclestax violations2018OR-AG$13,000,000
A Chicago Convention Center, LLC and Intercontinental Regional Center Trust of Chicago, LLC investor protection violation2014SEC$12,950,000
Blockchain Credit Partners investor protection violation2021SEC$12,849,354
SHE Beverage Company, Inc. investor protection violation2024SEC$12,760,274
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2017SEC$12,710,040
First Mortgage Corporation investor protection violation2016SEC$12,700,000
K&L International Enterprises, Inc., Signature Leisure, Inc., and Signature Worldwide Advisors, LLC investor protection violation2010SEC$12,574,582
HSBC Private Bank (Suisse)HSBCfinancial servicesinvestor protection violation2014SEC$12,500,000
Thomas Weisel Partners LLCStifel Financialfinancial servicesinvestor protection violation2004SEC$12,500,000
Bank of ChinaBank of Chinafinancial servicesbanking violation2018OCC$12,500,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $12,500,000
Apple Bank for Savings anti-money-laundering deficiencies2020FDIC$12,500,000
Synchronoss Technologies, Inc.Synchronoss Technologiesinformation technologyinvestor protection violation2022SEC$12,500,000
Newell Brands Inc.Newell Brandshousewares and home furnishingsaccounting fraud or deficiencies2023SEC$12,500,000
TPG Capital Advisors, LLCTPG Capitalprivate equity (including portfolio companies)investor protection violation2017SEC$12,487,620
Raymond James & Associates, Inc. et al.Raymond James Financialfinancial servicesinvestor protection violation2023MULTI-FIN$12,450,000
General Re CorporationBerkshire Hathawaydiversifiedaccounting fraud or deficiencies2010SEC$12,200,000
Mobile Cash Systems, LLC et al. investor protection violation2001AZ-CC$12,192,829
Baystar Capital Management LLC investor protection violation2011USAO$12,112,416
CSE Global Limited and CSE Trans Tel Pte. Ltd. economic sanction violation2017OFAC$12,027,066
BlackRock Advisors LLCBlackRockfinancial servicesinvestor protection violation2015SEC$12,000,000
McCann-Erickson WorldwideInterpublicmiscellaneous servicesaccounting fraud or deficiencies2008SEC$12,000,000
Broadcom Corp.Broadcomelectrical and electronic equipmentinvestor protection violation2008SEC$12,000,000
Raytheon CompanyRTX Corporationaerospace and military contractingaccounting fraud or deficiencies2006SEC$12,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.