Violation Tracker

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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 Companies	Total Penalty $	Number of Records
Bank of America	$41,332,842,096	155
UBS	$27,709,494,893	134
JPMorgan Chase	$27,007,359,167	119
Citigroup	$19,742,743,935	103
Deutsche Bank	$15,634,467,278	66
Goldman Sachs	$13,126,412,841	57
NatWest Group PLC	$12,235,546,857	25
Wells Fargo	$10,735,220,989	127
Morgan Stanley	$9,877,862,956	163
BNP Paribas	$9,164,773,000	10

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	Current Parent	Current Parent Industry	Primary Offense Type	Year	Agency	Penalty Amount
Uptown National Bank of Chicago			economic sanction violation	2003	OFAC	$5,500
Wells Fargo Bank	Wells Fargo	financial services	economic sanction violation	2003	OFAC	$5,500
World Auto Parts			economic sanction violation	2003	OFAC	$5,500
Bank of Odessa			banking violation	2017	FDIC	$5,500
Gus Macker Enterprises, Inc.			tax violations	2003	NY-AG	$5,500
WOLF RIVER COMMUNITY BANK			banking violation	2012	FDIC	$5,500
BRIMFIELD BANK			banking violation	2011	FDIC	$5,500
THE PEOPLES BANK			banking violation	2010	FDIC	$5,500
OOSTBURG STATE BANK			banking violation	2010	FDIC	$5,500
LISLE SAVINGS BANK			banking violation	2010	FDIC	$5,500
FIRST BANK OF DALTON			banking violation	2010	FDIC	$5,500
UNITED-AMERICAN SAVINGS BANK			banking violation	2010	FDIC	$5,500
MARATHON SAVINGS BANK			banking violation	2010	FDIC	$5,500
SUMMIT COMMUNITY BANK			banking violation	2010	FDIC	$5,500
AFFINITY BANK OF PENNSYLVANIA			banking violation	2010	FDIC	$5,500
CRESCENT BANK			banking violation	2010	FDIC	$5,500
FARMERS AND MERCHANTS UNION BANK			banking violation	2010	FDIC	$5,500
CHRISTIANA BANK & TRUST COMPANY			banking violation	2010	FDIC	$5,500
Bank of Clarke County			banking violation	2020	FED	$5,500
Emerson Capital Corp.			investor protection violation	2014	IL-SEC	$5,500
Anabaptist Financial			investor protection violation	2019	KY-FIN	$5,500
Broadview Asset Management, LLC			investor protection violation	2007	MO-SEC	$5,500
Legacy Financial Assurance Group, Inc.			investor protection violation	2010	MO-SEC	$5,500
Tag and Tackle Outfitters, LLC			investor protection violation	2013	MO-SEC	$5,500
Successful Resource Management, Ltd.			investor protection violation	2015	MO-SEC	$5,500
Venulum Ltd.			investor protection violation	2013	SC-SEC	$5,500
Mackrow Asset Management Group			investor protection violation	2018	SC-SEC	$5,500
Cuso Equities Inc.			investor protection violation	2003	TN-SEC	$5,500
BASIN OIL & GAS CORPORATION			investor protection violation	2002	VA-SEC	$5,500
NATIONAL TENANT NETWORK, INC.			investor protection violation	2006	VA-SEC	$5,500
Pacific Watercraft Group, Inc.			investor protection violation	2018	WA-FIN	$5,500
H I Management Services Inc.			investor protection violation	2020	SC-SEC	$5,500
Fortis Group Advisors, LLC			investor protection violation	2022	CT-SEC	$5,500
C.A. Construction, Inc.			tax violations	2014	CT-AG	$5,512
Structural Concepts Engineering, Inc.			tax violations	2012	CT-AG	$5,513
Adler Consulting, Transport Planning and Traffic Engineering, PLLC			tax violations	2012	CT-AG	$5,520
Travel Dynamics, Inc.			economic sanction violation	2004	OFAC	$5,535
LAKESIDE COMMUNITY BANK			banking violation	2006	FDIC	$5,550
INTEGRITY FIRST BANK			banking violation	2010	FDIC	$5,550
FARMERS & MERCHANTS BANK OF KENDALL			banking violation	2006	FDIC	$5,555
Corporate Building Services, Inc.			tax violations	2014	CT-AG	$5,574
Inn at IronMasters, LLC			tax violations	2016	CT-AG	$5,588
Newbury Street Capital Limited Partnership			investor protection violation	2011	DC-DISB	$5,590
THE UNION BANK			banking violation	2003	FDIC	$5,600
Pace University			economic sanction violation	2004	OFAC	$5,600
Rich Worldwide Travel			economic sanction violation	2004	OFAC	$5,600
AMBANK			banking violation	2010	FDIC	$5,600
BANK OF MONTICELLO			banking violation	2010	FDIC	$5,600
Mittler & Mercaldo Investment Advisors			investor protection violation	2015	CT-SEC	$5,600
Amada Capital Corp.			tax violations	2013	CT-AG	$5,610
Beau Rivage Resorts, Inc.	MGM Resorts International	entertainment	economic sanction violation	2004	OFAC	$5,625
Leading Edge Coaching & Development, Inc.			tax violations	2012	CT-AG	$5,625
Boardwalk Mortgage Group, LLC			investor protection violation	2008	AR-SEC	$5,631
Broker Dealer Compliance Associates, LLC			tax violations	2012	CT-AG	$5,633
AcuPowder International, LLC			tax violations	2012	CT-AG	$5,640
Midland States Bank	Midland States Bancorp	financial services	banking violation	2013	FED	$5,645
Petro-America Producing Oil and Gas Wells, Inc.			investor protection violation	2006	MO-SEC	$5,652
Rolls-Royce Naval Marine, Inc.	Rolls-Royce	aerospace and military contracting	tax violations	2012	CT-AG	$5,663
International Business Systems, Inc.			tax violations	2015	CT-AG	$5,670
ADP Workscape, Inc.			tax violations	2013	CT-AG	$5,685
Healthy Achievers, Inc.			tax violations	2013	CT-AG	$5,685
Lichlyter Consulting, Inc.			tax violations	2014	CT-AG	$5,685
Newsela, Inc.			tax violations	2016	CT-AG	$5,685
Sierra Pacific Industries Corp.	Sierra Pacific Industries	building materials	tax violations	2014	CT-AG	$5,685
Rieke Italia			economic sanction violation	2005	OFAC	$5,692
Key-Bell Corporation			economic sanction violation	2003	OFAC	$5,697
AMC Diligence, LLC			tax violations	2014	CT-AG	$5,700
Horizon Food Equipment, Inc.			tax violations	2014	CT-AG	$5,700
Kaplan K12 Learning Services, LLC	Graham Holdings	media	tax violations	2015	CT-AG	$5,700
R.S. Means Company, LLC			tax violations	2012	CT-AG	$5,700
RedWage, LLC			tax violations	2014	CT-AG	$5,700
Retail Brand Alliance Card Services, LLC			tax violations	2013	CT-AG	$5,700
Edelman Financial Services LLC			investor protection violation	2006	IL-SEC	$5,700
Used Apple Store			investor protection violation	2016	NH-BSR	$5,713
BANK OF COWETA			banking violation	2010	FDIC	$5,720
American Customer Care, Inc.			tax violations	2015	CT-AG	$5,729
Compliance Networks, LLC			tax violations	2013	CT-AG	$5,745
University of California at Los Angeles	University of California	miscellaneous services	economic sanction violation	2003	OFAC	$5,750
First Financial Tax Group			investor protection violation	2018	ID-SEC	$5,750
Samson Energy Group, LLC			investor protection violation	2015	WA-FIN	$5,750
Solium Financial Services LLC	Morgan Stanley	financial services	investor protection violation	2020	SD-SEC	$5,750
WATERSTONE BANK, SSB			banking violation	2010	FDIC	$5,775
First Bank, Upper Michigan			banking violation	2013	FDIC	$5,790
Profitable Investments, Inc.			investor protection violation	2005	MD-SEC	$5,795
TNS North America, Inc.			tax violations	2012	CT-AG	$5,798
JEFFERSON BANK OF MISSOURI			banking violation	2007	FDIC	$5,800
First Security Bank of Owensboro, Inc.			banking violation	2012	FDIC	$5,800
Meeting Street Brokerage, LLC			investor protection violation	2006	CT-SEC	$5,800
Quality Financial Concepts			investor protection violation	2003	TN-SEC	$5,800
THE OLD FORT BANKING COMPANY			banking violation	2012	FDIC	$5,815
Newbury Street Capital			investor protection violation	2011	IL-SEC	$5,825
Immediate Credit Recovery, Inc.			tax violations	2012	CT-AG	$5,828
Bank United			economic sanction violation	2003	OFAC	$5,842
The Bank of New York	Bank of New York Mellon	financial services	economic sanction violation	2005	OFAC	$5,844
Evolve Securities, Inc.			investor protection violation	2010	IL-SEC	$5,860
SerVertis REO, LLC			tax violations	2012	CT-AG	$5,865
BANK OF COMMERCE, THE			banking violation	2008	FDIC	$5,900
BANK OF ANGUILLA			banking violation	2007	FDIC	$5,900
Christiania Bank			economic sanction violation	2004	OFAC	$5,900
Metric Equipment Sales, Inc.			tax violations	2012	CT-AG	$5,925
Maryland Capital Advisors, Inc.			investor protection violation	2005	MD-SEC	$5,930