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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
UniCredit Bank AGUniCreditfinancial serviceseconomic sanction violation2019NY-MANDA$316,000,000
UniControl, Inc. economic sanction violation2021OFAC$216,464
UNICO BANK banking violation2001FDIC$12,000
UniBank for Savings banking violation2015FDIC$6,250
UniBank Fiscal Advisory Systems, Inc. tax violations2015CT-AG$18,675
Uni-Pixel Inc. investor protection violation2016SEC$750,000
Under Armour Inc.Under Armourapparelinvestor protection violation2021SEC$9,000,000
UMPQUA BANKUmpqua Holdingsfinancial servicesbanking violation2008FDIC$90,240
Umpqua BankUmpqua Holdingsfinancial servicesbanking violation2021FDIC$1,800,000
Umbrella Research, LLC investor protection violation2017SEC$16,676
UMB Financial Services, Inc. investor protection violation2008MO-SEC$43,000
UMB Bank, NAUMB Financial Corp.financial servicesbanking violation2017OCC$1,500,000
UMB Bank N.A. Investment Banking DivisionUMB Financial Corp.financial servicesinvestor protection violation2015SEC$420,000
Ulysses Partners, LLC investor protection violation2014CT-SEC$25,000
Ultramar Travel Management, Inc. tax violations2014CT-AG$5,970
Ultra Global International, Inc. investor protection violation2016MO-SEC$200,000
Ultimate Ventures, Inc. investor protection violation2005ID-SEC$2,771,378
Ultimate Ventures Inc. investor protection violation2007OR-FIN$60,000
Ultimate Business Solutions, LLC investor protection violation2015MO-SEC$18,500
UINTA BANK banking violation2014FED$9,985
UHY LLP accounting fraud or deficiencies2023PCAOB$45,000
UCI Wealth Advisors LLC investor protection violation2016ID-SEC$19,700
UC Asset LP investor protection violation2023WA-SEC$12,500
UBS Willow Management LLC and UBS Fund Advisor LLCUBSfinancial servicesinvestor protection violation2015SEC$17,500,000
UBS Warburg LLCUBSfinancial servicesinvestor protection violation2003SEC$80,000,000
UBS Warburg LLCUBSfinancial servicesinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $80,000,000
UBS Warburg and UBS PaineWebberUBSfinancial 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. $25,000,000
UBS Securities LLC and UBS Financial Services, IncUBSfinancial servicesinvestor protection violation2011NJ-AG$3,790,487
UBS Securities LLC and UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2022SEC$125,000,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2015SEC$14,400,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2005SEC$700,000
UBS Securities LLCUBSfinancial servicestoxic securities abuses2016VA-AG$850,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2010AK-DBS$733,465
UBS Securities LLCUBSfinancial servicesinvestor protection violation2010TX-SEC$6,640,432
UBS SecuritiesUBSfinancial servicestoxic securities abuses2013SEC$50,000,000
UBS O'Connor, LLCUBSfinancial servicesinvestor protection violation2013SEC$5,297,716
UBS Group AGUBSfinancial servicesbanking violation2023FED$268,500,000
UBS Global Asset ManagementUBSfinancial servicesinvestor protection violation2012SEC$300,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2017SEC$3,500,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2013DE-AG$70,077
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2007NY-AG$23,300,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2013AK-DBS$64,661
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2009MO-SEC$170,175
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2006MT-FIN$4,503,166
UBS FINANCIAL SERVICES, INC.UBSfinancial servicesinvestor protection violation2007VA-SEC$100,000
UBS FINANCIAL SERVICES, INC.UBSfinancial servicesinvestor protection violation2010VA-SEC$625,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2011FINRA$10,750,000
UBS Financial Services, IncUBSfinancial servicesinvestor protection violation2013MULTI-AG$4,580,000
UBS Financial Services Inc. of Puerto RicoUBSfinancial servicesinvestor protection violation2012SEC$26,600,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2015SEC$480,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2018SEC$5,000,000
UBS Financial Services Inc.UBSfinancial servicesanti-money-laundering deficiencies2018FINCEN$5,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2011NH-BSR$1,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2012NH-BSR$72,500
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2019VA-SEC$288,970
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2014VT-FIN$325,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2013MULTI-FIN$4,600,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2019FINRA$2,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2021SEC$8,112,174
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2022SEC$925,000
UBS Financial ServicesUBSfinancial servicesinvestor protection violation2014SEC$56,400
UBS Financial ServicesUBSfinancial servicesinvestor protection violation2016SEC$15,025,882
UBS AGUBSfinancial servicesbanking violation2015FED$342,000,000
UBS AGUBSfinancial servicesinvestor protection violation2015SEC$19,500,000
UBS AGUBSfinancial serviceseconomic sanction violation2015OFAC$1,700,100
UBS AGUBSfinancial servicestax violations2009DOJ_TAX$780,000,000
UBS AGUBSfinancial servicestax violations2009SEC$200,000,000
UBS AGUBSfinancial servicesinvestor protection violation2021CFTC$500,000
UBS (USA) IncUBSfinancial serviceseconomic sanction violation2003OFAC$14,750
UBS (USA) IncUBSfinancial serviceseconomic sanction violation2003OFAC$5,000
UBSUBSfinancial servicestoxic securities abuses2017NCUA$445,000,000
UBSUBSfinancial servicesinvestor protection violation2010MI-AG$117,000,000
UBSUBSfinancial servicesbanking violation2023TX-AG$850,000
Ubiquiti Networks, Inc. economic sanction violation2014OFAC$504,225
UASNM, Inc. investor protection violation2014SEC$100,000
UAB Mid West Group investor protection violation2020WI-FIN$250,000
U.S. Water Services, Inc. tax violations2015CT-AG$6,570
U.S. Volleyball Association economic sanction violation2003OFAC$10,000
U.S. Trust CorporationBank of Americafinancial servicesbanking violation2001FED$5,000,000
U.S. Trust CorporationBank of Americafinancial servicesanti-money-laundering deficiencies2001NY-DFS$5,000,000
U.S. Securities Intl. Corp. investor protection violation2002OR-FIN$10,000
U.S. Recycling Corp. and Metals Recycling Depot, Inc. investor protection violation2001WA-FIN$10,000
U.S. Pension Trust Corp. and U.S. College Trust Corp.U.S. Pension Trust Corp.financial servicesinvestor protection violation2010SEC$112,600,000
U.S. Media Team, LLC and Cell Wireless Corp. investor protection violation2013AZ-CC$139,000
U.S. Media Team, LLC investor protection violation2011AZ-CC$116,260
U.S. Investors Group, Inc. investor protection violation2002FL-OFR$10,000
U.S. Data Mining Group, Inc. investor protection violation2021VA-SEC$6,000
U.S. Data Mining Group investor protection violation2022MA-SEC$1,000,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesbanking violation2014OCC$51,900,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesbanking violation2006OCC$125,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesbanking violation2017OCC$15,000,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesbanking violation2017OCC$183,920
U.S. Bank National AssociationU.S. Bancorpfinancial servicesanti-money-laundering deficiencies2018OCC$75,000,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesanti-money-laundering deficiencies2018FINCEN$70,000,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesinvestor protection violation2005SEC$500,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesbanking violation2023OCC$15,000,000
U.S. Bank Municipal Securities GroupU.S. Bancorpfinancial servicesinvestor protection violation2015SEC$60,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2003SEC$32,500,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2002SEC$100,000
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
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.