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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
Banc of America Investment Services Inc.Bank of Americafinancial servicesinvestor protection violation2004FINRA$200,000
Banc of America Investment Services, Inc.Bank of Americafinancial servicesinvestor protection violation2008SEC$9,763,634
Banc of America Investment Services, Inc.Bank of Americafinancial servicesinvestor protection violation2009SEC$150,000
Banc of America Investment Services, Inc.Bank of Americafinancial servicesinvestor protection violation2006IL-SEC$250,000
Banc of America Investment Services, Inc.Bank of Americafinancial servicesinvestor protection violation2008MD-SEC$10,000
Banc of America Investment Services, Inc., and Bacap Distributors, LLCBank of Americafinancial servicesinvestor protection violation2005SEC$1,500,000
Banc of America Securities LLCBank of Americafinancial servicesinvestor protection violation2006SEC$750,000
Banc of America Securities LLCBank of Americafinancial servicesinvestor protection violation2010NJ-AG$1,268,393
Banc of America Securities LLCBank of Americafinancial servicesinvestor protection violation2001FINRA$40,000
Banc One Capital Markets, Inc. investor protection violation2001FINRA$1,800,000
Banca Commerciale Italiana economic sanction violation2004OFAC$6,450
Banca Credinvest SA tax violations2015DOJ_TAX$3,022,000
Banca dello Stato del Cantone Ticino tax violations2015DOJ_TAX$3,393,000
Banca IMI Securities Corp.Intesa Sanpaolofinancial servicesinvestor protection violation2017SEC$35,300,000
BancBoston Robertson Stephens investor protection violation2001FINRA$10,000
Banco Bilbao Vizcaya Argentaria, S.A.Banco Bilbao Vizcaya Argentariafinancial servicesbanking violation2016FED$27,000,000
Banco Bradesco S.A economic sanction violation2003OFAC$9,000
Banco Colpatria, S.A. economic sanction violation2010OFAC$91,849
Banco Comercial Portugues, S.A. investor protection violation2013SEC$1,892,058
Banco de Chile economic sanction violation2004OFAC$5,500
Banco do Brasil economic sanction violation2004OFAC$10,162
Banco do Brasil, S.A. economic sanction violation2015OFAC$139,500
Banco Do Estado Do Parana banking violation2000OCC$75,000
BANCO ESPIRITO SANTO S. A. banking violation2012FED$975,000
Banco Espirito Santo S.A. investor protection violation2011SEC$7,000,000
Banco Espirito Santo S.A. investor protection violation2011NY-AG$975,000
Banco Espirito Santo, S.A. investor protection violation2011NJ-AG$1,900,000
BANCO INDUSTRIAL DE VENEZUELA, C. A. banking violation2011FED$600,000
Banco Popular de Puerto RicoPopular Inc.financial servicesanti-money-laundering deficiencies2003DOJ_CRIMINAL$21,600,000
Banco Popular de Puerto RicoPopular Inc.financial serviceseconomic sanction violation2022OFAC$255,938
Bancomer S.A. economic sanction violation2003OFAC$5,000
Bancorp Bank banking violation2015FDIC$4,300,000
BANCORPSOUTH BANKCadence Bankfinancial servicesbanking violation2011FDIC$46,500
Bancredito International Bank and Trust Corporation anti-money-laundering deficiencies2023FINCEN$15,000,000
Bancroft State Bank banking violation2014FDIC$15,065
Bancwest Investment Services, Inc. investor protection violation2020SEC$406,432
Bandco Check Cashing Services, Inc. anti-money-laundering deficiencies2004NY-DFS$50,000
Bander Law Firm, PLLC investor protection violation2015SEC$273,184
BANGOR SAVINGS BANK banking violation2007FDIC$22,715
Bank CIC tax violations2015DOJ_TAX$3,281,000
Bank Coop AG tax violations2015DOJ_TAX$3,223,000
Bank EKI Genossenschaft tax violations2015DOJ_TAX$400,000
BANK FORWARD (F/K/A SECURITY STATE BANK OF NORTH DAKOTA) banking violation2007FDIC$10,400
Bank Hapoalim B.M,Bank Hapoalimfinancial servicestax violations2020FED$37,350,000
Bank Hapoalim B.M.Bank Hapoalimfinancial servicestax violations2020NY-DFS$220,000,000
Bank Hapoalim B.M. and Bank Hapoalim (Switzerland) Ltd.Bank Hapoalimfinancial servicestax violations2020DOJ_TAX$616,910,000
Bank J. Safra Sarasin AG tax violations2015DOJ_TAX$85,809,000
Bank Julius Baer & Co. Ltd.Julius Baer Groupfinancial servicestax violations2016DOJ_TAX$547,000,000
Bank Julius Baer & Co. Ltd.Julius Baer Groupfinancial servicesmoney laundering2021DOJ_CRIMINAL$79,000,000
Bank La Roche & Co AG tax violations2015DOJ_TAX$9,296,000
Bank LeumiBank Leumifinancial servicesinvestor protection violation2016SEC$1,600,000
Bank LeumiBank Leumifinancial servicestax violations2014NY-DFS$130,000,000
Bank Leumi GroupBank Leumifinancial servicestax violations2014DOJ_TAX$270,000,000
Bank Linth LLB AG tax violations2015DOJ_TAX$4,150,000
Bank Lombard Odier & Co Ltd tax violations2015DOJ_TAX$99,809,000
BANK OF AGRICULTURE AND COMMERCE banking violation2009FDIC$100,000
Bank of AmericaBank of Americafinancial servicesinvestor protection violation2010SEC$150,000,000
Bank of AmericaBank of Americafinancial servicestoxic securities abuses2013FHFA$404,000,000
Bank of AmericaBank of Americafinancial servicestoxic securities abuses2013FHFA$10,350,000,000
Bank of AmericaBank of Americafinancial serviceseconomic sanction violation2004OFAC$13,573
Bank of AmericaBank of Americafinancial serviceseconomic sanction violation2003OFAC$158,038
Bank of AmericaBank of Americafinancial 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. $50,000,000
Bank of America Corp.Bank of Americafinancial servicesanti-money-laundering deficiencies2006NY-MANDA$7,500,000
BANK OF AMERICA CORPORATIONBank of Americafinancial servicesbanking violation2015FED$205,000,000
Bank of America CorporationBank of Americafinancial servicesinvestor protection violation2009SEC$33,000,000
Bank of America CorporationBank of Americafinancial servicesinvestor protection violation2014SEC$20,000,000
Bank of America Merrill LynchBank of Americafinancial servicesinvestor protection violation2018NY-AG$42,000,000
Bank of America N.A.Bank of Americafinancial serviceseconomic sanction violation2014OFAC$16,562,700
Bank of America NABank of Americafinancial servicesbanking violation2022OCC$125,000,000
Bank of America, National AssociationBank of Americafinancial servicesbanking violation2015OCC$1,104,530
Bank of America, National AssociationBank of Americafinancial servicesbanking violation2015OCC$30,000,000
Bank of America, National AssociationBank of Americafinancial servicesbanking violation2014OCC$250,000,000
BANK OF ANGUILLA banking violation2007FDIC$5,900
Bank of Bluffs banking violation2019FDIC$18,812
BANK OF BLUFFS banking violation2010FDIC$7,150
Bank of Boston and Sure Trade economic sanction violation2004OFAC$58,944
Bank of Camilla banking violation2014FDIC$10,000
Bank of ChinaBank of Chinafinancial serviceseconomic sanction violation2005OFAC$11,000
Bank of ChinaBank of Chinafinancial serviceseconomic sanction violation2004OFAC$10,000
Bank of ChinaBank of Chinafinancial servicesbanking violation2002OCC$10,000,000
Bank of ChinaBank of Chinafinancial servicesbanking violation2018OCC$12,500,000
Bank of China (UK) LimitedBank of Chinafinancial serviceseconomic sanction violation2021OFAC$2,329,991
Bank of Clarke County banking violation2020FED$5,500
BANK OF CLOVIS, THE banking violation2010FDIC$18,825
BANK OF COMMERCE, THE banking violation2008FDIC$5,900
Bank of Coushatta banking violation2013FDIC$20,000
BANK OF COWETA banking violation2010FDIC$5,720
Bank of Dade banking violation2013FDIC$20,000
Bank of England banking violation2021FDIC$129,800
Bank of Fayette County banking violation2018FED$12,000
BANK OF GUAM banking violation2008FDIC$7,780
Bank of Guam economic sanction violation2013OFAC$27,000
Bank of Gueydan banking violation2014FED$10,545
Bank of Gueydan banking violation2017FED$7,000
Bank of Hampton RoadsAtlantic Union Banksharesfinancial servicesbanking violation2011FED$33,600
BANK OF HARLAN, THE banking violation2010FDIC$8,315
BANK OF IDAHO banking violation2010FDIC$90,000
Bank of Kampsville banking violation2016FDIC$21,819
BANK OF KAMPSVILLE banking violation2010FDIC$11,280
BANK OF KENTUCKY, INC., THETruist Financialfinancial servicesbanking violation2009FDIC$30,415
Bank of Lake Mills banking violation2017FDIC$16,802
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.