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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 Industry sort iconPrimary Offense TypeYearAgencyPenalty Amount
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2005SEC$20,000,000
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2004SEC$75,000,000
Knight Securities, L.P.Virtu Financialfinancial servicesinvestor protection violation2004SEC$66,500,000
Franklin Advisers, Inc. and Franklin Templeton Distributors, Inc.Franklin Resourcesfinancial servicesinvestor protection violation2004SEC$20,000,000
Wachovia CorporationWells Fargofinancial servicesinvestor protection violation2004SEC$37,000,000
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankfinancial servicesinvestor protection violation2004SEC$2,000,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLCAllianzfinancial servicesinvestor protection violation2004SEC$11,600,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2004SEC$87,500,000
Thomas Weisel Partners LLCStifel Financialfinancial servicesinvestor protection violation2004SEC$12,500,000
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.financial servicesinvestor protection violation2004SEC$125,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2004SEC$875,000
Morgan Keegan & Co., Inc.Raymond James Financialfinancial servicesinvestor protection violation2004SEC$875,000
Prudential Equity Group, LLC f/k/a Prudential Securities Inc.Prudential Financialfinancial servicesinvestor protection violation2004SEC$375,000
SG Cowen & Co., LLC f/k/a SG Cowen Securities CorporationToronto-Dominion Bankfinancial servicesinvestor protection violation2004SEC$125,000
Fidelity Brokerage Services, LLCFidelity Investmentsfinancial servicesinvestor protection violation2004SEC$1,000,000
Wilmington Trust CompanyM&T Bankfinancial servicesinvestor protection violation2004SEC$125,000
Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2003SEC$50,000,000
American International Group, Inc.American International Groupfinancial servicesaccounting fraud or deficiencies2003SEC$10,000,000
Deutsche Asset Management, Inc.Deutsche Bankfinancial servicesinvestor protection violation2003SEC$750,000
Citigroup, Inc.Citigroupfinancial servicesaccounting fraud or deficiencies2003SEC$101,000,000
Citigroup, Inc.Citigroupfinancial servicesaccounting fraud or deficiencies2003SEC$19,000,000
J.P. Morgan Chase & Co.JPMorgan Chasefinancial servicesaccounting fraud or deficiencies2003SEC$135,000,000
Prudential Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2003SEC$382,000
Bear, Stearns & Co. Inc.JPMorgan Chasefinancial servicesinvestor protection violation2003SEC$80,000,000
Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc.Citigroupfinancial servicesinvestor protection violation2003SEC$400,000,000
Credit Suisse First Boston LLCUBSfinancial servicesinvestor protection violation2003SEC$200,000,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2003SEC$110,000,000
J.P. Morgan Securities Inc.JPMorgan Chasefinancial servicesinvestor protection violation2003SEC$80,000,000
Merrill Lynch, Pierce, Fenner & Smith, IncorporatedBank of Americafinancial servicesinvestor protection violation2003SEC$200,000,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2003SEC$125,000,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2003SEC$32,500,000
UBS Warburg LLCUBSfinancial servicesinvestor protection violation2003SEC$80,000,000
Merrill Lynch & Co. Inc.Bank of Americafinancial servicesaccounting fraud or deficiencies2003SEC$80,000,000
Oppenheimer & Company, Inc.Oppenheimer Holdingsfinancial servicesanti-money-laundering deficiencies2005FINCEN$2,800,000
JPMorgan Chase & Co.JPMorgan Chasefinancial servicesbanking violation2016FED$61,900,000
Customers BankCustomers Bancorpfinancial servicesbanking violation2016FED$960,000
Banco Bilbao Vizcaya Argentaria, S.A.Banco Bilbao Vizcaya Argentariafinancial servicesbanking violation2016FED$27,000,000
Nomura Asset Acceptance Corporation and Nomura Home Equity Loan, Inc.Nomurafinancial servicestoxic securities abuses2016NCUA$3,000,000
HSBC Bank USA, National AssociationHSBCfinancial servicesbanking violation2017OCC$32,500,000
RBC Capital Markets LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2016SEC$2,500,000
Raymond James & AssociatesRaymond James Financialfinancial servicesinvestor protection violation2016SEC$600,000
BOK Financial CorporationBOK Financialfinancial servicesinvestor protection violation2016SEC$1,667,720
Park National CorporationPark National Corp.financial servicesaccounting fraud or deficiencies2016SEC$500,000
UBS Financial ServicesUBSfinancial servicesinvestor protection violation2016SEC$15,025,882
Credit Suisse AGUBSfinancial servicesaccounting fraud or deficiencies2016SEC$90,000,000
Bank LeumiBank Leumifinancial servicesinvestor protection violation2016SEC$1,600,000
Deutsche BankDeutsche Bankfinancial servicesinvestor protection violation2016SEC$18,500,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2016SEC$7,500,000
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2017SEC$13,000,000
BNY MellonBank of New York Mellonfinancial servicesinvestor protection violation2017SEC$6,600,000
Western Union CompanyWestern Unionfinancial servicesanti-money-laundering deficiencies2017DOJ_CRIMINAL$586,000,000
Toronto-Dominion BankToronto-Dominion Bankfinancial serviceseconomic sanction violation2017OFAC$516,105
ServiceLink Holdings, LLCFidelity National Financialfinancial servicesbanking violation2017FED$65,000,000
Citigroup Global MarketsCitigroupfinancial servicesinvestor protection violation2017SEC$2,963,735
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2017SEC$2,963,735
Citigroup Global MarketsCitigroupfinancial servicesinvestor protection violation2017SEC$18,300,000
First Tennessee Bank National AssociationFirst Horizon Nationalfinancial servicesbanking violation2017OCC$1,000,000
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2017SEC$8,000,000
SunTrust BankTruist Financialfinancial servicesbanking violation2017FED$1,501,000
Banamex USACitigroupfinancial servicesanti-money-laundering deficiencies2017DOJ_CRIMINAL$97,440,000
UBSUBSfinancial servicestoxic securities abuses2017NCUA$445,000,000
Barclays CapitalBarclaysfinancial servicesinvestor protection violation2017SEC$97,037,659
Bank of New York Mellon CorporationBank of New York Mellonfinancial servicesbanking violation2017FED$3,000,000
American International GroupAmerican International Groupfinancial serviceseconomic sanction violation2017OFAC$148,698
U.S. Bank National AssociationU.S. Bancorpfinancial servicesbanking violation2017OCC$15,000,000
Rabobank National AssociationRabobankfinancial servicesbanking violation2017OCC$58,000
UMB Bank, NAUMB Financial Corp.financial servicesbanking violation2017OCC$1,500,000
State Street Bank and Trust CompanyState Street Corp.financial servicesinvestor protection violation2017SEC$35,300,000
Banca IMI Securities Corp.Intesa Sanpaolofinancial servicesinvestor protection violation2017SEC$35,300,000
Banco Popular de Puerto RicoPopular Inc.financial servicesanti-money-laundering deficiencies2003DOJ_CRIMINAL$21,600,000
HSBC HoldingsHSBCfinancial servicesbanking violation2017FED$175,000,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesbanking violation2017OCC$183,920
American ExpressAmerican Expressfinancial serviceseconomic sanction violation2017OFAC$204,277
SunTrust BanksTruist Financialfinancial servicesinvestor protection violation2017SEC$1,100,000
Credit Agricole Corporate and Investment Bank (CACIB)Credit Agricolefinancial serviceseconomic sanction violation2015USAO$156,000,000
M&T BankM&T Bankfinancial servicesanti-money-laundering deficiencies2014USAO$560,000
Wachovia Bank N.A.Wells Fargofinancial servicesanti-money-laundering deficiencies2010USAO$50,000,000
The Bank of New YorkBank of New York Mellonfinancial servicesanti-money-laundering deficiencies2005USAO$38,000,000
Riggs BankPNC Financial Servicesfinancial servicesanti-money-laundering deficiencies2005USAO$16,000,000
Goldman Sachs Bank USAGoldman Sachsfinancial servicesbanking violation2018FED$90,000
Citibank N.A.Citigroupfinancial servicesanti-money-laundering deficiencies2018OCC$70,000,000
Citibank N.A.Citigroupfinancial servicesbanking violation2017OCC$452,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2018SEC$1,304,197
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinafinancial servicesinvestor protection violation2018SEC$1,250,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesanti-money-laundering deficiencies2017SEC$13,000,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2017SEC$8,750,000
Wells Fargo Advisors, LLCWells Fargofinancial servicesanti-money-laundering deficiencies2017SEC$3,500,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2017SEC$3,500,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2017SEC$12,710,040
Blackrock Fund AdvisorsBlackRockfinancial servicesinvestor protection violation2017SEC$1,500,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2017SEC$5,754,714
Stifel, Nicolaus & Company, IncorporatedStifel Financialfinancial servicesinvestor protection violation2017SEC$300,000
Voya Financial Advisors, Inc.Voya Financialfinancial servicesinvestor protection violation2017SEC$3,095,953
Columbia Management Investment Services Corp.Ameriprise Financialfinancial servicesinvestor protection violation2017SEC$250,000
BB&T Securities, LLCTruist Financialfinancial servicesinvestor protection violation2016SEC$200,000
WL Ross & Co. LLCInvescofinancial servicesinvestor protection violation2016SEC$2,300,000
Wells Fargo Bank N.A. Municipal Products GroupWells Fargofinancial servicesinvestor protection violation2016SEC$440,000
Mitsubishi UFJ Securities (USA), Inc.Mitsubishi UFJ Financial Groupfinancial servicesinvestor protection violation2016SEC$20,000
TD Securities (USA) LLCToronto-Dominion Bankfinancial servicesinvestor protection violation2016SEC$500,000
Hilltop Securities Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2016SEC$360,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2016SEC$500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.