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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 IndustryPrimary Offense Type sort iconYearAgencyPenalty Amount
Jacobs Tobacco Company tax violations2020ATTTB$114,174
Eagle Alcohol Company LLCAlto Ingredientsmiscellaneous energy products and systemstax violations2020ATTTB$7,500
Strachans SA tax violations2020DOJ_TAX$500,000
Hercules IncorporatedAshland Global Holdingschemicalstax violations2004IRS$36,000,000
Ernst & Young, LLPErnst & Youngbusiness servicestax violations2003IRS$15,000,000
Jenkens & Gilchrist tax violations2007IRS$76,000,000
BDO USA, LLPBDO Internationalbusiness servicestax violations2012IRS$34,400,000
GlaxoSmithKline Holdings (Americas)GlaxoSmithKlinepharmaceuticalstax violations2006IRS$3,400,000,000
Merck & Co., Inc.Merckpharmaceuticalstax violations2007IRS$2,300,000,000
Sidley Austin LLPSidley Austinbusiness servicestax violations2007IRS$39,400,000
Rahn + Bodmer Co. tax violations2021USAO$22,000,000
Fabrizia Spirits, LLC tax violations2020ATTTB$75,000
Pine Tree Meat & Produce Inc. et al. tax violations2020NY-AG$4,700,000
Service Station Vending Equipment, Inc. tax violations2021NY-AG$4,250,000
Broadway Towing, Inc. and Broadway Auto & Towing, Inc. tax violations2021NY-AG$900,000
Swiss Life Holding AG et al.Swiss Life Groupfinancial servicestax violations2021DOJ_TAX$77,374,337
Cooperstown Distillery, LLC tax violations2021ATTTB$32,500
Sara, Inc. tax violations2021ATTTB$20,000
Levecke Corporation tax violations2021ATTTB$28,578,944
RN Acquisition, LLC & City Beverage - Markham, LLC tax violations2021ATTTB$850,000
Stone Brewing Co., LLC tax violations2021ATTTB$1,804,430
Iowa Beverage Systems, Inc. tax violations2021ATTTB$325,000
Global Universal SRL tax violations2021ATTTB$130,000
Latitude 33 Brewing Company tax violations2021ATTTB$160,217
Alaska Commercial Company tax violations2021ATTTB$433,382
Smith & Wesson Sales CompanySmith & Wessonmiscellaneous manufacturingtax violations2021ATTTB$1,729,000
ND Cigars, Inc. tax violations2021ATTTB$115,000
Verrazano Enterprises, Inc. tax violations2021NY-AG$189,000
Betty Foodmart tax violations2021AL-AG$34,219
SunocoEnergy Transferpipelinestax violations2021AL-AG$122,314
Sun Liquor MFG, Inc. tax violations2021ATTTB$900,000
Fanatics, Inc. tax violations2021NY-AG$1,508,466
Fifth Generation, Inc. tax violations2022ATTTB$305,000
Doll Distributing LLC tax violations2022ATTTB$225,000
Decon Laboratories, Inc. tax violations2021ATTTB$3,200,000
Schmaltz Brewing Company LLC tax violations2021ATTTB$200,000
Mariposa Wine Company LLC D/B/A Mariposa Wine Company tax violations2021ATTTB$58,437
RYO Cigarettes of Nevada, Inc. DBA Smoke 4 Less tax violations2021ATTTB$140,000
RYO Cigarettes of Nevada Inc. DBA Double D's Tobacco Emporium tax violations2021ATTTB$210,000
58th Presidential Inaugural Committee and Trump Organization LLC et al. tax violations2022DC-AG$750,000
Transchemical Incorporated tax violations2022ATTTB$15,000
Greenbrush Brewing Co. tax violations2022ATTTB$25,000
New Tobacco King tax violations2022ATTTB$40,000
Crescent Brewery LLC tax violations2022ATTTB$7,400
Greenetrack Inc. tax violations2022AL-AG$76,000,000
Dallas Distilleries Incorporated tax violations2022ATTTB$73,000
Newburyport Brewing Company tax violations2022ATTTB$83,070
Davos Brands LLC tax violations2022ATTTB$30,000
Brews N' Views tax violations2022ME-AG$30,735
Grand River Enterprises Six Nations, Ltd. and Native Wholesale Supply Company, Inc. tax violations2022NY-AG$50,000,000
La Colombe Distilling, LLC tax violations2022ATTTB$61,510
Savage Arms, Inc. tax violations2022ATTTB$800,000
Grand River Enterprises Six Nations, Ltd. tax violations2022NY-AG$25,000,000
Native Wholesale Supply Company, Inc. tax violations2022NY-AG$25,000,000
Midway Wholesalers, Inc. tax violations2022ATTTB$250,000
MOA Rifles, LLC tax violations2022ATTTB$100,000
Little Miss Whiskey's Golden Dollar and Jimmy Valentine's Lonely Hearts Club tax violations2023DC-AG$144,001
Trump Corp.Trump Organizationreal estatetax violations2023NY-MANDA$810,000
Trump Payroll Corp.Trump Organizationreal estatetax violations2023NY-MANDA$800,000
Bayou Teche Brewing L.L.C. tax violations2022ATTTB$77,600
Abu Nawas Beverage Company LLC tax violations2022ATTTB$25,000
Excel Industries, Inc. tax violations2023ATTTB$44,527
Allied Wine Corp. tax violations2023ATTTB$55,000
Shacksbury Holdings Inc. tax violations2023ATTTB$68,631
Cutwater Spirits, LLC tax violations2023ATTTB$169,850
Signature Selections, LLC tax violations2023ATTTB$90,000
Park Street Imports, LLC tax violations2023ATTTB$350,000
Banque Pictet et Cie SA tax violations2023DOJ_TAX$122,900,000
Marosi Designs LLC tax violations2023ATTTB$37,500
Far East Ship Supply tax violations2023ATTTB$60,000
RWC Group LLC tax violations2023ATTTB$1,776,836
Seattle Cider Company, LLC tax violations2023ATTTB$12,000
Holtec InternationalHoltec Internationalmiscellaneous energy products and systemstax violations2024NJ-AG$5,000,000
Octopi Brewing, LLC tax violations2024ATTTB$47,043
William Grant & Sons, Inc.William Grant & Sons Ltd.beveragestax violations2024ATTTB$303,815
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicessecurities issuance or trading violation2018FINRA$5,990,530
KuCoin securities issuance or trading violation2023NY-AG$22,066,642
TradeStation Crypto securities issuance or trading violation2024MULTI-AG$1,500,000
Bank Julius Baer & Co. Ltd.Julius Baer Groupfinancial servicesmoney laundering2021DOJ_CRIMINAL$79,000,000
LLC Wholesale Supply LLC money laundering2022USAO$98,000,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2016SEC$35,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2016SEC$54,300,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2016SEC$4,000,000
Morgan Stanley Investment ManagementMorgan Stanleyfinancial servicesinvestor protection violation2015SEC$8,800,000
J.P. Morgan Securities LLC and JPMorgan Chase Bank N.A.JPMorgan Chasefinancial servicesinvestor protection violation2015SEC$267,000,000
ICBC Standard Bank PlcIndustrial and Commercial Bank of Chinafinancial servicesinvestor protection violation2015SEC$4,200,000
UBS Willow Management LLC and UBS Fund Advisor LLCUBSfinancial servicesinvestor protection violation2015SEC$17,500,000
UBS AGUBSfinancial servicesinvestor protection violation2015SEC$19,500,000
Blackstone GroupBlackstoneprivate equity (including portfolio companies)investor protection violation2015SEC$39,000,000
Citigroup Global MarketsCitigroupfinancial servicesinvestor protection violation2015SEC$15,000,000
Edward D. Jones & Co. LPJones Financialfinancial servicesinvestor protection violation2015SEC$20,000,000
Kohlberg Kravis Roberts & Co.KKR & Co.private equity (including portfolio companies)investor protection violation2015SEC$30,000,000
BlackRock Advisors LLCBlackRockfinancial servicesinvestor protection violation2015SEC$12,000,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2015SEC$14,400,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2014SEC$4,000,000
HSBC Private Bank (Suisse)HSBCfinancial servicesinvestor protection violation2014SEC$12,500,000
Credit Suisse Group AGUBSfinancial servicesinvestor protection violation2014SEC$196,000,000
Massachusetts Mutual Life Insurance CompanyMassachusetts Mutual Life Insurancefinancial servicesinvestor protection violation2012SEC$1,625,000
OppenheimerFunds Inc.Invescofinancial servicesinvestor protection violation2012SEC$35,000,000
UBS Financial Services Inc. of Puerto RicoUBSfinancial servicesinvestor protection violation2012SEC$26,600,000
UBS Global Asset ManagementUBSfinancial servicesinvestor protection violation2012SEC$300,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.