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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 TypeYearAgencyPenalty Amount sort icon
Amarillo National Bank banking violation2013OCC$7,250
California United BankPacWest Bancorpfinancial serviceseconomic sanction violation2004OFAC$7,250
THE PEOPLES BANK OF BULLITT COUNTY banking violation2011FDIC$7,250
Ecology Recovery Systems, Inc. tax violations2014CT-AG$7,230
Monarch Bank banking violation2010FED$7,215
COMMUNITY BANK OF CENTRAL WISCONSIN banking violation2009FDIC$7,200
The Savings Bank banking violation2017FDIC$7,200
Perspectus Architecture, LLC tax violations2016CT-AG$7,200
NETTALON SECURITY SYSTEMS INC investor protection violation2009VA-SEC$7,200
Aquatic Renovation Systems, Inc. tax violations2013CT-AG$7,193
ALLIANCE BANK banking violation2010FDIC$7,190
CapitalSource Bank tax violations2014CT-AG$7,185
Chevron TCI, Inc. tax violations2012CT-AG$7,185
Daia Holdings Ltd. tax violations2015CT-AG$7,185
Delphinus Engineering, Inc. tax violations2016CT-AG$7,185
Bensussen Deutsch & Associates, Inc. tax violations2013CT-AG$7,170
Radio Spirits, LLC tax violations2013CT-AG$7,163
BANK OF BLUFFS banking violation2010FDIC$7,150
Sellars Absorbant Materials, Inc. tax violations2014CT-AG$7,148
Northland Industrial Truck Co. Inc. tax violations2012CT-AG$7,133
Community State Bank banking violation2011FED$7,130
AMERICAN STATE BANK banking violation2005FDIC$7,125
Ambassador College Bookstores, Inc. tax violations2012CT-AG$7,110
Bill.com, Inc.Bill.cominformation technologytax violations2014CT-AG$7,110
H.C. Denison Co. investor protection violation2023ME-SEC$7,105
TSB Bank banking violation2016FDIC$7,100
United Claims Service, Inc. tax violations2013CT-AG$7,080
AMERICAN BANK CENTER FIRST; BANK CENTER FIRST banking violation2006FDIC$7,050
Casewise Systems, Inc. tax violations2015CT-AG$7,050
Pierpont Securities Holdings, LLC tax violations2014CT-AG$7,050
AFB&TSynovus Financialfinancial servicesbanking violation2009FDIC$7,040
The Hondo National Bank banking violation2014OCC$7,000
WEST SUBURBAN BANK banking violation2009FDIC$7,000
JACKSON COUNTY BANK banking violation2008FDIC$7,000
SECURITY STATE BANK banking violation2006FDIC$7,000
UNITED BANK banking violation2003FDIC$7,000
THE COLUMBIA BANKFulton Financialfinancial servicesbanking violation2002FDIC$7,000
FIRST MARINER BANK banking violation2002FDIC$7,000
Citizens Bank and Trust Company banking violation2003FED$7,000
Terex CorporationTerexheavy equipmenteconomic sanction violation2005OFAC$7,000
Hanmi BankHanmi Financial Corp.financial serviceseconomic sanction violation2004OFAC$7,000
First National Bank of Colorado banking violation2005OCC$7,000
Bank of Gueydan banking violation2017FED$7,000
The Bank of Holly Springs banking violation2018FDIC$7,000
William Somerville, Inc. tax violations2012CT-AG$7,000
Peoples Exchange Bank banking violation2013FDIC$7,000
Western State Bank banking violation2012FDIC$7,000
THE CITIZENS BANK banking violation2011FDIC$7,000
DIAMOND BANK banking violation2011FDIC$7,000
SECURITY BANK banking violation2011FDIC$7,000
BERKSHIRE BANK banking violation2011FDIC$7,000
GLENNVILLE BANK banking violation2010FDIC$7,000
ABBYBANK banking violation2010FDIC$7,000
Zurigo Trading, Inc. economic sanction violation2011OFAC$7,000
Newman Energy Corp. investor protection violation2008AL-SEC$7,000
Bluepac Management LLC investor protection violation2012AL-SEC$7,000
Lewis & Clark Outdoors, Inc. investor protection violation2011AR-SEC$7,000
Annett & Associates investor protection violation2020CO-SEC$7,000
Wynn Investments LLC investor protection violation2020FL-OFR$7,000
Littlefield Asset Management, Inc. investor protection violation2013GA-SEC$7,000
JT Financial Advisers, LLC investor protection violation2009IL-SEC$7,000
Encompass Wealth Management, LLC investor protection violation2017KY-FIN$7,000
Ogan Financial Group, Inc. dba True Wealth Management investor protection violation2015MD-SEC$7,000
CPFS, Inc. and Pinnacle Support Systems, Inc. investor protection violation2006ME-SEC$7,000
First Montauk Securities Corporation investor protection violation2002ND-SEC$7,000
Edward D. Jones & Co. LPJones Financialfinancial servicesinvestor protection violation2003ND-SEC$7,000
BIO-SOLUTIONS FRANCHISE CORP. investor protection violation2003VA-SEC$7,000
DAILY GRIND OF WINCHESTER investor protection violation2006VA-SEC$7,000
INVESTOLOGY, INC. investor protection violation2009VA-SEC$7,000
SEDONA OIL & GAS CORPORATION investor protection violation2010VA-SEC$7,000
911 RESTORATION FRANCHISE, INC investor protection violation2015VA-SEC$7,000
Moonlighting, Inc. investor protection violation2019VA-SEC$7,000
My Choice Hair, LLC investor protection violation2020VA-SEC$7,000
Tradeology.com, Inc. investor protection violation2010WA-FIN$7,000
Merrill Lynch Pierce Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2005WI-FIN$7,000
First Midwest Securities, Inc. investor protection violation2009FINRA$7,000
Eagle Strategies LLC investor protection violation2022VA-SEC$7,000
MRV Banks banking violation2022FDIC$7,000
Viking Credit Master, LLC tax violations2012CT-AG$6,990
August Wealth Group, Inc. investor protection violation2023ME-SEC$6,982
Invo Healthcare Associates, Inc. tax violations2013CT-AG$6,968
Resnick Investment Advisors, LLC tax violations2012CT-AG$6,968
NobelTrading.com investor protection violation2010MT-FIN$6,943
Custom Computer Specialists, Inc. tax violations2013CT-AG$6,938
PICO Enterprises, Inc. tax violations2013CT-AG$6,938
Caldwell Sutter Capital Inc. investor protection violation2020ME-SEC$6,936
Remet Corp. tax violations2012CT-AG$6,930
First State Bank banking violation2015FDIC$6,900
2020 Company, LLC tax violations2012CT-AG$6,900
Access Intelligence LLC tax violations2014CT-AG$6,900
Time Warner Cable Enterprises LLCCharter Communicationstelecommunicationstax violations2015CT-AG$6,900
First State Bank banking violation2015FDIC$6,900
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020VT-FIN$6,900
Modern Investments LLC investor protection violation2012TN-SEC$6,890
Nexant, Inc. tax violations2016CT-AG$6,885
American Mortgage Consultants, Inc. tax violations2015CT-AG$6,870
Gemma Power Systems, LLC tax violations2015CT-AG$6,870
Barry Callebaut USA, IncBarry Callebautfood productseconomic sanction violation2004OFAC$6,852
Shore Community Bank banking violation2013FDIC$6,850
UNITED BANK banking violation2008FDIC$6,850
Pacific Mercantile Bank banking violation2007FED$6,850
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.