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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
Bank Hapoalim B.M,Bank Hapoalimfinancial servicestax violations2020FED$37,350,000
BANK FORWARD (F/K/A SECURITY STATE BANK OF NORTH DAKOTA) banking violation2007FDIC$10,400
Bank EKI Genossenschaft tax violations2015DOJ_TAX$400,000
Bank Coop AG tax violations2015DOJ_TAX$3,223,000
Bank CIC tax violations2015DOJ_TAX$3,281,000
BANGOR SAVINGS BANK banking violation2007FDIC$22,715
Bander Law Firm, PLLC investor protection violation2015SEC$273,184
Bandco Check Cashing Services, Inc. anti-money-laundering deficiencies2004NY-DFS$50,000
Bancwest Investment Services, Inc. investor protection violation2020SEC$406,432
Bancroft State Bank banking violation2014FDIC$15,065
Bancredito International Bank and Trust Corporation anti-money-laundering deficiencies2023FINCEN$15,000,000
BANCORPSOUTH BANKCadence Bankfinancial servicesbanking violation2011FDIC$46,500
Bancorp Bank banking violation2015FDIC$4,300,000
Bancomer S.A. economic sanction violation2003OFAC$5,000
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
BANCO INDUSTRIAL DE VENEZUELA, C. A. banking violation2011FED$600,000
Banco Espirito Santo, S.A. investor protection violation2011NJ-AG$1,900,000
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. banking violation2012FED$975,000
Banco Do Estado Do Parana banking violation2000OCC$75,000
Banco do Brasil, S.A. economic sanction violation2015OFAC$139,500
Banco do Brasil economic sanction violation2004OFAC$10,162
Banco de Chile economic sanction violation2004OFAC$5,500
Banco Comercial Portugues, S.A. investor protection violation2013SEC$1,892,058
Banco Colpatria, S.A. economic sanction violation2010OFAC$91,849
Banco Bradesco S.A economic sanction violation2003OFAC$9,000
Banco Bilbao Vizcaya Argentaria, S.A.Banco Bilbao Vizcaya Argentariafinancial servicesbanking violation2016FED$27,000,000
BancBoston Robertson Stephens investor protection violation2001FINRA$10,000
Banca IMI Securities Corp.Intesa Sanpaolofinancial servicesinvestor protection violation2017SEC$35,300,000
Banca dello Stato del Cantone Ticino tax violations2015DOJ_TAX$3,393,000
Banca Credinvest SA tax violations2015DOJ_TAX$3,022,000
Banca Commerciale Italiana economic sanction violation2004OFAC$6,450
Banc One Capital Markets, Inc. investor protection violation2001FINRA$1,800,000
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 of America Investment Services, Inc., and Bacap Distributors, LLCBank of Americafinancial servicesinvestor protection violation2005SEC$1,500,000
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.Bank of Americafinancial servicesinvestor protection violation2004FINRA$200,000
Banc De Binary investor protection violation2013IN-SEC$10,000
Banamex USACitigroupfinancial servicesanti-money-laundering deficiencies2017DOJ_CRIMINAL$97,440,000
Bamex International, Ltd. investor protection violation2002AZ-CC$1,277,429
Bamco, Inc. tax violations2015CT-AG$12,713
BAMC Investment Management Inc. investor protection violation2005TX-SEC$6,000
Bambu IP, LLC, Bambu Desserts & Drinks, Inc. investor protection violation2016VA-SEC$84,500
Bambu Desserts and Drinks, Inc. investor protection violation2016MD-SEC$5,000
Baltic Fund investor protection violation2018MO-SEC$22,760
Baltic Financial Services, Inc. anti-money-laundering deficiencies2010FINCEN$12,000
Balsam Capital Group, LLC and River Source Wealth Management, LLC investor protection violation2017MD-SEC$5,000
Ballentine Partners LLC investor protection violation2012NH-BSR$175,000
Baldwin Wilson Development Corp. investor protection violation2009IN-SEC$426,800
Bakken Workforce Housing, L.L.C. investor protection violation2017MN-FIN$5,000
Baker Tilly US, LLP accounting fraud or deficiencies2024PCAOB$80,000
Baker Tilly Hong Kong Limited accounting fraud or deficiencies2014SEC$84,101
BAK Ventures, Inc. investor protection violation2011OR-FIN$20,000
Bain Wealth Management Group, LLC investor protection violation2023OR-FIN$35,000
BAIC, Inc. investor protection violation2019AZ-CC$2,004,649
Baggy Stuff, Inc. investor protection violation2000FL-OFR$325,000
Badger Bank banking violation2019FDIC$19,600
Back to Green Mining, LLC investor protection violation2023SEC$3,442,175
Back Bay Advisors, L.P. investor protection violation2002SEC$150,000
Bachrach Asset Management Inc. investor protection violation2018SEC$75,000
B.Y.B. Entertainment, L.L.C. investor protection violation2010AZ-CC$104,524
B.T.A. International, Inc. investor protection violation2018IL-SEC$117,000
B.B. Financial Services Group, Inc. investor protection violation2004AZ-CC$174,050
B.A.K. Precious Metals, Inc. anti-money-laundering deficiencies2015FINCEN$200,000
B&B Worm Farm investor protection violation2002OK-SEC$16,400
B&B Equity Group LLC et al. investor protection violation2011MO-SEC$2,650,649
B&B Energy of New Orleans Inc. investor protection violation2017MS-SEC$19,000
B & T Field Merchandising LLC tax violations2016CT-AG$20,700
Aztec Capital, LLC investor protection violation2013CA-DFPI$10,125
Azarmehr Law Group investor protection violation2015SEC$57,965
AZ REl School, LLC and SFG Real Estate Holdings, LLC investor protection violation2022AZ-CC$19,371
AZ Investment Property Experts, LLC and Sandy Beach Esmeralda Development, LLC investor protection violation2019AZ-CC$27,801,783
Axon Corporation economic sanction violation2003OFAC$45,000
Axius Holdings, LLC investor protection violation2014SEC$60,881
Axiom Capital Management, Inc. investor protection violation2010SEC$60,000
Axalta Powder Coating Systems, USA, Inc.Axalta Coating Systemspaints and coatingstax violations2014CT-AG$6,428
AXA RosenbergAXAfinancial servicesinvestor protection violation2011SEC$242,000,000
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2012SEC$100,000
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2009SEC$50,000
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2019SEC$1,134,152
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2010MO-SEC$92,015
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2019FINRA$772,000
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2015FINRA$600,000
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2005FINRA$900,000
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2004FINRA$250,000
AXA Advisors LLCEquitable Holdingsfinancial servicesinvestor protection violation2011OR-FIN$80,000
AWR Corp. tax violations2012CT-AG$5,085
Avnet Asia Pte. Ltd.Avnetwholesalerseconomic sanction violation2021DOJ_NATSEC$1,508,000
Aviva Investors Americas, LLC investor protection violation2016SEC$250,000
Aviation Services Intemational, B.V. aka Delta Logistics, B.V. economic sanction violation2010OFAC$250,000
AVEO Pharmaceuticals Inc.LGdiversifiedinvestor protection violation2016SEC$4,000,000
Avenue Capital Investment, Inc. investor protection violation2003ID-SEC$25,000
Aventura Capital Management, LLC investor protection violation2022SEC$938,756
Avenir Financial Group investor protection violation2016FINRA$229,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.