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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
Barclays Bank PLCBarclaysfinancial servicesinsider trading2007SEC$10,943,561
Tallinex investor protection violation2018CFTC$10,971,279
COMMUNICLIQUE, INC. investor protection violation2018VA-SEC$10,980,923
Ocean Bank anti-money-laundering deficiencies2011USAO$10,988,136
Health Insurance Innovations investor protection violation2022SEC$11,000,000
Spruce Power Holding Corporation investor protection violation2023SEC$11,000,000
Luzerner Kantonalbank AG tax violations2015DOJ_TAX$11,031,000
Deluge, Inc. and Hydrotherm Power Corp. investor protection violation2016AZ-CC$11,194,254
Energex Systems, Inc. et al. investor protection violation2013NJ-AG$11,200,000
Nakami Chi Group Ministries International investor protection violation2008AZ-CC$11,294,912
Benefit Contract Administrators, Inc. et al. investor protection violation2009VA-SEC$11,347,906
AmSouth BankRegions Financialfinancial servicesinvestor protection violation2008SEC$11,400,000
Gonet & Cie tax violations2015DOJ_TAX$11,454,000
DB Structured Products, Inc.Deutsche Bankfinancial servicestoxic securities abuses2013NV-AG$11,500,000
Prudential Equity Group, Inc. and Prudential Investment Management Services LLCPrudential Financialfinancial servicesinvestor protection violation2004FINRA$11,500,000
Rothschild Bank AG tax violations2015DOJ_TAX$11,510,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLCAllianzfinancial servicesinvestor protection violation2004SEC$11,600,000
American Realty Partners , LLC et al. investor protection violation2019AZ-CC$11,670,327
Performance Realty Management, LLC and t American Realty Partners, LLC investor protection violation2021AZ-CC$11,670,327
State Street BankState Street Corp.financial servicesinvestor protection violation2010WA-AG$11,700,000
Verizon BusinessVerizon Communicationstelecommunicationsaccounting fraud or deficiencies2007OK-AG$11,700,000
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2019SEC$11,715,395
Bridge Harbor Management, Inc. and Creative Insurance Concepts, Inc. investor protection violation2010CA-DFPI$11,780,076
Ernst & Young LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2016SEC$11,800,000
LH Ross investor protection violation2005FINRA$11,968,000
BlackRock Advisors LLCBlackRockfinancial servicesinvestor protection violation2015SEC$12,000,000
McCann-Erickson WorldwideInterpublicmiscellaneous servicesaccounting fraud or deficiencies2008SEC$12,000,000
Broadcom Corp.Broadcomelectrical and electronic equipmentinvestor protection violation2008SEC$12,000,000
Raytheon CompanyRTX Corporationaerospace and military contractingaccounting fraud or deficiencies2006SEC$12,000,000
First Command Financial Planning, Inc. investor protection violation2004SEC$12,000,000
Sigue Corporation and Sigue LLC anti-money-laundering deficiencies2008FINCEN$12,000,000
CG Technology, L.P. dba Cantor Gaming anti-money-laundering deficiencies2016FINCEN$12,000,000
Knight Capital Americas LLCVirtu Financialfinancial servicesinvestor protection violation2013SEC$12,000,000
Commerzbank AGCommerzbankfinancial servicesinvestor protection violation2018CFTC$12,000,000
ITG Inc. investor protection violation2018SEC$12,000,000
Granite Construction, IncorporatedGranite Constructionconstruction and engineeringaccounting fraud or deficiencies2022SEC$12,000,000
Compass Minerals International Inc.Compass Minerals Internationalmining and mineralsinvestor protection violation2022SEC$12,000,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2024SEC$12,000,000
CSE Global Limited and CSE Trans Tel Pte. Ltd. economic sanction violation2017OFAC$12,027,066
Baystar Capital Management LLC investor protection violation2011USAO$12,112,416
Mobile Cash Systems, LLC et al. investor protection violation2001AZ-CC$12,192,829
General Re CorporationBerkshire Hathawaydiversifiedaccounting fraud or deficiencies2010SEC$12,200,000
Raymond James & Associates, Inc. et al.Raymond James Financialfinancial servicesinvestor protection violation2023MULTI-FIN$12,450,000
TPG Capital Advisors, LLCTPG Capitalprivate equity (including portfolio companies)investor protection violation2017SEC$12,487,620
HSBC Private Bank (Suisse)HSBCfinancial servicesinvestor protection violation2014SEC$12,500,000
Thomas Weisel Partners LLCStifel Financialfinancial servicesinvestor protection violation2004SEC$12,500,000
Bank of ChinaBank of Chinafinancial servicesbanking violation2018OCC$12,500,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $12,500,000
Apple Bank for Savings anti-money-laundering deficiencies2020FDIC$12,500,000
Synchronoss Technologies, Inc.Synchronoss Technologiesinformation technologyinvestor protection violation2022SEC$12,500,000
Newell Brands Inc.Newell Brandshousewares and home furnishingsaccounting fraud or deficiencies2023SEC$12,500,000
K&L International Enterprises, Inc., Signature Leisure, Inc., and Signature Worldwide Advisors, LLC investor protection violation2010SEC$12,574,582
First Mortgage Corporation investor protection violation2016SEC$12,700,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2017SEC$12,710,040
SHE Beverage Company, Inc. investor protection violation2024SEC$12,760,274
Blockchain Credit Partners investor protection violation2021SEC$12,849,354
A Chicago Convention Center, LLC and Intercontinental Regional Center Trust of Chicago, LLC investor protection violation2014SEC$12,950,000
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2017SEC$13,000,000
Mondelez International, Inc.Mondelez Internationalfood productsaccounting fraud or deficiencies2017SEC$13,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesanti-money-laundering deficiencies2017SEC$13,000,000
Tesla Energy Solutions (fka SolarCity) and Novogradac & Company LLPTesla Inc.motor vehiclestax violations2018OR-AG$13,000,000
Alere Inc.Abbott Laboratoriespharmaceuticalsaccounting fraud or deficiencies2017SEC$13,023,885
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2017FINRA$13,030,000
Kooima & Kaemingk Commodities, Inc. investor protection violation2018CFTC$13,170,857
Success Trade Inc. investor protection violation2015DC-DISB$13,179,804
Expedia, Inc.Expedia Groupmiscellaneous servicestax violations2015HI-AG$13,275,000
Orbitz LLCExpedia Groupmiscellaneous servicestax violations2015HI-AG$13,275,000
Priceline.Com, LLPBooking Holdingsmiscellaneous servicestax violations2015HI-AG$13,275,000
Travelocity.Com LLPExpedia Groupmiscellaneous servicestax violations2015HI-AG$13,275,000
Branded Marketing LLC investor protection violation2015NJ-AG$13,300,000
Eagle Bancorp, Inc. investor protection violation2022SEC$13,350,493
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2015FINRA$13,500,000
House of Oxford Inc. tax violations2014USAO$13,600,000
Dental Support Plus Franchise, LLC investor protection violation2018AZ-CC$13,614,954
Linkbrokers Derivatives LLC investor protection violation2014SEC$14,000,000
United Rentals, IncUnited Rentalsmiscellaneous servicesaccounting fraud or deficiencies2008SEC$14,000,000
EDGA Exchange, Inc. and EDGX Exchange, Inc. investor protection violation2015SEC$14,000,000
New York Stock ExchangeIntercontinentalExchange Groupfinancial servicesinvestor protection violation2018SEC$14,000,000
Union Bancaire Privee, UBP SAUnion Bancaire Priveefinancial servicestax violations2020DOJ_TAX$14,000,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2015SEC$14,400,000
Tycoon Trading, LLC investor protection violation2022AK-DBS$14,439,086
Wells Fargo Bank, N.A.Wells Fargofinancial servicesinvestor protection violation2019CFTC$14,475,000
Fluor CorporationFluorconstruction and engineeringaccounting fraud or deficiencies2023SEC$14,500,000
Metropolitan Commercial Bank banking violation2023FED$14,500,000
Yes Entertainment, LLC investor protection violation2000SEC$14,546,808
J.C. Reed & Co. investor protection violation2013SEC$14,910,003
Citigroup Global MarketsCitigroupfinancial servicesinvestor protection violation2015SEC$15,000,000
Bankrate Inc.Red Venturesbusiness servicesaccounting fraud or deficiencies2015SEC$15,000,000
Macquarie Capital (USA) Inc.Macquariefinancial servicesinvestor protection violation2015SEC$15,000,000
TD BankToronto-Dominion Bankfinancial servicesinvestor protection violation2013SEC$15,000,000
Sigue Corporation anti-money-laundering deficiencies2008DOJ_CRIMINAL$15,000,000
RenaissanceRe Holdings Ltd.RenaissanceRe Holdingsfinancial servicesaccounting fraud or deficiencies2007SEC$15,000,000
Elan Corporation, plcPerrigopharmaceuticalsaccounting fraud or deficiencies2005SEC$15,000,000
Allergan Inc.AbbViepharmaceuticalsinvestor protection violation2017SEC$15,000,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesbanking violation2017OCC$15,000,000
Shake-N-Go Fashion Inc. and Model Model Hair Fashion Inc. anti-money-laundering deficiencies2014USAO$15,000,000
US BancorpU.S. Bancorpfinancial servicesbanking violation2018FED$15,000,000
Elemetal LLC anti-money-laundering deficiencies2018USAO$15,000,000
PNC Bank, National AssociationPNC Financial Servicesfinancial servicesbanking violation2018OCC$15,000,000
Moody's Investors Service, Inc.Moody'sinformation technologyinvestor protection violation2018SEC$15,000,000
Ingram Micro Inc.Platinum Equityprivate equity (including portfolio companies)investor protection violation2009SEC$15,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.