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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
Mittler & Mercaldo Investment Advisors investor protection violation2015CT-SEC$5,600
Newbury Street Capital Limited Partnership investor protection violation2011DC-DISB$5,590
Inn at IronMasters, LLC tax violations2016CT-AG$5,588
Corporate Building Services, Inc. tax violations2014CT-AG$5,574
FARMERS & MERCHANTS BANK OF KENDALL banking violation2006FDIC$5,555
LAKESIDE COMMUNITY BANK banking violation2006FDIC$5,550
INTEGRITY FIRST BANK banking violation2010FDIC$5,550
Travel Dynamics, Inc. economic sanction violation2004OFAC$5,535
Adler Consulting, Transport Planning and Traffic Engineering, PLLC tax violations2012CT-AG$5,520
Structural Concepts Engineering, Inc. tax violations2012CT-AG$5,513
C.A. Construction, Inc. tax violations2014CT-AG$5,512
CITIZENS BANK AND TRUST COMPANY OF CHICAGO banking violation2009FDIC$5,500
COATESVILLE SAVINGS BANK banking violation2009FDIC$5,500
SPENCER SAVINGS BANK banking violation2009FDIC$5,500
SUN SECURITY BANK banking violation2009FDIC$5,500
CENTURY BANK OF GEORGIA banking violation2008FDIC$5,500
CHELSEA SAVINGS BANK banking violation2007FDIC$5,500
FIRST UNITED BANK banking violation2006FDIC$5,500
FARMERS STATE BANK OF HOFFMAN banking violation2004FDIC$5,500
THE POCA VALLEY BANK, INC. banking violation2002FDIC$5,500
SHOREBANK banking violation2001FDIC$5,500
FIRST TUSKEGEE BANK banking violation2001FDIC$5,500
CAPITOL THRIFT AND LOAN ASSOCIATION banking violation2001FDIC$5,500
PEOPLES COMMUNITY BANK banking violation2001FDIC$5,500
Community First Bank & Trust banking violation2003FED$5,500
Confi-Dental Products, Co. economic sanction violation2008OFAC$5,500
Diversified Business Communications economic sanction violation2007OFAC$5,500
La Salle Bank Midwest, N.A. economic sanction violation2008OFAC$5,500
Lubrizol CorporationBerkshire Hathawaydiversifiedeconomic sanction violation2006OFAC$5,500
Atlantic Bank economic sanction violation2005OFAC$5,500
Union Bank of CaliforniaU.S. Bancorpfinancial serviceseconomic sanction violation2005OFAC$5,500
Wachovia BankWells Fargofinancial serviceseconomic sanction violation2005OFAC$5,500
American Express CompanyAmerican Expressfinancial serviceseconomic sanction violation2004OFAC$5,500
Arab Banking Corp.Arab Banking Corp.financial serviceseconomic sanction violation2004OFAC$5,500
Banco de Chile economic sanction violation2004OFAC$5,500
Bank of New YorkBank of New York Mellonfinancial serviceseconomic sanction violation2004OFAC$5,500
Bank OneJPMorgan Chasefinancial serviceseconomic sanction violation2004OFAC$5,500
California Federal Bank economic sanction violation2004OFAC$5,500
CitibankCitigroupfinancial serviceseconomic sanction violation2004OFAC$5,500
Commerzbank AGCommerzbankfinancial serviceseconomic sanction violation2004OFAC$5,500
Corporate One Federal Credit Union economic sanction violation2004OFAC$5,500
Deutsche BankDeutsche Bankfinancial serviceseconomic sanction violation2004OFAC$5,500
HSBC Bank USAHSBCfinancial serviceseconomic sanction violation2004OFAC$5,500
ICN Pharmaceuticals, IncBausch Healthpharmaceuticalseconomic sanction violation2004OFAC$5,500
Maersk Line, Ltd.Maerskfreight and logisticseconomic sanction violation2004OFAC$5,500
P.J. Caputo Shipping, Inc economic sanction violation2004OFAC$5,500
SeaMates International, Inc. economic sanction violation2004OFAC$5,500
Stanford Research Systems economic sanction violation2004OFAC$5,500
Trade Arbed, Inc economic sanction violation2004OFAC$5,500
World-Wide Sires Inc. economic sanction violation2004OFAC$5,500
Credit Lyonnais, NYCredit Agricolefinancial serviceseconomic sanction violation2003OFAC$5,500
Deutsche Bank A.G.Deutsche Bankfinancial serviceseconomic sanction violation2003OFAC$5,500
Felins USA Inc economic sanction violation2003OFAC$5,500
HSBC Bank USAHSBCfinancial serviceseconomic sanction violation2003OFAC$5,500
MashreqBank economic sanction violation2003OFAC$5,500
National City BankPNC Financial Servicesfinancial serviceseconomic sanction violation2003OFAC$5,500
Polsteam USA, Inc. economic sanction violation2003OFAC$5,500
State Bank of India economic sanction violation2003OFAC$5,500
Uptown National Bank of Chicago economic sanction violation2003OFAC$5,500
Wells Fargo BankWells Fargofinancial serviceseconomic sanction violation2003OFAC$5,500
World Auto Parts economic sanction violation2003OFAC$5,500
Bank of Odessa banking violation2017FDIC$5,500
Gus Macker Enterprises, Inc. tax violations2003NY-AG$5,500
WOLF RIVER COMMUNITY BANK banking violation2012FDIC$5,500
BRIMFIELD BANK banking violation2011FDIC$5,500
THE PEOPLES BANK banking violation2010FDIC$5,500
OOSTBURG STATE BANK banking violation2010FDIC$5,500
LISLE SAVINGS BANK banking violation2010FDIC$5,500
FIRST BANK OF DALTON banking violation2010FDIC$5,500
UNITED-AMERICAN SAVINGS BANK banking violation2010FDIC$5,500
MARATHON SAVINGS BANK banking violation2010FDIC$5,500
SUMMIT COMMUNITY BANK banking violation2010FDIC$5,500
AFFINITY BANK OF PENNSYLVANIA banking violation2010FDIC$5,500
CRESCENT BANK banking violation2010FDIC$5,500
FARMERS AND MERCHANTS UNION BANK banking violation2010FDIC$5,500
CHRISTIANA BANK & TRUST COMPANY banking violation2010FDIC$5,500
Bank of Clarke County banking violation2020FED$5,500
Emerson Capital Corp. investor protection violation2014IL-SEC$5,500
Anabaptist Financial investor protection violation2019KY-FIN$5,500
Broadview Asset Management, LLC investor protection violation2007MO-SEC$5,500
Legacy Financial Assurance Group, Inc. investor protection violation2010MO-SEC$5,500
Tag and Tackle Outfitters, LLC investor protection violation2013MO-SEC$5,500
Successful Resource Management, Ltd. investor protection violation2015MO-SEC$5,500
Venulum Ltd. investor protection violation2013SC-SEC$5,500
Mackrow Asset Management Group investor protection violation2018SC-SEC$5,500
Cuso Equities Inc. investor protection violation2003TN-SEC$5,500
BASIN OIL & GAS CORPORATION investor protection violation2002VA-SEC$5,500
NATIONAL TENANT NETWORK, INC. investor protection violation2006VA-SEC$5,500
Pacific Watercraft Group, Inc. investor protection violation2018WA-FIN$5,500
H I Management Services Inc. investor protection violation2020SC-SEC$5,500
Fortis Group Advisors, LLC investor protection violation2022CT-SEC$5,500
Citizens State Bank banking violation2014FDIC$5,470
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020KY-FIN$5,465
Paez Real Estate Funding investor protection violation2006IL-SEC$5,462
Green Forest Investments and Development Company, LLC investor protection violation2009MO-SEC$5,460
Oracle Ten Fund, L.P. tax violations2014CT-AG$5,445
WEST BANK banking violation2006FDIC$5,440
William and Alice Mortensen Foundation, Inc. tax violations2014CT-AG$5,415
Western Bank banking violation2014FED$5,410
AMERICAN COMMUNITY BANK banking violation2010FDIC$5,405
Stockman Bank of Montana banking violation2015FDIC$5,400
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.