Violation Tracker

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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 Companies	Total Penalty $	Number of Records
Bank of America	$41,332,842,096	155
UBS	$27,709,494,893	134
JPMorgan Chase	$27,007,359,167	119
Citigroup	$19,742,743,935	103
Deutsche Bank	$15,634,467,278	66
Goldman Sachs	$13,126,412,841	57
NatWest Group PLC	$12,235,546,857	25
Wells Fargo	$10,735,220,989	127
Morgan Stanley	$9,877,862,956	163
BNP Paribas	$9,164,773,000	10

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	Current Parent	Current Parent Industry	Primary Offense Type	Year	Agency	Penalty Amount
THE HALSTEAD BANK			banking violation	2003	FDIC	$6,300
HUDSON UNITED BANK			banking violation	2003	FDIC	$10,000
WEST GATE BANK			banking violation	2003	FDIC	$16,400
SEVIER COUNTY BANK			banking violation	2003	FDIC	$6,000
UNITED BANK			banking violation	2003	FDIC	$7,000
COWLITZ BANK			banking violation	2003	FDIC	$27,000
COMMUNITY BANKS			banking violation	2003	FDIC	$8,000
THE UNION BANK			banking violation	2003	FDIC	$5,600
BANK OF NEW MADRID			banking violation	2003	FDIC	$11,600
Provident Bank			banking violation	2003	FED	$34,100
The Bank of Currituck			banking violation	2003	FED	$16,000
WestLB AG			banking violation	2003	FED	$3,000,000
Community State Bank			banking violation	2003	FED	$5,250
Community First Bank & Trust			banking violation	2003	FED	$5,500
Citizens Bank and Trust Company			banking violation	2003	FED	$7,000
First Bank			banking violation	2003	FED	$17,150
PNC ICLC Corp.	PNC Financial Services	financial services	accounting fraud or deficiencies	2003	DOJ_CRIMINAL	$115,000,000
A. Kazemi & Co., Inc.			economic sanction violation	2003	OFAC	$8,262
AAR International Inc.	AAR Corp.	aerospace and military contracting	economic sanction violation	2003	OFAC	$9,400
Alpha Industries, Inc			economic sanction violation	2003	OFAC	$7,500
American Airlines	American Airlines	airlines	economic sanction violation	2003	OFAC	$47,250
Axon Corporation			economic sanction violation	2003	OFAC	$45,000
Banco Bradesco S.A			economic sanction violation	2003	OFAC	$9,000
Bancomer S.A.			economic sanction violation	2003	OFAC	$5,000
Bank of America	Bank of America	financial services	economic sanction violation	2003	OFAC	$158,038
Bank of New York	Bank of New York Mellon	financial services	economic sanction violation	2003	OFAC	$24,750
Bank Polska Kasa Opieki SA/Bank Pekao SA			economic sanction violation	2003	OFAC	$9,725
Bank United			economic sanction violation	2003	OFAC	$5,842
Barclays Bank PLC	Barclays	financial services	economic sanction violation	2003	OFAC	$10,107
Barwill Agencies (N.A.), Inc			economic sanction violation	2003	OFAC	$8,250
Bently Nevada Corporation	Baker Hughes	oilfield services and supplies	economic sanction violation	2003	OFAC	$8,250
Bio Check Cor			economic sanction violation	2003	OFAC	$32,000
Brastrade Brazilian Trading Co., Inc.			economic sanction violation	2003	OFAC	$6,600
BRI Inc./Bellwether Resources International, Inc			economic sanction violation	2003	OFAC	$16,601
Carrier Access Corp.			economic sanction violation	2003	OFAC	$13,000
Caterpillar, Inc.	Caterpillar Inc.	heavy equipment	economic sanction violation	2003	OFAC	$18,000
Charmilles Techonologies Manufacturing Corporation			economic sanction violation	2003	OFAC	$5,000
Chevron/Texaco	Chevron	oil and gas	economic sanction violation	2003	OFAC	$14,071
Coastal Oceanographics, Inc			economic sanction violation	2003	OFAC	$56,750
Cooper Industries, Inc	Eaton	industrial equipment	economic sanction violation	2003	OFAC	$13,658
Credit Lyonnais, NY	Credit Agricole	financial services	economic sanction violation	2003	OFAC	$5,500
Cuba Paquetes			economic sanction violation	2003	OFAC	$5,361
Deutsche Bank A.G.	Deutsche Bank	financial services	economic sanction violation	2003	OFAC	$5,500
Dewey Ballantine LLP			economic sanction violation	2003	OFAC	$13,750
Disarm Education Fund			economic sanction violation	2003	OFAC	$13,750
Dow Agrosciences, LLC	Corteva	agribusiness	economic sanction violation	2003	OFAC	$20,000
E.H. Wachs Company, Inc.			economic sanction violation	2003	OFAC	$85,000
ESPN, Inc.	Walt Disney	entertainment	economic sanction violation	2003	OFAC	$39,050
Exxon Mobil Corp	Exxon Mobil	oil and gas	economic sanction violation	2003	OFAC	$50,000
Felins USA Inc			economic sanction violation	2003	OFAC	$5,500
First Security Bank, Utah			economic sanction violation	2003	OFAC	$63,200
Fleet Bank			economic sanction violation	2003	OFAC	$41,050
Guy Carpenter & Company, Inc	Marsh & McLennan	financial services	economic sanction violation	2003	OFAC	$50,000
Hanjin Shipping Co., Ltd.			economic sanction violation	2003	OFAC	$39,160
Harris Bank International			economic sanction violation	2003	OFAC	$11,000
Hercules Canada			economic sanction violation	2003	OFAC	$45,000
HSBC Bank USA	HSBC	financial services	economic sanction violation	2003	OFAC	$5,500
HSBC Bank USA	HSBC	financial services	economic sanction violation	2003	OFAC	$11,000
IGI, Inc			economic sanction violation	2003	OFAC	$225,000
Ingersoll-Rand Co.	Ingersoll Rand	industrial equipment	economic sanction violation	2003	OFAC	$137,500
InterAudi Bank			economic sanction violation	2003	OFAC	$13,750
Intrust Bank			economic sanction violation	2003	OFAC	$8,000
Javad Position Systems			economic sanction violation	2003	OFAC	$12,000
Key-Bell Corporation			economic sanction violation	2003	OFAC	$5,697
Linker Equipment Corporation			economic sanction violation	2003	OFAC	$22,000
Maersk Inc.	Maersk	freight and logistics	economic sanction violation	2003	OFAC	$40,000
MashreqBank			economic sanction violation	2003	OFAC	$5,500
Metso Minerals	Metso Outotec	industrial equipment	economic sanction violation	2003	OFAC	$10,000
National City Bank	PNC Financial Services	financial services	economic sanction violation	2003	OFAC	$5,500
New York Yankees			economic sanction violation	2003	OFAC	$75,000
Northern Trust, IBC	Northern Trust	financial services	economic sanction violation	2003	OFAC	$18,027
Playboy Enterprises, Inc			economic sanction violation	2003	OFAC	$27,500
Polsteam USA, Inc.			economic sanction violation	2003	OFAC	$5,500
Royal Crown Co.			economic sanction violation	2003	OFAC	$38,200
Ruffin Company			economic sanction violation	2003	OFAC	$42,964
Safra National Bank			economic sanction violation	2003	OFAC	$5,380
Samsung International, Inc	Samsung	diversified	economic sanction violation	2003	OFAC	$11,000
Sanwa Bank			economic sanction violation	2003	OFAC	$72,220
SG Global S.A. and United Marine Ltd.			economic sanction violation	2003	OFAC	$6,200
Societe Generale	Societe Generale	financial services	economic sanction violation	2003	OFAC	$6,600
Societe Generale	Societe Generale	financial services	economic sanction violation	2003	OFAC	$11,000
State Bank of India			economic sanction violation	2003	OFAC	$5,500
State Street Bank & Trust Co	State Street Corp.	financial services	economic sanction violation	2003	OFAC	$22,000
Stolt-Nielson Transportation Group			economic sanction violation	2003	OFAC	$95,000
Transpo Electronics, Inc.			economic sanction violation	2003	OFAC	$15,500
Triangle Wholesale			economic sanction violation	2003	OFAC	$11,000
U.S. Volleyball Association			economic sanction violation	2003	OFAC	$10,000
UBS (USA) Inc	UBS	financial services	economic sanction violation	2003	OFAC	$14,750
UBS (USA) Inc	UBS	financial services	economic sanction violation	2003	OFAC	$5,000
Union Bank of CA	U.S. Bancorp	financial services	economic sanction violation	2003	OFAC	$14,913
Union Bank of CA	U.S. Bancorp	financial services	economic sanction violation	2003	OFAC	$12,000
United Marine Ltd. and SG Global S.A			economic sanction violation	2003	OFAC	$6,200
Universal Services			economic sanction violation	2003	OFAC	$11,000
University of California at Los Angeles	University of California	miscellaneous services	economic sanction violation	2003	OFAC	$5,750
Uptown National Bank of Chicago			economic sanction violation	2003	OFAC	$5,500
Varco International, Inc.	NOV Inc.	oilfield services and supplies	economic sanction violation	2003	OFAC	$7,428
Vee-Marine Int'l Corp.			economic sanction violation	2003	OFAC	$24,750
Voices in the Wilderness			economic sanction violation	2003	OFAC	$20,000
Wal-Mart Stores, Inc.	Walmart	retailing	economic sanction violation	2003	OFAC	$50,000
Waterfront Beer and Wine, Inc			economic sanction violation	2003	OFAC	$12,440
Wells Fargo Bank	Wells Fargo	financial services	economic sanction violation	2003	OFAC	$5,500