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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
Stockman Bank of Montana banking violation2015FDIC$5,400
SOUND BANKING COMPANY banking violation2009FDIC$5,400
American Tax Funding Servicing, LLC tax violations2015CT-AG$5,400
Celldex Therapeutics, Inc. tax violations2012CT-AG$5,400
Diamond Properties Management LLC tax violations2014CT-AG$5,400
GoPro, Inc. tax violations2015CT-AG$5,400
Impala USA, Inc. tax violations2015CT-AG$5,400
Kamunting Street Capital Management, LP tax violations2014CT-AG$5,400
Pacific Resources Benefits Advisors, LLCBrown & Brownfinancial servicestax violations2014CT-AG$5,400
Peoplelink, LLC tax violations2012CT-AG$5,400
Seagate US LLC tax violations2016CT-AG$5,400
WPP Group USA, Inc.WPPbusiness servicestax violations2016CT-AG$5,400
Valley Bank banking violation2012FDIC$5,400
BANK OF NEW GLARUS, THE banking violation2010FDIC$5,400
ASF, Inc. economic sanction violation2011OFAC$5,400
DREAM DINNERS, INC. investor protection violation2010VA-SEC$5,400
PEOPLE'S BANK AND TRUST COMPANY OF PICKETT COUNTY banking violation2009FDIC$5,390
J. D'Addario & Company, Inc. economic sanction violation2005OFAC$5,385
Colonial Medical Supply Co., Inc. tax violations2016CT-AG$5,385
Elliott Enterprises, Inc. tax violations2014CT-AG$5,385
Presidio International, Inc. tax violations2013CT-AG$5,385
Veracode, Inc. tax violations2014CT-AG$5,385
Safra National Bank economic sanction violation2003OFAC$5,380
Patapsco Securities, Inc. dba Chapin Davis investor protection violation2008AL-SEC$5,377
Financial Vision Advisory Services, LLC investor protection violation2020CT-BKG$5,375
Financial Vision Advisory Services, LLC investor protection violation2020CT-SEC$5,375
Cuba Paquetes economic sanction violation2003OFAC$5,361
BANK OF ONTARIO banking violation2009FDIC$5,350
Northern Michigan Bank & Trust banking violation2012FDIC$5,345
Parker Street Securities LLC investor protection violation2023CT-SEC$5,340
KLM CargoAir France-KLMairlineseconomic sanction violation2010OFAC$5,336
Parker Street Securities LLC investor protection violation2023CO-SEC$5,300
Gant Private Financial Management investor protection violation2015PA-BKG$5,296
Premier Valley Bank banking violation2015FDIC$5,280
COULEE BANK banking violation2009FDIC$5,270
Syzygy 3, Inc. tax violations2013CT-AG$5,265
City National BankRoyal Bank of Canadafinancial servicesbanking violation2010OCC$5,250
BANK OF MAUSTON banking violation2008FDIC$5,250
Community State Bank banking violation2003FED$5,250
Magic USA Tours, Inc. economic sanction violation2008OFAC$5,250
Cortrust Bank National Association banking violation2004OCC$5,250
Blo Blow Dry Bar Inc. tax violations2015CT-AG$5,250
Custom Exterior Systems, Inc. tax violations2016CT-AG$5,250
EXCHANGE BANK banking violation2010FDIC$5,250
Western Growers Financial Services, Inc. investor protection violation2006IL-SEC$5,250
American Alternative Investments, LLC investor protection violation2020ID-SEC$5,250
Validea Capital Management LLC investor protection violation2023CT-SEC$5,250
COLLINS CAPITAL LLC investor protection violation2024IN-SEC$5,250
Divine Capital Markets, LLC investor protection violation2006AL-SEC$5,241
Management Network Group, Inc. tax violations2012CT-AG$5,220
Aetna Life Insurance CompanyCVS Healthretailingeconomic sanction violation2008OFAC$5,210
Xerox (UK) LimitedXeroxmiscellaneous serviceseconomic sanction violation2004OFAC$5,207
BUSEY BANKFirst Busey Corp.financial servicesbanking violation2006FDIC$5,200
MIDWESTONE BANK banking violation2005FDIC$5,200
EXCHANGE BANK banking violation2011FDIC$5,200
MIDWESTONE BANK banking violation2005FDIC$5,200
Advisors Management Group, Inc. investor protection violation2005IL-SEC$5,200
Investors Capital Management, Inc. tax violations2013CT-AG$5,190
Stiles Machinery, Inc. tax violations2012CT-AG$5,190
A & A Drug Co. tax violations2012CT-AG$5,182
Shields Capital Corporation investor protection violation2010NE-DBF$5,180
Franklin Savings Bank banking violation2011FED$5,160
IO Intergration, Inc. tax violations2013CT-AG$5,160
Rockingham Capital Advisors LLC investor protection violation2016CT-SEC$5,160
WESTERN STATE BANK, THE banking violation2008FDIC$5,150
ADVANTAGE COMMUNITY BANK banking violation2007FDIC$5,150
ENTERPRISE BANK banking violation2002FDIC$5,150
SDV (USA), Inc. economic sanction violation2004OFAC$5,143
Schneider Optical Machines, Inc. tax violations2013CT-AG$5,130
Wireless Worldwide Connections, LLC, IX investor protection violation2006MN-FIN$5,130
CGIT Systems, Inc.AZZ Inc.electrical and electronic equipmenttax violations2012CT-AG$5,115
International Blind Contractors, Ltd. tax violations2012CT-AG$5,111
DMB COMMUNITY BANK banking violation2007FDIC$5,100
Anderson Merchandisers, LLC tax violations2016CT-AG$5,100
Bedford, Freeman & Worth Publishing Group, LLC tax violations2013CT-AG$5,100
Pharmerica Professional Services, LLCKKR & Co.private equity (including portfolio companies)tax violations2016CT-AG$5,100
Amec Aes, Inc. tax violations2014CT-AG$5,085
AWR Corp. tax violations2012CT-AG$5,085
Doctor on Demand, Inc. tax violations2016CT-AG$5,085
JNR Adjustment Company, Inc. tax violations2016CT-AG$5,085
NextGen Telecom Services Group, Inc. tax violations2012CT-AG$5,085
Paradysz, Inc. tax violations2013CT-AG$5,085
Pivot Medical, Inc. tax violations2013CT-AG$5,085
Zirtual, Inc. tax violations2015CT-AG$5,085
Hanley & Associates, LLC investor protection violation2018CT-SEC$5,075
Advicent Solutions, Inc. tax violations2015CT-AG$5,070
Durr Mechanical Construction, Inc. tax violations2015CT-AG$5,070
Environ-Chem Inc. investor protection violation2020MN-FIN$5,067
FOX RIVER STATE BANK banking violation2011FDIC$5,050
Church of God Foundation Inc. investor protection violation2012TN-SEC$5,050
American Express Bank Ltd.American Expressfinancial serviceseconomic sanction violation2004OFAC$5,041
IRR Residential, LLC tax violations2012CT-AG$5,040
Romano Brothers and Company investor protection violation2018CT-SEC$5,040
Audiovox, Inc. economic sanction violation2005OFAC$5,038
PremierBank banking violation2013FDIC$5,020
Boomerang Capital, LLC investor protection violation2020CT-BKG$5,020
Keybank National AssociationKeyCorpfinancial servicesbanking violation2015OCC$5,005
WEST POINTE BANK banking violation2010FDIC$5,005
STATE BANK OF SPEER banking violation2010FDIC$5,005
Tri-County Bank banking violation2015FED$5,000
BCBank, Incorporated banking violation2015FED$5,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.