Warning: Undefined array key 1 in /usr/home/goodjobsfirst/public_html/violationtrackerlive/function.php on line 727
Basic Search  |  Summaries  |  Advanced Search

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
Company sort iconCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearAgencyPenalty Amount
Arcturus Corporation and Aschere Energy LLC investor protection violation2017SEC$15,500,000
Archipelago Trading Services Inc. investor protection violation2023SEC$1,500,000
Archimedes Foundation Trust investor protection violation2022AZ-CC$1,760,000
Archer Daniels Midland CompanyArcher Daniels Midlandagribusinesseconomic sanction violation2005OFAC$13,750
Arcadia Wealth Management, Inc. investor protection violation2022SEC$90,000
Arbor Capital Management, Inc. investor protection violation2013AK-DBS$5,000
ARB Trading Group LP investor protection violation2020CFTC$445,000
Aralia Securities, Ltd. And Vintage Bullion DMC investor protection violation2021CFTC$100,000
Aracoma Contracting LLC anti-money-laundering deficiencies2014USAO$4,405,000
Arab Banking Corp.Arab Banking Corp.financial serviceseconomic sanction violation2004OFAC$5,500
AR Capital LLC investor protection violation2019SEC$53,000,000
Aquatic Renovation Systems, Inc. tax violations2013CT-AG$7,193
AQS, Inc. tax violations2015CT-AG$6,300
Apuro Holdings Ltd et al. investor protection violation2019CFTC$2,243,344
Aptus Financial, LLC investor protection violation2021PA-BKG$5,000
Aptus Financial, LLC investor protection violation2022VA-SEC$6,000
APT MotoVox Group Inc. investor protection violation2014SEC$25,000
Approved Storage and Waste Hauling Inc. tax violations2014CT-AG$12,995
Appomattox Advisory, Inc. investor protection violation2023SEC$150,000
Applied Financial Group Inc. investor protection violation2005SEC$50,000
Applied Digital Technologies, Inc. investor protection violation2012CA-DFPI$8,000,000
Applied BioSciences Corp. investor protection violation2020SEC$25,000
APPLIED BANK banking violation2011FDIC$100,000
AppliChem GmbH economic sanction violation2019OFAC$5,512,564
Apple, Inc.Apple Inc.electrical and electronic equipmenteconomic sanction violation2019OFAC$466,912
Apple Tree Investments, Inc. investor protection violation2009AR-SEC$50,000
Apple Six Advisors Inc. accounting fraud or deficiencies2014SEC$437,500
Apple Seven Advisors Inc. accounting fraud or deficiencies2014SEC$375,000
Apple Nine Advisors Inc. accounting fraud or deficiencies2014SEC$250,000
Apple Eight Advisors Inc. accounting fraud or deficiencies2014SEC$437,500
Apple Bank for Savings anti-money-laundering deficiencies2020FDIC$12,500,000
Appaloosa Management L.P. investor protection violation2010SEC$1,304,523
App Annie Inc. investor protection violation2021SEC$10,000,000
Apollo18 LLC investor protection violation2018PA-BKG$5,000
Apollo Aviation Group, LLC economic sanction violation2019OFAC$210,600
API International, Inc. economic sanction violation2004OFAC$10,000
Apexium Financial LP investor protection violation2023SEC$150,000
Apex Fund Services (US), Inc. investor protection violation2016SEC$171,836
Apex Financial Advisors Inc. investor protection violation2023SEC$130,000
AOV WI FI investor protection violation2004MD-SEC$10,000
Aon Investments USA Inc.Aonfinancial servicesinvestor protection violation2024SEC$1,542,187
Aon International Energy, Inc. economic sanction violation2011OFAC$36,000
AOLApollo Global Managementprivate equity (including portfolio companies)accounting fraud or deficiencies2006AK-AG$25,000,000
ANY TEST FRANCHISING, INC. investor protection violation2013VA-SEC$35,000
Antonelli Financial Advisors, LLC investor protection violation2019MI-SEC$10,000
Anthony Kam & Associates Limited accounting fraud or deficiencies2017PCAOB$10,000
Anthone Properties, LLC investor protection violation2005WA-FIN$60,000
Anson Advisors Inc investor protection violation2023SEC$3,330,394
ANS Enterprises, LLC investor protection violation2014NJ-BOS$453,138
Annett & Associates investor protection violation2020CO-SEC$7,000
Anheuser-Busch, LLCAnheuser-Busch InBevbeveragestax violations2020ATTTB$5,000,000
Angus Partners LLC investor protection violation2016CFTC$250,000
Angel Rose Energy, LLC investor protection violation2012KY-FIN$5,000
Angel Oak Capital Partners, LLC investor protection violation2017SEC$3,666,370
Angel Oak Capital Advisors, LLC investor protection violation2022SEC$1,750,000
Andrew Garrett, Inc. investor protection violation2006MO-SEC$9,500
Andrew Garrett, Inc. investor protection violation2008MO-SEC$15,000
Andrew Garrett Inc. investor protection violation2010CT-SEC$20,000
Andover Brokerage, LLC investor protection violation2003SEC$151,876
Andiamo Corporation investor protection violation2021SEC$150,000
Anderson-David & Associates, Inc. investor protection violation2002ID-SEC$12,000
Anderson Merchandisers, LLC tax violations2016CT-AG$5,100
Anderson Heights Development LLC investor protection violation2014OR-FIN$12,000
ANDERSON BROTHERS BANK banking violation2008FDIC$11,200
Andersen, LLP accounting fraud or deficiencies2002AZ-AG$217,000,000
Andeavor LLCMarathon Petroleumoil and gasaccounting fraud or deficiencies2020SEC$20,000,000
Andalusian Wealth Management, LLC investor protection violation2022PA-BKG$25,000
Ancora Advisors LLC investor protection violation2018SEC$100,000
Anchor Mortgage, LLC investor protection violation2009MD-SEC$120,000
Analog Devices, Inc.Analog Devices Inc.electrical and electronic equipmentaccounting fraud or deficiencies2008SEC$3,000,000
Anabaptist Financial investor protection violation2019KY-FIN$5,500
Amyris, Inc.Amyrispharmaceuticalsinvestor protection violation2021SEC$300,000
Amvest Securities, Inc. investor protection violation2006IL-SEC$24,400
AmSouth Investment Services, Inc.Regions Financialfinancial servicesinvestor protection violation2004MS-SEC$225,000
AmSouth BankRegions Financialfinancial servicesinvestor protection violation2008SEC$11,400,000
AMS Sales, LLC tax violations2015CT-AG$35,745
AMPAK ENERGY COMPANY investor protection violation2002VA-SEC$8,768
Amory Federal Savings & Loan Association banking violation2015OCC$16,700
AMMB Consultant Sendirian Berhad investor protection violation2012SEC$1,550,000
AMG Marketing Services, LLC tax violations2015CT-AG$14,100
AMG Energy, LLC and R. Thomas?& Co., LLC investor protection violation2017SEC$150,000
AmerUs Life Insurance Co. and American Investors Life Insurance Co.Apollo Global Managementprivate equity (including portfolio companies)investor protection violation2008MN-AG$375,000
Ameron International CorporationNOV Inc.oilfield services and supplieseconomic sanction violation2013OFAC$434,700
Ameritraining, Inc. tax violations2014CT-AG$8,243
Ameritrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2009DE-SEC$40,000
Ameritrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2004FINRA$10,000,000
Ameritrade Inc.Charles Schwab Corp.financial servicesinvestor protection violation2007TX-SEC$200,000
Ameritas Investment CorporationAmeritas Mutual Holding Companyfinancial servicesinvestor protection violation2003TX-SEC$25,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyfinancial servicesinvestor protection violation2015SEC$200,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyfinancial servicesinvestor protection violation2019SEC$3,389,174
Ameritas Investment Corp.Ameritas Mutual Holding Companyfinancial servicesinvestor protection violation2014IA-INS$10,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyfinancial servicesinvestor protection violation2008NE-DBF$11,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyfinancial servicesinvestor protection violation2021SD-SEC$20,000
Ameritas Investment Company LLCAmeritas Mutual Holding Companyfinancial servicesinvestor protection violation2020PA-BKG$100,000
Ameritas Investment Co.Ameritas Mutual Holding Companyfinancial servicesinvestor protection violation2022NV-SEC$15,000
Ameritas Advisory Services, LLCAmeritas Mutual Holding Companyfinancial servicesinvestor protection violation2022SEC$4,628,194
Ameriprise Financial, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2005SEC$30,000,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2009SEC$17,300,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2017SEC$8,750,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2018NJ-AG$375,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2013MA-SEC$400,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.