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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 TypeYear sort iconAgencyPenalty Amount
Wells Fargo BankWells Fargofinancial serviceseconomic sanction violation2003OFAC$5,500
World Auto Parts economic sanction violation2003OFAC$5,500
World Courier Management, Inc. economic sanction violation2003OFAC$18,000
Zim American Israeli Shipping Co., IncZim Integrated Shipping Services Ltd.freight and logisticseconomic sanction violation2003OFAC$250,000
National City BankPNC Financial Servicesfinancial servicesbanking violation2003OCC$56,800
Amcore Bank, National Association banking violation2003OCC$5,000
First National Bank & Trust banking violation2003OCC$5,000
Guaranty National Bank of Tallahassee banking violation2003OCC$25,000
The Fremont National Bank and Trust Company banking violation2003OCC$5,000
Terre Haute First National Bank banking violation2003OCC$12,950
Peoples National Bank banking violation2003OCC$175,000
Cumberland Valley National Bank & Trust Company banking violation2003OCC$14,000
Vivendi Universal, S.A.Comcasttelecommunicationsaccounting fraud or deficiencies2003SEC$50,000,000
Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2003SEC$50,000,000
Premier Marketing and Investments, Inc. investor protection violation2003SEC$4,497,451
American International Group, Inc.American International Groupfinancial servicesaccounting fraud or deficiencies2003SEC$10,000,000
Schering-Plough CorporationMerckpharmaceuticalsinvestor protection violation2003SEC$1,000,000
Gardere Wynne Sewell LLP accounting fraud or deficiencies2003SEC$2,000,000
Deutsche Asset Management, Inc.Deutsche Bankfinancial servicesinvestor protection violation2003SEC$750,000
Citigroup, Inc.Citigroupfinancial servicesaccounting fraud or deficiencies2003SEC$101,000,000
Citigroup, Inc.Citigroupfinancial servicesaccounting fraud or deficiencies2003SEC$19,000,000
J.P. Morgan Chase & Co.JPMorgan Chasefinancial servicesaccounting fraud or deficiencies2003SEC$135,000,000
Prudential Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2003SEC$382,000
WorldCom Inc.Verizon Communicationstelecommunicationsaccounting fraud or deficiencies2003SEC$500,000,000
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2003SEC$1,000,000
Bear, Stearns & Co. Inc.JPMorgan Chasefinancial servicesinvestor protection violation2003SEC$80,000,000
Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc.Citigroupfinancial servicesinvestor protection violation2003SEC$400,000,000
Credit Suisse First Boston LLCUBSfinancial servicesinvestor protection violation2003SEC$200,000,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2003SEC$110,000,000
J.P. Morgan Securities Inc.JPMorgan Chasefinancial servicesinvestor protection violation2003SEC$80,000,000
Lehman Brothers Inc. investor protection violation2003SEC$80,000,000
Merrill Lynch, Pierce, Fenner & Smith, IncorporatedBank of Americafinancial servicesinvestor protection violation2003SEC$200,000,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2003SEC$125,000,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2003SEC$32,500,000
UBS Warburg LLCUBSfinancial servicesinvestor protection violation2003SEC$80,000,000
Merrill Lynch & Co. Inc.Bank of Americafinancial servicesaccounting fraud or deficiencies2003SEC$80,000,000
North American Medical Products, Inc. investor protection violation2003SEC$120,000
Banco Popular de Puerto RicoPopular Inc.financial servicesanti-money-laundering deficiencies2003DOJ_CRIMINAL$21,600,000
FT Interactive Data investor protection violation2003SEC$125,000
Brut, LLCNasdaq Inc.financial servicesinvestor protection violation2003SEC$45,000
Research Capital, LLC investor protection violation2003SEC$6,337
EquityAlert.com, Inc. and Innotech Corporation investor protection violation2003SEC$31,555
Mid-Ohio Securities Corp. investor protection violation2003SEC$25,000
Andover Brokerage, LLC investor protection violation2003SEC$151,876
Spear, Leeds & Kellogg, L.P.Goldman Sachsfinancial servicesinvestor protection violation2003SEC$450,000
Ascend Capital, LLC investor protection violation2003SEC$46,258
Jamison, Eaton & Wood, Inc. investor protection violation2003SEC$100,000
Baron Capital, Inc. investor protection violation2003SEC$2,000,000
Harvest Financial Corporation investor protection violation2003SEC$25,000
Gus Macker Enterprises, Inc. tax violations2003NY-AG$5,500
Berry-Hill Galleries, Inc. tax violations2003NY-MANDA$750,000
Chinese Porcelain Co. tax violations2003NY-MANDA$275,000
Salomon Lillian Gallery tax violations2003NY-MANDA$33,000
Chatelaine Ltd. tax violations2003NY-MANDA$120,000
Citigroup, Inc.Citigroupfinancial servicesaccounting fraud or deficiencies2003NY-MANDA$25,000,000
J.P. Morgan Chase & Co.JPMorgan Chasefinancial servicesaccounting fraud or deficiencies2003NY-MANDA$25,000,000
Macklowe Gallery Ltd. tax violations2003NY-MANDA$95,000
S.J. Shrubsole Corp. tax violations2003NY-MANDA$150,000
Bob P. Haboldt and Company, Inc. tax violations2003NY-MANDA$400,000
New York Rent-A-Car Corp. tax violations2003NY-QCDA$3,800,000
Six Stars Auto Sales tax violations2003NY-QCDA$2,100,000
Edward D. Jones and Co.,LPJones Financialfinancial servicesinvestor protection violation2003AK-DBS$11,000
Scottsdale Financial Funding Group, LLC investor protection violation2003AZ-CC$3,391,570
One Vision Children's Foundation, Inc. investor protection violation2003AZ-CC$4,407,140
Bob's Cash Express, Inc. et al. investor protection violation2003AZ-CC$693,320
Non-Stop Shopping.com, Inc. dba 2C2K.com, Inc. investor protection violation2003AZ-CC$162,500
Martin & Griffin, LLC investor protection violation2003AZ-CC$6,982,222
DMS Power Cash Flow, L.L.C. and Persanco, L.L.C. investor protection violation2003AZ-CC$945,025
Ocean International Marketing, Ltd et al. investor protection violation2003AZ-CC$174,689
The Rockwell Financial Group, Inc. investor protection violation2003DE-SEC$15,000
Waddell & Reed, Inc.Macquariefinancial servicesinvestor protection violation2003FL-OFR$8,800
T.H.E. Financial Group, Ltd. investor protection violation2003FL-OFR$15,000
PRS Latam, LLC investor protection violation2003FL-OFR$5,000
WM Financial Services, Inc. investor protection violation2003FL-OFR$40,000
CGF Securities, LLC investor protection violation2003FL-OFR$7,500
Veravest Investments, Inc. investor protection violation2003FL-OFR$5,000
Avenue Capital Investment, Inc. investor protection violation2003ID-SEC$25,000
Galaxy Financial Services, Inc et al. investor protection violation2003ID-SEC$209,000
Lost Rivers Hospital District dba Lost Rivers Medical Center investor protection violation2003ID-SEC$5,000
Mortgage Underwriters, LLC investor protection violation2003ID-SEC$304,000
McDonald Investments, Inc. investor protection violation2003ID-SEC$25,000
SBU, Inc. investor protection violation2003IL-SEC$20,000
Palm Beach Investment Group, Inc. investor protection violation2003IL-SEC$10,000
Geneva Securities, Inc. investor protection violation2003IL-SEC$20,000
Pro-Matrix Technologies, L.L.C. investor protection violation2003IL-SEC$20,000
Genesis Worldwide, Inc. investor protection violation2003IL-SEC$30,000
Downline Builders International investor protection violation2003IL-SEC$20,000
Gold Capital Management, Inc. investor protection violation2003IL-SEC$7,500
Polite and Company investor protection violation2003IL-SEC$5,000
James L. Paris Financial Services, Inc. investor protection violation2003ME-SEC$6,000
Mortgage Group III, LLC investor protection violation2003MN-FIN$10,000
Berthel Fisher & CompanyBerthel Fisherfinancial servicesinvestor protection violation2003MN-FIN$10,000
Eastern Energy Corp. investor protection violation2003MN-FIN$8,000
CGF Securities, LLC investor protection violation2003MN-FIN$5,000
MDVIP Inc. investor protection violation2003ND-SEC$5,000
US Petroleum LLC investor protection violation2003ND-SEC$14,000
Edward D. Jones & Co. LPJones Financialfinancial servicesinvestor protection violation2003ND-SEC$7,000
Berthel Fisher and Company Financial Services Inc.Berthel Fisherfinancial servicesinvestor protection violation2003ND-SEC$12,303
CGF Securities LLC investor protection violation2003ND-SEC$5,000
A.G. Edwards & Sons Inc.Wells Fargofinancial servicesinvestor protection violation2003NE-DBF$20,000
Cedar Rapids State Bank banking violation2003NE-DBF$9,800
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.