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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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Company sort iconCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearAgencyPenalty Amount
Amdocs IT Services, LLC tax violations2013CT-AG$22,005
Amcore Bank, National Association banking violation2003OCC$5,000
AMC Diligence, LLC tax violations2014CT-AG$5,700
Amboy Bank banking violation2020FED$28,000
Ambit Capital Pvt. Ltd. investor protection violation2012SEC$30,910
Ambassador College Bookstores, Inc. tax violations2012CT-AG$7,110
Ambassador Advisors, LLC investor protection violation2022SEC$622,642
AMBANK banking violation2011FDIC$15,000
AMBANK banking violation2010FDIC$5,600
Amazon.com, Inc.Amazon.comretailingeconomic sanction violation2020OFAC$134,523
Amazon Exploration LLC investor protection violation2013IA-INS$10,000
AMAZING FINISH, LLC investor protection violation2017VA-SEC$5,000
Amarillo National Bank banking violation2013OCC$7,250
Amaranth Advisors L.L.C. investor protection violation2007SEC$716,819
Amani Investments LLC anti-money-laundering deficiencies2023USAO$1,000,000
Amaggi Exportacao e Importacao Ltda. investor protection violation2021CFTC$175,000
Amadeus Wealth Advisors, LLC investor protection violation2019SEC$40,000
Amada Franchise, Inc. investor protection violation2020CA-DFPI$10,000
Amada Capital Management LLC investor protection violation2020CFTC$596,700
Amada Capital Corp. tax violations2013CT-AG$5,610
Alvarez & Associates, Inc. accounting fraud or deficiencies2022PCAOB$50,000
Alumni Ventures Group, LLC investor protection violation2022SEC$5,400,000
Alumni Ventures Group investor protection violation2022MA-SEC$750,000
Alumni Ventures Group investor protection violation2022NH-BSR$700,000
Alumin USA, Ltd. investor protection violation2018IL-SEC$100,000
Alto Products Corp. economic sanction violation2004OFAC$13,750
Altima Inc. anti-money-laundering deficiencies2011FINCEN$5,000
Alternative Asset Management Securities, LLC investor protection violation2017NH-BSR$5,000
Alterisio Construction, Inc. tax violations2012CT-AG$8,033
Altair Nanotechnologies, Inc. investor protection violation2016SEC$250,000
Altair Management Partners, Inc. investor protection violation2023PA-BKG$30,000
Altaba Inc. investor protection violation2018SEC$35,000,000
Alta Communications investor protection violation2017SEC$35,000
Alpine Woods Capital Investors, LLC investor protection violation2011SEC$650,000
Alpine Pictures, Inc. investor protection violation2011CA-DFPI$100,000
Alpine Petroleum, LLC and Red Earth Resources, Inc. investor protection violation2008MD-SEC$90,000
ALPINE BANK banking violation2009FDIC$12,925
Alpine 4 Holdings, Inc. investor protection violation2023SEC$60,000
AlphaQuest Partners LLC investor protection violation2019MN-FIN$10,000
ALPHACOM, INC. investor protection violation2002VA-SEC$20,000
Alphacentric Advisors LLC investor protection violation2022SEC$300,000
AlphaBridge Capital Management accounting fraud or deficiencies2015SEC$5,000,000
Alpha Wealth Group investor protection violation2013IL-SEC$20,000
Alpha Titans LLC investor protection violation2015SEC$698,450
Alpha Technologies Inc. tax violations2004USAO$500,000
Alpha Tech Stock Transfer Trust investor protection violation2000SEC$10,000
Alpha Pharmaceutical, Inc. economic sanction violation2004OFAC$198,711
Alpha Industries, Inc economic sanction violation2003OFAC$7,500
Alpha Financial Planning, Inc. investor protection violation2022PA-BKG$5,000
Alpha Fiduciary, Inc. investor protection violation2015SEC$250,000
Alpha Energy Inc. and Alliance Resources Group Inc. investor protection violation2008OR-FIN$480,000
Alpha Capital Partners, LLC investor protection violation2012CA-DFPI$11,000
Alms and Associates, Inc. investor protection violation2013MD-SEC$25,000
Alma Investment LLC economic sanction violation2013OFAC$1,500,000
Alma Exchange Bank and Trust banking violation2013FDIC$25,000
Alma Bank banking violation2013FDIC$9,755
Alma Bank banking violation2019FDIC$1,250,000
Allstate Financial Services, LLCAllstatefinancial servicesinvestor protection violation2002FL-OFR$21,300
Allstate Financial Services LLCAllstatefinancial servicesinvestor protection violation2004FINRA$150,000
Allsource Financial Management, LLC investor protection violation2015MD-SEC$10,578
Allmerica Investments, Inc. investor protection violation2001FINRA$15,000
Allied Wine Corp. tax violations2023ATTTB$55,000
Allied Trading Group investor protection violation2017MO-SEC$118,481
Allied Syndications, Inc. dba Allied Energy Group investor protection violation2007KY-FIN$10,000
Allied Markets, LLC investor protection violation2019CFTC$2,400,000
Allied Home Mortgage Capital Corp.Americus Mortgagefinancial servicesinvestor protection violation2009AR-SEC$10,000
Allied Energy, Inc. fka Allied Syndications, Inc. investor protection violation2018CT-SEC$10,000
Allied Energy, Inc. investor protection violation2015AR-SEC$7,500
Allied Energy, Inc. investor protection violation2010KY-FIN$50,000
Allied Energy Group et al. investor protection violation2004TX-SEC$8,000
Allied Account Services, Inc. tax violations2016CT-AG$9,344
Allianz Life Insurance Company of North AmericaAllianzfinancial servicesinvestor protection violation2007MN-AG$500,000
Allianz Global Risks U.S. Insurance CompanAllianzfinancial serviceseconomic sanction violation2019OFAC$170,535
Allianz Global Investors U.S. LLCAllianzfinancial servicesinvestor protection violation2022SEC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,024,200,000
Allianz Dresdner Asset Management of America LPAllianzfinancial servicesinvestor protection violation2004NJ-AG$18,000,000
AllianceBernstein, L.P.Equitable Holdingsfinancial servicesinvestor protection violation2007SEC$450,000
AllianceBernstein L.P.Equitable Holdingsfinancial servicesinvestor protection violation2013CO-SEC$20,232
AllianceBernstein L.P.Equitable Holdingsfinancial servicesinvestor protection violation2012DE-SEC$20,000
AllianceBernstein Investments, Inc.Equitable Holdingsfinancial servicesinvestor protection violation2007FINRA$100,000
AllianceBernstein Investment Research and Management, Inc.Equitable Holdingsfinancial servicesinvestor protection violation2005FINRA$3,984,087
Alliance Trust and Chemical Trust and United Marketing Trust investor protection violation2000AZ-CC$75,000
Alliance Steel, Inc. economic sanction violation2021OFAC$435,003
Alliance Healthcare Services, Inc. tax violations2009CT-AG$15,427
Alliance for Responsible Cuba Policy Foundation economic sanction violation2017OFAC$10,000
Alliance Financial Services of Illinois Ltd. investor protection violation2009IL-SEC$10,000
ALLIANCE BANK banking violation2010FDIC$7,190
Allergan Inc.AbbViepharmaceuticalsinvestor protection violation2017SEC$15,000,000
Allen Financial Group, Inc. investor protection violation2000FL-OFR$50,000
Allen Douglas Securities, Inc. investor protection violation2004FL-OFR$10,000
Allen Company of Florida, Inc. investor protection violation2006IL-SEC$9,250
Allegis Investment Advisors, LLC investor protection violation2017ID-SEC$755,246
Allegiant Retirement Group investor protection violation2016MO-SEC$14,500
ALLEGIANCE BANK OF NORTH AMERICA banking violation2010FDIC$5,975
Allegheny Investments, Ltd. investor protection violation2007MD-SEC$200,000
All-Star Staffing, LLC investor protection violation2021ID-SEC$51,210
All Wave Engineering, Inc. investor protection violation2016WA-FIN$15,000
All Share Inc. investor protection violation2015IN-SEC$1,643,711
All City Investments, LLC investor protection violation2018CFTC$670,912
ALL ABOUT HONEYMOONS FRANCHISE investor protection violation2013VA-SEC$12,000
Alii Consulting investor protection violation2017CA-DFPI$15,000
Alight Financial Solutions, LLC investor protection violation2019NH-BSR$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.