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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
Protege Financial & Insurance Service, Inc. et al. investor protection violation2014CA-DFPI$38,200,000
Akazoo S.A. investor protection violation2021SEC$38,800,000
Blackstone GroupBlackstoneprivate equity (including portfolio companies)investor protection violation2015SEC$39,000,000
Sidley Austin LLPSidley Austinbusiness servicestax violations2007IRS$39,400,000
First Eagle Investment Management and FEF Distributors investor protection violation2015SEC$39,748,260
Ernst & YoungErnst & Youngbusiness servicesbanking violation2004FDIC$40,000,000
ABN AMRO Bank, N.V.ABN AMROfinancial serviceseconomic sanction violation2006OFAC$40,000,000
Harbert Management CorporationHarbert Managementdiversifiedtax violations2017NY-AG$40,000,000
Fiat Chrysler Automobiles N.V.Stellantismotor vehiclesaccounting fraud or deficiencies2019SEC$40,000,000
G.B. Enterprises Inc. tax violations2004USAO$40,000,000
Mashreqbank PSC anti-money-laundering deficiencies2018NY-DFS$40,000,000
Putnam Investment Management, LLCFranklin Resourcesfinancial servicesinvestor protection violation2005SEC$40,000,001
Tycoon Trading, LLC et al. investor protection violation2023AK-DBS$40,684,525
Tether Holdings Limited et al. investor protection violation2021CFTC$41,000,000
Banque Cantonale Vaudoise tax violations2015DOJ_TAX$41,677,000
Hon Hai Precision Industry Company Ltd. And E-Star Inc.Foxconn Technology Group (Hon Hai Precision Industry Company)electrical and electronic equipmenttax violations2007USAO$42,000,000
Merrill Lynch, Pierce, Fenner & SmithBank of Americafinancial servicesinvestor protection violation2018SEC$42,000,000
Bank of America Merrill LynchBank of Americafinancial servicesinvestor protection violation2018NY-AG$42,000,000
Super Absorbent Co., Synchronized Funding, LLC investor protection violation2010CA-DFPI$42,650,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinafinancial servicesinvestor protection violation2019SEC$42,700,000
Value Line Inc. investor protection violation2009SEC$43,705,765
ConAgra Foods, Inc.ConAgra Brandsfood productsaccounting fraud or deficiencies2007SEC$45,000,000
Merrill Lynch & Co.Bank of Americafinancial servicesinvestor protection violation2013NJ-AG$45,000,000
Edmond de Rothschild (Suisse) SA and Edmond de Rothschild (Lugano) SA tax violations2015DOJ_TAX$45,245,000
Regions BankRegions Financialfinancial servicesbanking violation2014FED$46,000,000
Las Vegas Sands Corp.Las Vegas Sands Corp.entertainmentanti-money-laundering deficiencies2013USAO$47,400,300
Volkswagen AGVolkswagenmotor vehiclesinvestor protection violation2024SEC$48,750,000
HSZH Verwaltungs AG tax violations2016DOJ_TAX$49,000,000
THE ROYAL BANK OF SCOTLAND GROUP PLCNatWest Group PLCfinancial servicesbanking violation2013FED$50,000,000
UBS SecuritiesUBSfinancial servicestoxic securities abuses2013SEC$50,000,000
BDO USA, LLPBDO Internationalbusiness servicestax violations2012USAO$50,000,000
General Electric CompanyGeneral Electricdiversifiedaccounting fraud or deficiencies2009SEC$50,000,000
Federal Home Loan Mortgage Corporation (Freddie Mac)Freddie Mac (Federal Home Loan Mortgage Corporation)financial servicesinvestor protection violation2007SEC$50,000,000
MBIA Inc.MBIAfinancial servicesaccounting fraud or deficiencies2007SEC$50,000,000
Tyco International Ltd.Johnson Controlsautomotive partsaccounting fraud or deficiencies2006SEC$50,000,000
McAfee, Inc.Advent Internationalprivate equity (including portfolio companies)accounting fraud or deficiencies2006SEC$50,000,000
Deloitte & Touche LLPDeloittebusiness servicesaccounting fraud or deficiencies2005SEC$50,000,000
Vivendi Universal, S.A.Comcasttelecommunicationsaccounting fraud or deficiencies2003SEC$50,000,000
Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2003SEC$50,000,000
Wachovia Bank N.A.Wells Fargofinancial servicesanti-money-laundering deficiencies2010USAO$50,000,000
Rabobank, National AssociationRabobankfinancial servicesanti-money-laundering deficiencies2018OCC$50,000,000
Waddell & Reed, Inc.Macquariefinancial servicesinvestor protection violation2006SEC$50,000,000
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2019SEC$50,000,000
Beazer Homes USA Inc.Beazer Homes USAconstruction and engineeringaccounting fraud or deficiencies2009USAO(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000
Royal Bank of ScotlandNatWest Group PLCfinancial serviceseconomic sanction violation2013NY-DFS$50,000,000
Bank of AmericaBank of Americafinancial servicesinvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000
HDR Global Trading Limited et al. investor protection violation2021CFTC$50,000,000
BlockFi Lending LLC investor protection violation2022MULTI-AG$50,000,000
BlockFi Lending LLC investor protection violation2022SEC$50,000,000
Grand River Enterprises Six Nations, Ltd. and Native Wholesale Supply Company, Inc. tax violations2022NY-AG$50,000,000
Jefferies LLCJefferies Financial Groupdiversifiedinvestor protection violation2022SEC$50,000,000
Nomura Securities International, Inc.Nomurafinancial servicesinvestor protection violation2022SEC$50,000,000
Golden California Regional Center, LLC investor protection violation2019SEC$50,295,232
America Modern Green Senior (Houston) LLC, America Modern Green Community (Houston) LLC, and America Modern Green Residential (Houston) LLC investor protection violation2018SEC$51,400,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesbanking violation2014OCC$51,900,000
WachoviaWells Fargofinancial servicestoxic securities abuses2015NCUA$53,000,000
AR Capital LLC investor protection violation2019SEC$53,000,000
Oasis International Group et al. investor protection violation2023CFTC$53,270,336
Societe Generale S.A.Societe Generalefinancial serviceseconomic sanction violation2018OFAC$53,966,916
Bank of New York MellonBank of New York Mellonfinancial servicesinvestor protection violation2018SEC$54,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2016SEC$54,300,000
Osiris Fund Limited Partnership and Osiris Partners, LLC investor protection violation2014NJ-BOS$54,600,000
American Express Bank InternationalAmerican Expressfinancial servicesanti-money-laundering deficiencies2007DOJ_CRIMINAL$55,000,000
Hartford Financial Services Group, Inc.Hartford Financial Servicesfinancial servicesinvestor protection violation2006SEC$55,000,000
Focus Media Holding Limited investor protection violation2015SEC$55,600,000
Vale S.A.Vale S.A.mining and mineralsaccounting fraud or deficiencies2023SEC$55,900,000
Deutsche Bank AGDeutsche Bankfinancial serviceseconomic sanction violation2015FED$58,000,000
BNP Paribas (Suisse) SABNP Paribasfinancial servicestax violations2015DOJ_TAX$59,783,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasefinancial servicesbanking violation2013OCC$60,000,000
Western UnionWestern Unionfinancial servicesanti-money-laundering deficiencies2018NY-DFS$60,000,000
Morgan Stanley Bank, N.A.Morgan Stanleyfinancial servicesbanking violation2020OCC$60,000,000
Basler Kantonalbank tax violations2018DOJ_TAX$60,400,000
JPMorgan Chase & Co.JPMorgan Chasefinancial servicesbanking violation2016FED$61,900,000
Kraft Heinz CompanyKraft Heinzfood productsaccounting fraud or deficiencies2021SEC$62,000,000
Empires Consulting Corp. investor protection violation2024CFTC$64,356,794
SunTrust Mortgage, Inc.Truist Financialfinancial servicestoxic securities abuses2013FHFA$65,000,000
ServiceLink Holdings, LLCFidelity National Financialfinancial servicesbanking violation2017FED$65,000,000
Wells Fargo & CompanyWells Fargofinancial servicesinvestor protection violation2018NY-AG$65,000,000
Robinhood Financial LLCRobinhood Marketsfinancial servicesinvestor protection violation2020SEC$65,000,000
City National BankRoyal Bank of Canadafinancial servicesbanking violation2024OCC$65,000,000
Knight Securities, L.P.Virtu Financialfinancial servicesinvestor protection violation2004SEC$66,500,000
AIC Inc. investor protection violation2014SEC$66,760,521
OppenheimerFundsInvescofinancial servicesinvestor protection violation2010NM-AG$67,300,000
Tower Research Capital LLC investor protection violation2019CFTC$67,493,849
St. Paul Travelers Companies Inc.Travelersfinancial servicesinvestor protection violation2005NM-AG$67,500,000
American Skandia Investment Services, Inc.Prudential Financialfinancial servicesinvestor protection violation2009SEC$68,000,000
Luca International Group, LLC investor protection violation2016SEC$68,300,000
Robinhood Financial LLCRobinhood Marketsfinancial servicesinvestor protection violation2021FINRA$69,600,000
Citigroup Inc.Citigroupfinancial servicesbanking violation2004FED$70,000,000
Citibank N.A.Citigroupfinancial servicesanti-money-laundering deficiencies2018OCC$70,000,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesanti-money-laundering deficiencies2018FINCEN$70,000,000
General Reinsurance CorporationBerkshire Hathawaydiversifiedinvestor protection violation2009OH-AG$72,000,000
Wells Fargo Bank, N.A.Wells Fargofinancial servicesbanking violation2021USAO$72,600,000
Tyco International Ltd.Johnson Controlsautomotive partsaccounting fraud or deficiencies2008NJ-AG$73,250,000
Wegelin & Co tax violations2013DOJ_TAX$74,000,000
Hong Kong Entertainment (Overseas) Investments, Ltd. d/b/a Tinian Dynasty Hotel & Casino anti-money-laundering deficiencies2015FINCEN$75,000,000
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2004SEC$75,000,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesanti-money-laundering deficiencies2018OCC$75,000,000
Credit Suisse First Boston LLCUBSfinancial servicesinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $75,000,000
BNP ParibasBNP Paribasfinancial servicesinvestor protection violation2023CFTC$75,000,000
Societe GeneraleSociete Generalefinancial servicesinvestor protection violation2023CFTC$75,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.