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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
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000
U.S. Bancorp Investments Inc.U.S. Bancorpfinancial servicesinvestor protection violation2024SEC$8,000,000
U.S. Bancorp Investments, Inc.U.S. Bancorpfinancial servicesinvestor protection violation2020SEC$15,992,441
U.S. BancorpU.S. Bancorpfinancial servicesanti-money-laundering deficiencies2018USAO$453,000,000
U.S. Airways Group, Inc.American Airlinesairlineseconomic sanction violation2004OFAC$30,100
tZERO ATS, LLC investor protection violation2022SEC$800,000
Tyson Foods, Inc.Tyson Foodsfood productsaccounting fraud or deficiencies2005SEC$1,500,000
Tyson Foods, Inc.Tyson Foodsfood productsinvestor protection violation2021CFTC$1,500,000
Tyrol Group, LLC, Native American Tyrol Energy, LLC investor protection violation2017CT-SEC$100,000
Tycoon Trading, LLC et al. investor protection violation2023AK-DBS$40,684,525
Tycoon Trading, LLC investor protection violation2022AK-DBS$14,439,086
Tyco Valves & Controls Middle East, Inc.Emerson Electricindustrial equipmenteconomic sanction violation2007OFAC$450,905
Tyco International Ltd.Johnson Controlsautomotive partsaccounting fraud or deficiencies2006SEC$50,000,000
Tyco International Ltd.Johnson Controlsautomotive partsaccounting fraud or deficiencies2008NJ-AG$73,250,000
Tyco International Ltd.Johnson Controlsautomotive partsinvestor protection violation2002NH-BSR$5,100,000
Tyche Asset Management LLC et al. investor protection violation2023CFTC$21,308,692
Two Triangle Consulting Group, LLC d/b/a Goldman Small Cap Research investor protection violation2021SEC$83,582
Two Point Capital Management, Inc. investor protection violation2022SEC$75,000
Twin Rocks Asset Management, Inc. investor protection violation2013IN-SEC$5,000
TVDeeBee, Inc. investor protection violation2015WA-FIN$12,500
TV Products, LLC fka US Loans Negotiation, LLC investor protection violation2013AZ-CC$185,734
Turner, Jones and Company PLLC accounting fraud or deficiencies2015PCAOB$10,000
Turco Golf, Inc. tax violations2013CT-AG$6,175
Turbo Technicians LLC tax violations2015CT-AG$8,415
Turan Petroleum, Inc. and NRG Resources, Inc. investor protection violation2013CA-DFPI$10,000
Tupperware Brands CorporationTupperware Brandshousewares and home furnishingsinvestor protection violation2022SEC$900,000
Tung Tai Group economic sanction violation2013OFAC$43,875
Tucson Estate Financial Advisors, Inc. investor protection violation2000AZ-CC$114,080
Tucker Financial Services Inc. investor protection violation2015VT-FIN$644,886
TT Capital Management investor protection violation2023PA-BKG$30,000
TSB Bank banking violation2016FDIC$40,000
TSB Bank banking violation2016FDIC$7,100
Tryp Technologies Inc. investor protection violation2021WA-SEC$34,000
Truxton Trust Company banking violation2015FED$11,285
TruTankless, Inc. investor protection violation2021SEC$25,000
Trustmont Financial Group Inc. investor protection violation2013PA-BKG$100,000
Trustmark National BankTrustmarkfinancial servicesbanking violation2012OCC$6,250
Trustmark National BankTrustmarkfinancial servicesbanking violation2021OCC$4,000,000
Trustees of Tufts College tax violations2015CT-AG$15,750
Trustcore Financial Services, LLC investor protection violation2019SEC$422,261
Trust Advisory Group, Ltd. investor protection violation2022SEC$214,460
Trust & Investment Advisors, Inc. investor protection violation2015SEC$50,000
Trump Taj Mahal Casino ResortHard Rock Internationalrestaurants and foodserviceanti-money-laundering deficiencies2015FINCEN$10,000,000
Trump Payroll Corp.Trump Organizationreal estatetax violations2023NY-MANDA$800,000
Trump Corp.Trump Organizationreal estatetax violations2023NY-MANDA$810,000
True North Productions, LLC investor protection violation2012OR-FIN$400,000
True North Business Ventures LLC investor protection violation2013AZ-CC$376,091
True Link Financial Advisors, LLC investor protection violation2022SEC$200,000
True Horizon Wealth Advisors, LLC investor protection violation2024PA-BKG$15,000
True Capital Management, LLC investor protection violation2023SEC$821,793
Truckville Inc. dba EZ Finance Auto Sales investor protection violation2000AZ-CC$5,000
Truckers B2B, LLC tax violations2015CT-AG$12,300
TruBridge of Ohio, Inc. tax violations2016CT-AG$9,870
Trowbridge Capital Partners LLC investor protection violation2023SEC$60,000
Tropical Trade investor protection violation2018MO-SEC$137,109
Tropical Smoothie Franchise Development Corp. investor protection violation2011MD-SEC$10,000
TROPICAL SMOOTHIE ET AL. investor protection violation2008VA-SEC$26,000
Tropical Racing, Inc. investor protection violation2019CO-SEC$6,049
Trolice Consulting Services, LLC investor protection violation2016NJ-BOS$2,500,000
Triune, LLC dba Baja Fresh investor protection violation2012MD-SEC$50,000
TRIUNE, LLC investor protection violation2012VA-SEC$30,000
TRIUMPH SAVINGS BANK, SSB banking violation2011FDIC$9,825
Triton EP, LLC investor protection violation2006AL-SEC$10,000
TriStar Bank banking violation2012FDIC$10,000
Trinity Temporaries & Business Services investor protection violation2014MD-SEC$175,000
Trinity Investment Club Ltd. investor protection violation2001FL-OFR$5,000
Trinity Industries de Mexico, S.A. de C.V. economic sanction violation2004OFAC$55,000
Trinity Capital Management, LLC investor protection violation2014MO-SEC$10,000
Trinity Capital Corporation accounting fraud or deficiencies2015SEC$1,500,000
Trinity Auto Body, Inc. tax violations2016NY-NCDA$188,199
Trinity Asset Partners, LLC investor protection violation2021SC-INS$11,200
Trine Labeling Systems Inc. economic sanction violation2005OFAC$16,498
Trinad Management, LLC investor protection violation2014SEC$95,000
Trickling Springs Creamery, LLC investor protection violation2020PA-BKG$4,375,000
TRICENTURY BANK banking violation2008FDIC$5,000
Triangle Wholesale economic sanction violation2003OFAC$11,000
Triad Advisors, Inc. investor protection violation2002FL-OFR$5,000
Tri-Star Advisors, Inc. investor protection violation2015SEC$150,000
Tri-County Finance Co., Inc. investor protection violation2010IN-SEC$165,140
Tri-County Bank banking violation2015FED$5,000
Tri-Core Mexico Land Development, LLC investor protection violation2013AZ-CC$1,075,000
Tri-Core Companies, LLC et al. investor protection violation2017AZ-CC$4,822,311
Tri-City Baptist Church, Inc. investor protection violation2004MO-SEC$15,000
TRH Financial LLC investor protection violation2017SEC$35,000
TreyTrades LLC investor protection violation2022AZ-CC$89,425
Trends Investments Inc. investor protection violation2023SEC$4,007,027
Tremco Inc. of CT tax violations2015CT-AG$11,070
TreeFree Biomass Solutions, Inc. investor protection violation2016WA-FIN$20,000
Treasury Vault, LLC investor protection violation2019CFTC$75,000
Treasure Heart Financial Counseling investor protection violation2011OR-FIN$5,000
Treasure Enterprise, LLC investor protection violation2017MI-SEC$40,000
Traverse Bay Investments Company, Ltd. investor protection violation2012IN-SEC$32,000
Traverse Bay Investments Company, Ltd. investor protection violation2015MI-SEC$10,000
Travelocity.Com LLPExpedia Groupmiscellaneous servicestax violations2015HI-AG$13,275,000
Travelocity.comExpedia Groupmiscellaneous serviceseconomic sanction violation2007OFAC$182,750
Travel Dynamics, Inc. economic sanction violation2004OFAC$5,535
Trapeze Software Group, Inc. tax violations2012CT-AG$16,118
Transworld Transmitting Corp. anti-money-laundering deficiencies2004NY-DFS$15,000
Transportation Alliance Bank, Inc. d/b/a TAB Bank banking violation2023FDIC$315,000
TRANSPORTATION ALLIANCE BANK, INC. banking violation2010FDIC$97,500
Transpo Electronics, Inc. economic sanction violation2003OFAC$15,500
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.