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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
CDS Fintech Group, LLC investor protection violation2022MO-SEC$6,033
Teamwork Telecom, Inc. economic sanction violation2004OFAC$6,041
Charles M. Schayer & Co. economic sanction violation2004OFAC$6,045
Tropical Racing, Inc. investor protection violation2019CO-SEC$6,049
Sea Bridge Projects, Inc. economic sanction violation2005OFAC$6,050
METRO BANK banking violation2010FDIC$6,075
InvestIN Securities Inc. investor protection violation2004TN-SEC$6,094
Community Bank CBD banking violation2013FDIC$6,100
FARMERS STATE BANK OF ALTO PASS, ILL banking violation2008FDIC$6,100
Pearson and Associates, LLC investor protection violation2018CT-SEC$6,110
Equitable Bank banking violation2014OCC$6,115
Workplace Essentials, Inc. tax violations2016CT-AG$6,116
Embry-Riddle Aeronautical University, Inc. tax violations2013CT-AG$6,120
Halcyon Days Productions Corp. tax violations2012CT-AG$6,120
Bucher and Christian Consulting, Inc. tax violations2013CT-AG$6,143
TAMPA STATE BANK, THE banking violation2009FDIC$6,150
Computer Integrated Services, LLC tax violations2015CT-AG$6,150
Earth Animal Ventures, LLC tax violations2015CT-AG$6,150
Taj Technologies, Inc. tax violations2014CT-AG$6,150
Herzog Financial Group, LLC investor protection violation2019IL-SEC$6,150
Kaplan State Bank banking violation2013FDIC$6,160
Design Investors, LLC tax violations2012CT-AG$6,173
Turco Golf, Inc. tax violations2013CT-AG$6,175
First State Bank of Decatur banking violation2014FDIC$6,200
Farmers & Merchants Bank of Ashland banking violation2016FED$6,200
SG Global S.A. and United Marine Ltd. economic sanction violation2003OFAC$6,200
United Marine Ltd. and SG Global S.A economic sanction violation2003OFAC$6,200
Verifone, Inc.Francisco Partnersprivate equity (including portfolio companies)tax violations2012CT-AG$6,205
Elite Floors, Inc. tax violations2012CT-AG$6,225
Exel Global Logistics, Inc. economic sanction violation2006OFAC$6,226
Cambridge Strategies, LLC tax violations2013CT-AG$6,233
Commonwealth Electrical Technologies, Inc. tax violations2013CT-AG$6,240
Farmers Bank and Trust Company, Princeton, Kentucky banking violation2013FDIC$6,250
UniBank for Savings banking violation2015FDIC$6,250
Trustmark National BankTrustmarkfinancial servicesbanking violation2012OCC$6,250
MID-WISCONSIN BANK banking violation2008FDIC$6,250
Northwest Financial Advisors, Inc. investor protection violation2015AK-DBS$6,250
Armor All/STP Products Co. tax violations2013CT-AG$6,270
Rally Software Development Corp. tax violations2012CT-AG$6,270
SeniorBridge Family Companies (NY), Inc.Humanahealthcare servicestax violations2015CT-AG$6,270
Services Tire Truck Center, Inc. tax violations2013CT-AG$6,285
Veredus Corp. tax violations2015CT-AG$6,285
ELDERTON STATE BANK banking violation2004FDIC$6,300
THE HALSTEAD BANK banking violation2003FDIC$6,300
Martinair Holland N.V. dba Martinair USA economic sanction violation2005OFAC$6,300
Park Bank banking violation2017FDIC$6,300
American Cybersystems, Inc. tax violations2015CT-AG$6,300
AQS, Inc. tax violations2015CT-AG$6,300
HireGenics, Inc. tax violations2015CT-AG$6,300
Hurst Review Services, Inc. tax violations2016CT-AG$6,300
Sandvik Medical Solutions Oregon, Inc. tax violations2013CT-AG$6,315
IXTLAN Corporation economic sanction violation2006OFAC$6,322
Hess Express tax violations2005NY-AG$6,329
MIDWEST COMMUNITY BANK banking violation2006FDIC$6,335
Research Capital, LLC investor protection violation2003SEC$6,337
JRS Investments and Wealth Preservation, LLC investor protection violation2015WA-FIN$6,346
Vlad Investments, LLC investor protection violation2011WA-FIN$6,350
Physician Finders, LLC tax violations2013CT-AG$6,360
Jasper Banking Company banking violation2012FDIC$6,380
Wellington Sales & Installation Co., Inc. tax violations2012CT-AG$6,390
Centennial Bank banking violation2014FED$6,395
FIRST COMMUNITY BANK, MISSOURI, banking violation2002FDIC$6,400
FIRST MADISON VALLEY BANK banking violation2011FDIC$6,400
Axalta Powder Coating Systems, USA, Inc.Axalta Coating Systemspaints and coatingstax violations2014CT-AG$6,428
Stuart Amusement Co. tax violations2012CT-AG$6,435
Banca Commerciale Italiana economic sanction violation2004OFAC$6,450
Kehe Distributors of Connecticut, LLC tax violations2016CT-AG$6,450
WAUWATOSA SAVINGS BANK banking violation2008FDIC$6,475
Barrett & Worthen, Inc. tax violations2014CT-AG$6,480
MUTUAL BANK banking violation2009FDIC$6,500
GULF COAST BANK banking violation2007FDIC$6,500
Shinnecock Smoke Shop economic sanction violation2004OFAC$6,500
Citizens Bank & Trust Company banking violation2017FDIC$6,500
MIDTOWN BANK & TRUST COMPANY banking violation2011FDIC$6,500
FIRST BANK OF COASTAL GEORGIA banking violation2011FDIC$6,500
St. Bernard Financial Services, Inc. investor protection violation2010AR-SEC$6,500
RSC Adventures, LLC investor protection violation2013AZ-CC$6,500
Stirling Capital Management investor protection violation2014CA-DFPI$6,500
Cambridge Investment Research, Inc. investor protection violation2012MS-SEC$6,500
R.M. Neilio & Associates Fiscal Advisors investor protection violation2015NH-BSR$6,500
BELLA BALLERINA FRANCHISING investor protection violation2018VA-SEC$6,500
Moore Wealth Management, L.L.C. investor protection violation2018WA-FIN$6,500
EJZ Investments, LLC investor protection violation2014WA-FIN$6,500
Ra Ghala Corporation, AuJeune Corporation investor protection violation2013WA-FIN$6,500
Statewide Escrow investor protection violation2003WA-FIN$6,500
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020NM-SEC$6,500
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020RI-FIN$6,500
Nebraska State Bank banking violation2021FDIC$6,500
Safe Harbor Retirement Planners investor protection violation2022DE-SEC$6,500
Penrod Financial Services, Inc. investor protection violation2023TX-SEC$6,500
Telcentris, Inc. investor protection violation2022NV-SEC$6,500
Compass Capital Advisors L.L.C. investor protection violation2023WA-SEC$6,500
COMMUNITY BUSINESS BANK banking violation2011FDIC$6,545
Kinetics Mutual Funds Inc. investor protection violation2002NE-DBF$6,547
Eni Petroleum Co. Inc.ENIoil and gaseconomic sanction violation2008OFAC$6,562
Superior Design International, Inc. tax violations2012CT-AG$6,563
WEALTH PLANNING & MANAGEMENT, LLC investor protection violation2023IN-SEC$6,568
Hiab USA Inc. tax violations2016CT-AG$6,570
M.S. Walker, Inc. tax violations2014CT-AG$6,570
Seattle Specialty Insurance Services, Inc. tax violations2014CT-AG$6,570
U.S. Water Services, Inc. tax violations2015CT-AG$6,570
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.