Basic Search  |  Summaries  |  Advanced Search

23780 Violation Tracker results found

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearAgencyPenalty Amount sort icon
BNP Paribas S.A.BNP Paribasfinancial serviceseconomic sanction violation2014NY-MANDA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,243,400,000
BNP ParibasBNP Paribasfinancial serviceseconomic sanction violation2014NY-DFS$2,240,000,000
American International GroupAmerican International Groupfinancial servicesprice-fixing or anti-competitive practices2006NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,619,000,000
Marsh & McLennan Companies, Inc.Marsh & McLennanfinancial servicesprice-fixing or anti-competitive practices2005MULTI-AG$850,000,000
Credit Suisse AGCredit Suissefinancial servicestax violations2014NY-DFS$715,000,000
CommerzbankCommerzbankfinancial serviceseconomic sanction violation2015NY-DFS$610,000,000
Alliance Capital ManagementEquitable Holdingsfinancial servicesinvestor protection violation2003NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $600,000,000
Deutsche BankDeutsche Bankfinancial servicesinterest rate benchmark manipulation2015NY-DFS$600,000,000
Morgan StanleyMorgan Stanleyfinancial servicestoxic securities abuses2016NY-AG$550,000,000
Royal Bank of ScotlandNatWest Group PLCfinancial servicestoxic securities abuses2018NY-AG$500,000,000
Barclays Bank PLCBarclaysfinancial servicesforeign exchange market manipulation2015NY-DFS$485,000,000
GTV Media Group, Inc. and Saraca Media Group, Inc. investor protection violation2021NY-AG$479,900,000
Deutsche Bank AGDeutsche Bankfinancial servicesanti-money-laundering deficiencies2017NY-DFS$425,000,000
Societe Generale SASociete Generalefinancial serviceseconomic sanction violation2018NY-DFS$420,000,000
UniCredit GroupUniCreditfinancial serviceseconomic sanction violation2019NY-DFS$405,000,000
Credit AgricoleCredit Agricolefinancial serviceseconomic sanction violation2015NY-DFS$385,000,000
Banc of America Capital Management LLC et al.Bank of Americafinancial servicesinvestor protection violation2004NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $375,000,000
Massachusetts Financial Services Co.Sun Life Financialfinancial servicesinvestor protection violation2004NY-AG$350,000,000
BNP Paribas S.A.BNP Paribasfinancial servicesforeign exchange market manipulation2017NY-DFS$350,000,000
Standard Chartered BankStandard Charteredfinancial servicesanti-money-laundering deficiencies2012NY-DFS$340,000,000
SprintT-Mobile UStelecommunicationstax violations2018NY-AG$330,000,000
UniCredit Bank AGUniCreditfinancial serviceseconomic sanction violation2019NY-MANDA$316,000,000
Bank of Tokyo Mitsubishi UFJMitsubishi UFJ Financial Groupfinancial serviceseconomic sanction violation2014NY-DFS$315,000,000
ING Bank, NVINGfinancial serviceseconomic sanction violation2012NY-MANDA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $309,500,000
FleetBoston Financial Corp.Bank of Americafinancial servicesinvestor protection violation2004NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $300,000,000
Standard Chartered BankStandard Charteredfinancial servicesanti-money-laundering deficiencies2014NY-DFS$300,000,000
Standard Chartered BankStandard Charteredfinancial serviceseconomic sanction violation2019NY-MANDA$292,000,000
Prudential Equity GroupPrudential Financialfinancial servicesinvestor protection violation2006NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $270,000,000
Credit Suisse AGCredit Suissefinancial serviceseconomic sanction violation2009NY-MANDA$268,000,000
Bank of Tokyo Mitsubishi-UFJ, LtdMitsubishi UFJ Financial Groupfinancial serviceseconomic sanction violation2013NY-DFS$250,000,000
Intesa Sanpaolo S.p.A.Intesa Sanpaolofinancial servicesanti-money-laundering deficiencies2016NY-DFS$235,000,000
UBS Securities LLCUBSfinancial servicestoxic securities abuses2018NY-AG$230,000,000
Habib Bank economic sanction violation2017NY-DFS$225,000,000
Bank Hapoalim B.M.Bank Hapoalimfinancial servicestax violations2020NY-DFS$220,000,000
Agricultural Bank of ChinaAgricultural Bank of Chinafinancial servicesanti-money-laundering deficiencies2016NY-DFS$215,000,000
Ivy Asset Management, LLC investor protection violation2012NY-AG$210,000,000
MetLife Insurance CompanyMetLifefinancial servicesinsurance violation2019NY-DFS$208,750,000
Deutsche Bank AGDeutsche Bankfinancial servicesinvestor protection violation2006NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $208,000,000
Deutsche Bank AGDeutsche Bankfinancial servicesforeign exchange market manipulation2018NY-DFS$205,000,000
Deutsche BankDeutsche Bankfinancial serviceseconomic sanction violation2015NY-DFS$200,000,000
Allergan Finance LLCAbbViepharmaceuticalsoff-label or unapproved promotion of medical products2021NY-AG$200,000,000
HSBC Holdings plcHSBCfinancial serviceseconomic sanction violation2012NY-MANDA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $187,500,000
Mega International Commercial Bank anti-money-laundering deficiencies2016NY-DFS$180,000,000
Standard Chartered BankStandard Charteredfinancial serviceseconomic sanction violation2019NY-DFS$180,000,000
Lloyds TSB Bank plcLloyds Banking Groupfinancial serviceseconomic sanction violation2009NY-MANDA$175,000,000
Charter Communications, Inc.Charter Communicationstelecommunicationsconsumer protection violation2018NY-AG$174,200,000
Commerzbank AGCommerzbankfinancial serviceseconomic sanction violation2015NY-MANDA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $171,000,000
Consolidated Edison Company of New York, Inc.Consolidated Edisonutilities and power generationutility administrative violation2016NY-PSC$171,000,000
Bank of New York MellonBank of New York Mellonfinancial servicesbanking violation2015NY-AG$167,500,000
Societe GeneraleSociete Generalefinancial serviceseconomic sanction violation2018NY-MANDA$162,800,000
MetLifeMetLifefinancial servicesdiscriminatory practices (non-employment)2002NY-DFS$160,000,000
Credit Agricole Corporate and Investment BankCredit Agricolefinancial serviceseconomic sanction violation2015NY-MANDA$156,000,000
Consolidated Edison Company of New York, Inc.Consolidated Edisonutilities and power generationutility safety violation2017NY-PSC$153,300,000
Barclays Bank PLCBarclaysfinancial servicesforeign exchange market manipulation2015NY-DFS$150,000,000
Deutsche Bank AG and Deutsche Bank Trust Co. AmericaDeutsche Bankfinancial servicesbanking violation2020NY-DFS$150,000,000
Goldman Sachs GroupGoldman Sachsfinancial servicesinvestor protection violation2020NY-DFS$150,000,000
Barclays plcBarclaysfinancial serviceseconomic sanction violation2010NY-MANDA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $149,000,000
Credit Suisse AGCredit Suissefinancial servicesforeign exchange market manipulation2017NY-DFS$135,000,000
Bank LeumiBank Leumifinancial servicestax violations2014NY-DFS$130,000,000
Canadian Imperial Bank of CommerceCanadian Imperial Bank of Commercefinancial servicesinvestor protection violation2005NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $125,000,000
Millennium Partners investor protection violation2005NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $121,400,000
Standard Chartered BankStandard Charteredfinancial serviceseconomic sanction violation2012NY-MANDA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $113,500,000
Federated Investors, Inc.Federated Hermesfinancial servicesinvestor protection violation2005NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $100,000,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2002NY-AG$100,000,000
Pilgrim Baxter & Associates, Ltd. investor protection violation2004NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $100,000,000
Mashreqbank, PSC economic sanction violation2021NY-DFS$100,000,000
United Parcel ServiceUnited Parcel Servicefreight and logisticstax violations2019NY-NYCCC$98,000,000
TIAA-CREF Individual & Institutional Services, LLCTIAAfinancial servicesbenefit plan administrator violation2021NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $97,000,000
Banc One Investment Advisors CorporationJPMorgan Chasefinancial servicesinvestor protection violation2004NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $90,000,000
Consolidated Edison Company of New York, Inc.Consolidated Edisonutilities and power generationutility service violation2021NY-PSC$82,050,000
Staten Island University HospitalNorthwell Healthhealthcare servicesFalse Claims Act and related2005NY-AG$76,500,000
Waddell & Reed, Inc.Macquariefinancial servicesinvestor protection violation2006NY-AG(*)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
Staten Island University HospitalNorthwell Healthhealthcare servicesFalse Claims Act and related2008USAO$74,032,565
AlticeAlticetelecommunicationsutility service violation2021NY-PSC$71,940,000
Citigroup Inc.Citigroupfinancial servicesbanking violation2004FED$70,000,000
ACE American Insurance Company ET AL.Chubb Limitedfinancial servicesFalse Claims Act and related2010NY-AG$70,000,000
Wells Fargo & CompanyWells Fargofinancial servicesinvestor protection violation2018NY-AG$65,000,000
Consolidated Edison Company of New York, Inc.Consolidated Edisonutilities and power generationutility service violation2008NY-PSC$63,000,000
Empire HealthChoiceElevance Healthhealthcare servicesinsurance violation2011NY-DFS$61,080,867
Western UnionWestern Unionfinancial servicesanti-money-laundering deficiencies2018NY-DFS$60,000,000
Goldman Sachs Group Inc.Goldman Sachsfinancial servicesforeign exchange market manipulation2018NY-DFS$54,750,000
Hutton Ventures LLC consumer protection violation2021NY-AG$53,040,000
Eastman KodakEastman Kodakelectrical and electronic equipmentenvironmental violation2014USAO$53,000,000
Lincoln Financial GroupLincoln Nationalfinancial servicesinsurance violation2017NY-DFS$52,200,000
UnitedHealth Group Inc.UnitedHealth Grouphealthcare servicesconsumer protection violation2009NY-AG$50,000,000
Willis Group Holdings Ltd.Willis Towers Watsonfinancial servicesprice-fixing or anti-competitive practices2005NY-AG$50,000,000
Oxford Health Insurance Inc.UnitedHealth Grouphealthcare servicesinsurance violation2008NY-DFS$50,000,000
Royal Bank of ScotlandNatWest Group PLCfinancial serviceseconomic sanction violation2013NY-DFS$50,000,000
MetLifeMetLifefinancial servicesinsurance violation2014NY-DFS$50,000,000
Goldman SachsGoldman Sachsfinancial servicesinvestor protection violation2015NY-DFS$50,000,000
Endo Health SolutionsEndo Internationalpharmaceuticalsoff-label or unapproved promotion of medical products2021NY-AG$50,000,000
CenterLight Healthcare and CenterLight Health SystemCenterLight Health Systemhealthcare servicesFalse Claims Act and related2016NY-AG$47,000,000
Fred Alger Management, Inc.Alger Associatesfinancial servicesinvestor protection violation2007NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $45,000,000
Athene Holding Ltd.Apollo Global Managementprivate equity (including portfolio companies)insurance violation2020NY-DFS$45,000,000
Bank of America Merrill LynchBank of Americafinancial servicesinvestor protection violation2018NY-AG$42,000,000
Harbert Management CorporationHarbert Managementdiversifiedtax violations2017NY-AG$40,000,000
Ritchie Capital Management, L.L.C. and Ritchie Capital Global Trading, Ltd., investor protection violation2008NY-AG$40,000,000
First Allmerica Financial Life Insurance CompanyKKR & Co.private equity (including portfolio companies)insurance violation2018NY-DFS$40,000,000
Mashreqbank PSC anti-money-laundering deficiencies2018NY-DFS$40,000,000
Standard Chartered BankStandard Charteredfinancial servicesforeign exchange market manipulation2019NY-DFS$40,000,000
Zurich American Insurance Company et al.Zurich Insurancefinancial servicesFalse Claims Act and related2010NY-AG$37,500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.