Violation Tracker Parent Company Summary

Parent Company Name: 
Banco Espirito Santo
Ownership Structure: 
out of business
Headquartered in: 
Major Industry: 
financial services
Specific Industry: 
Penalty total since 2000: 
Number of records: 
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$10,850,0004
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$9,875,0003
banking violation$975,0001

Parent-subsidiary linkages are based on relationships current as of the latest revision listed in the Update Log, which may vary from what was the case when a violation occurred. The penalty totals are adjusted to account for the fact that the individual entries below 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. The totals 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 list below.

Associated Names: 



Subsidy Tracker data on financial assistance to this company by federal, state and local government agencies can be found here.

Individual Penalty Records:

Click on the company or penalty amount for more information on each case.
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Company Primary Offense Type Year Agencysort icon Penalty Amount
BANCO ESPIRITO SANTO S. A. banking violation 2012 FED $975,000
Banco Espirito Santo, S.A. investor protection violation 2011 NJ-AG $1,900,000
Banco Espirito Santo S.A. investor protection violation 2011 NY-AG $975,000
Banco Espirito Santo S.A. investor protection violation 2011 SEC $7,000,000
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