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Violation Tracker Summary for Offense Group

Offense Group: financial offenses
Penalty Total since 2000: $313,886,275,821
Number of Penalty Records: 11,518
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$41,338,642,096158
UBS$27,713,994,893137
JPMorgan Chase$27,509,554,167127
Citigroup$19,885,993,935108
Deutsche Bank$15,642,617,27869
Goldman Sachs$13,128,362,84159
NatWest Group PLC$12,129,162,85723
Wells Fargo$10,736,630,989131
Morgan Stanley$9,924,512,956171
BNP Paribas$9,167,798,00012

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
CSK Auto CorporationO'Reilly Automotiveretailingaccounting fraud or deficiencies2011DOJ_CRIMINAL$20,900,000
Trigon Group, Inc. investor protection violation2012CFTC$20,600,000
Chemical Trust, U.S. Guarantee Corp., and United Marketing Trust investor protection violation2000SEC$20,590,000
CitigroupCitigroupfinancial servicestoxic securities abuses2011NCUA$20,500,000
Prime Group Holdings LLC investor protection violation2023SEC$20,500,000
Synergy Oil, LLC investor protection violation2014CA-DFPI$20,400,047
National Bank of Pakistan anti-money-laundering deficiencies2022FED$20,400,000
UniCredit Bank Austria AGUniCreditfinancial serviceseconomic sanction violation2019OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $20,326,340
ITG Inc. investor protection violation2015SEC$20,300,000
First Capitol Futures Group investor protection violation2010CFTC$20,300,000
Renaissance Management, LLC et al. investor protection violation2016CA-DFPI$20,275,000
Oppenheimer & Co., Inc.Oppenheimer Holdingsfinancial servicesanti-money-laundering deficiencies2015FINCEN$20,000,000
Edward D. Jones & Co. LPJones Financialfinancial servicesinvestor protection violation2015SEC$20,000,000
JPMorgan Chase BankJPMorgan Chasefinancial servicesaccounting fraud or deficiencies2012CFTC$20,000,000
Guggenheim Partners Investment Management LLCGuggenheim Partnersfinancial servicesinvestor protection violation2015SEC$20,000,000
CVS Caremark Corp.CVS Healthretailingaccounting fraud or deficiencies2014SEC$20,000,000
The Williams Companies, Inc.Williams Companiesoil and gasinvestor protection violation2003CFTC$20,000,000
Scientific-Atlanta, Inc.Cisco Systemselectrical and electronic equipmentaccounting fraud or deficiencies2006SEC$20,000,000
New York Stock Exchange, Inc.IntercontinentalExchange Groupfinancial servicesinvestor protection violation2005SEC$20,000,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2005SEC$20,000,000
Franklin Advisers, Inc. and Franklin Templeton Distributors, Inc.Franklin Resourcesfinancial servicesinvestor protection violation2004SEC$20,000,000
Bank of America CorporationBank of Americafinancial servicesinvestor protection violation2014SEC$20,000,000
Tesla Inc.Tesla Inc.motor vehiclesinvestor protection violation2018SEC$20,000,000
Clovis Oncology Inc.Clovis Oncologypharmaceuticalsinvestor protection violation2018SEC$20,000,000
Carlyle GroupCarlyle Groupprivate equity (including portfolio companies)investor protection violation2009NY-AG$20,000,000
CitigroupCitigroupfinancial servicestoxic securities abuses2008MA-AG$20,000,000
OppenheimerFunds Inc.Invescofinancial servicesinvestor protection violation2009OR-AG$20,000,000
Royal Bank of ScotlandNatWest Group PLCfinancial servicestoxic securities abuses2018IL-AG$20,000,000
The Hartford Financial Services GroupHartford Financial Servicesfinancial servicesinvestor protection violation2006MULTI-AG$20,000,000
Herbalife Nutrition Ltd.Herbalifefood productsaccounting fraud or deficiencies2019SEC$20,000,000
UniCredit Bank Austria AGUniCreditfinancial serviceseconomic sanction violation2019NY-MANDA$20,000,000
ABN AMROABN AMROfinancial serviceseconomic sanction violation2005NY-DFS$20,000,000
Wells Fargo & Co.Wells Fargofinancial servicesinvestor protection violation2020MD-AG$20,000,000
Andeavor LLCMarathon Petroleumoil and gasaccounting fraud or deficiencies2020SEC$20,000,000
Deloitte Touche Tohmatsu Certified Public Accountants LLP (Deloitte-China)Deloittebusiness servicesaccounting fraud or deficiencies2022SEC$20,000,000
Interactive Brokers Corp. and Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2023CFTC$20,000,000
SCG Plastics Co., Ltd. economic sanction violation2024OFAC$20,000,000
Moody's Investors Service, Inc.Moody'sinformation technologyinvestor protection violation2024SEC$20,000,000
S&P Global RatingsS&P Globalinformation technologyinvestor protection violation2024SEC$20,000,000
Deloitte & ToucheDeloittebusiness servicesinvestor protection violation2012MI-AG$19,900,000
Pacific Investment Management Company (PIMCO) investor protection violation2016SEC$19,829,807
John Hancock Investment Management Services, LLCManulife Financialfinancial servicesinvestor protection violation2007SEC$19,787,879
American Financial Investments, LLC investor protection violation2022AZ-CC$19,724,875
Harrington Advisory Services SL, Richmond Royce Advisory Services SLU, and Stratford Advisory Services investor protection violation2006CFTC$19,555,041
UBS AGUBSfinancial servicesinvestor protection violation2015SEC$19,500,000
Countrywide Securities Corporation and Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicestoxic securities abuses2016VA-AG$19,500,000
Williams Advisory Group, LLC investor protection violation2018CFTC$19,450,034
Western Asset Management CompanyFranklin Resourcesfinancial servicesinvestor protection violation2014SEC$19,400,000
DFRF Enterprises LLC and DFRF Enterprises, LLC investor protection violation2019SEC$19,390,352
Deutsche Investment Management Americas, Inc. et al.Deutsche Bankfinancial servicesinvestor protection violation2006SEC$19,329,729
CRW Management LP investor protection violation2011CFTC$19,000,000
Citigroup, Inc.Citigroupfinancial servicesaccounting fraud or deficiencies2003SEC$19,000,000
QwestLumen Technologiestelecommunicationsaccounting fraud or deficiencies2007AK-AG$19,000,000
Standard and Poor's Financial Services LLCS&P Globalinformation technologyinvestor protection violation2015MULTI-AG$19,000,000
Summit Trust Company accounting fraud or deficiencies2015SEC$18,900,000
WinterHawk West Indies, Ltd., Funders Marketing Company, Inc., FMCI Trust, Fortune Investments, Ltd., and TREDS Financial Trust investor protection violation2001SEC$18,864,116
Chatham Asset Management LLCChatham Asset Managementfinancial servicesinvestor protection violation2023SEC$18,800,000
KBL (Switzerland) Ltd. tax violations2015DOJ_TAX$18,792,000
Green Screen Partners, LLC et al. investor protection violation2002CA-DFPI$18,592,430
Wilmington TrustM&T Bankfinancial servicesaccounting fraud or deficiencies2014SEC$18,500,000
Deutsche BankDeutsche Bankfinancial servicesinvestor protection violation2016SEC$18,500,000
Presbyterian Healthcare tax violations2017NM-AG$18,500,000
Telegram Group Inc. investor protection violation2020SEC$18,500,000
iFinex Inc. et al. investor protection violation2021NY-AG$18,500,000
UBS Financial Services Incorporated of Puerto RicoUBSfinancial servicesinvestor protection violation2015FINRA$18,500,000
Cromwell Financial Services, Inc. investor protection violation2007CFTC$18,400,000
Citigroup Global MarketsCitigroupfinancial servicesinvestor protection violation2017SEC$18,300,000
ICP Asset Management investor protection violation2012SEC$18,275,033
Pruco Securities, LLCPrudential Financialfinancial servicesinvestor protection violation2020SEC$18,252,341
AgFeed Industries accounting fraud or deficiencies2014SEC$18,000,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesinvestor protection violation2015CFTC$18,000,000
American Bullion Exchange investor protection violation2014CFTC$18,000,000
Allianz Dresdner Asset Management of America LPAllianzfinancial servicesinvestor protection violation2004NJ-AG$18,000,000
Franklin/Templeton Distributors, Inc.Franklin Resourcesfinancial servicesinvestor protection violation2004CA-AG$18,000,000
Markstone Capital Group LLC investor protection violation2010NY-AG$18,000,000
Waddell & Reed, Inc.Macquariefinancial servicesinvestor protection violation2005MULTI-FIN$18,000,000
BMW AGBMWmotor vehiclesaccounting fraud or deficiencies2020SEC$18,000,000
RBS Financial Products, Inc.NatWest Group PLCfinancial servicestoxic securities abuses2020MD-AG$18,000,000
Charles Schwab & Company, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2011FINRA$18,000,000
MIO Partners Inc. investor protection violation2021SEC$18,000,000
Baxter International Inc.Baxter Internationalmedical equipment and suppliesaccounting fraud or deficiencies2022SEC$18,000,000
Digital World Acquisition Corp. investor protection violation2023SEC$18,000,000
AssetMark Inc. investor protection violation2023SEC$18,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2024SEC$18,000,000
Osaic Services, Inc investor protection violation2024SEC$18,000,000
Citibank, N.A.Citigroupfinancial servicesbanking violation2020OCC$17,998,510
BioChemics Inc. investor protection violation2015SEC$17,897,887
CanAm Capital Corp. et al. investor protection violation2012CA-DFPI$17,860,000
Societe Generale Private Banking (Suisse) SASociete Generalefinancial servicestax violations2015DOJ_TAX$17,807,000
UBS Willow Management LLC and UBS Fund Advisor LLCUBSfinancial servicesinvestor protection violation2015SEC$17,500,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2013MA-SEC$17,500,000
Super Micro Computer, Inc.Super Micro Computer Inc.electrical and electronic equipmentaccounting fraud or deficiencies2020SEC$17,500,000
Invesco Advisers, Inc. investor protection violation2024SEC$17,500,000
DG Wealth Management investor protection violation2016CFTC$17,499,623
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargofinancial servicesinvestor protection violation2019SEC$17,363,847
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2009SEC$17,300,000
Wells FargoWells Fargofinancial servicestoxic securities abuses2018IL-AG$17,250,000
Deutsche Asset Management, Inc. and Deutsche Investment Management Americas, Inc.Deutsche Bankfinancial servicesinvestor protection violation2006SEC$17,200,000
Capital Blu Management, LLC investor protection violation2011CFTC$17,000,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2007SEC$17,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesanti-money-laundering deficiencies2016FINRA$17,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.