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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
Ronto Trading Inc. investor protection violation2024WA-SEC$10,000
Xuchang Longshengyuan Hair Products Co. investor protection violation2024WA-SEC$10,000
Amito Trading Limited investor protection violation2024WA-SEC$10,000
Chushong Industry Limited investor protection violation2024WA-SEC$10,000
Sunny Pacific LLC investor protection violation2024WA-SEC$10,000
Oral Cancer Initiative investor protection violation2024IL-SEC$10,000
Flypsie Smile, LLC investor protection violation2024IL-SEC$10,000
Smile Tyme, LLC investor protection violation2024IL-SEC$10,000
Swift Test, LLC investor protection violation2024IL-SEC$10,000
Gold Corporation dba The Perth Mint investor protection violation2024MULTI-FIN$10,000
Drift New England Inc. investor protection violation2024NH-BSR$10,000
Lasting Legacy Wealth Management LLC investor protection violation2024PA-BKG$10,000
Longman WealthCare Management, LLC investor protection violation2022FL-OFR$9,999
Soundshore Technology Group, LLC tax violations2013CT-AG$9,990
UINTA BANK banking violation2014FED$9,985
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020OK-SEC$9,968
ST Invest LLC investor protection violation2022IL-SEC$9,950
HIGH DESERT STATE BANK banking violation2007FDIC$9,900
TISICS, LLC tax violations2016CT-AG$9,900
Solium Financial ServicesMorgan Stanleyfinancial servicesinvestor protection violation2021DC-DISB$9,879
TruBridge of Ohio, Inc. tax violations2016CT-AG$9,870
Thomas Christe Swimming Pool Service and Maintenance, Inc. tax violations2016CT-AG$9,855
UNITED CENTRAL BANK banking violation2011FDIC$9,850
Volumetric Funds, Inc. investor protection violation2021NJ-BOS$9,850
CBORD Group, Inc.Roper Technologieselectrical and electronic equipmenttax violations2013CT-AG$9,848
TRIUMPH SAVINGS BANK, SSB banking violation2011FDIC$9,825
THE PEOPLES BANK OF BULLITT COUNTY banking violation2002FDIC$9,800
VERMILLION STATE BANK banking violation2010FDIC$9,800
Cedar Rapids State Bank banking violation2003NE-DBF$9,800
Spartan Capital Securities, LLC investor protection violation2023MO-SEC$9,800
19 Pinney Street Corp. tax violations2012CT-AG$9,780
Alma Bank banking violation2013FDIC$9,755
Madison County Community Bank banking violation2022FDIC$9,750
JP Morgan Chase BankJPMorgan Chasefinancial serviceseconomic sanction violation2004OFAC$9,748
CLINTON SAVNGS BANK banking violation2010FDIC$9,740
Bank Polska Kasa Opieki SA/Bank Pekao SA economic sanction violation2003OFAC$9,725
Larada Sciences, LLC investor protection violation2018WA-FIN$9,725
Mac-Lad Corp. tax violations2013CT-AG$9,703
The Monitor Bank banking violation2015FDIC$9,600
MAIN STREET BANK CORP. banking violation2009FDIC$9,600
Gibsland Bank & Trust Company banking violation2018FDIC$9,600
THE OHIO VALLEY BANK COMPANY banking violation2011FDIC$9,600
Select Bank banking violation2024FED$9,600
Acquia Inc. tax violations2016CT-AG$9,570
BMS Intermediaries, Inc. tax violations2012CT-AG$9,570
SMI Demolition, Inc. tax violations2013CT-AG$9,570
Power Services Concepts, Inc. tax violations2012CT-AG$9,557
JEFFERSON STATE BANK banking violation2006FDIC$9,550
STATE CENTRAL BANK banking violation2009FDIC$9,500
DARBY BANK AND TRUST COMPANY banking violation2008FDIC$9,500
UNION BANK & TRUST COMPANY banking violation2006FDIC$9,500
Hocking Valley Bank banking violation2004FED$9,500
First Western Trust Bank banking violation2012FDIC$9,500
CENTURY BANK OF GEORGIA banking violation2011FDIC$9,500
NORTHSTAR BANK OF TEXAS banking violation2011FDIC$9,500
CENTRAL CO-OPERATIVE BANK banking violation2010FDIC$9,500
COMMUNITY BANK banking violation2010FDIC$9,500
Farmers & Merchants Bank of Craig County banking violation2020FED$9,500
Wesleyan Investment Foundation, Inc. investor protection violation2017IN-SEC$9,500
Andrew Garrett, Inc. investor protection violation2006MO-SEC$9,500
GenSafe Plastics, Inc. investor protection violation2009MO-SEC$9,500
H. Beck Inc. investor protection violation2010TX-SEC$9,500
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2014VA-SEC$9,500
Driver Opportunity Partners I, LP and Driver Management Company, LLC investor protection violation2020MD-FIN$9,500
The Yellowstone Bank banking violation2021FED$9,500
Farmers Bank & Trust banking violation2021FDIC$9,500
Guardian Data Systems, LLC investor protection violation2021WA-SEC$9,500
Esplanade Capital Partners I LLC investor protection violation2022NH-BSR$9,500
Automotive Finance Corp. tax violations2013CT-AG$9,473
Lindell Bank and Trust Company banking violation2011FED$9,470
Kimberly-Clark Global Sales, LLCKimberly-Clarkhousehold and personal care productstax violations2012CT-AG$9,465
THE EXCHANGE BANK OF ALABAMA banking violation2011FDIC$9,460
Camo Brewing Co., Inc. tax violations2014ATTTB$9,450
EAST BOSTON SAVINGS BANK banking violation2009FDIC$9,430
AAR International Inc.AAR Corp.aerospace and military contractingeconomic sanction violation2003OFAC$9,400
American Bank & Trust Wisconsin banking violation2016FDIC$9,385
StretchWall Installations, Inc. tax violations2012CT-AG$9,380
Shared Mutual Services, LLC tax violations2012CT-AG$9,375
The Bank of New Glarus banking violation2023FDIC$9,375
SUMMIT WEALTH MANAGEMENT, LLC investor protection violation2011VA-SEC$9,350
Allied Account Services, Inc. tax violations2016CT-AG$9,344
State Bank and Trust Company banking violation2011FED$9,340
Maco Machinery, Inc. tax violations2013CT-AG$9,315
Peterson's Oil Service, Inc. tax violations2013CT-AG$9,315
FORTRESS BANK banking violation2008FDIC$9,300
Hampton-Brown Company, LLC tax violations2014CT-AG$9,300
BIO-FUEL DEVELOPMENT COMPANY investor protection violation2014VA-SEC$9,300
First State Bank of Colorado banking violation2015FED$9,285
COMMUNITY TRUST & BANKING COMPANY banking violation2007FDIC$9,275
Paradigm Medical Management, Inc. tax violations2015CT-AG$9,270
Dixon Insurance Agency investor protection violation2005TN-SEC$9,268
Midrare, Inc. tax violations2014CT-AG$9,262
AdvanIDE, Inc. tax violations2012CT-AG$9,255
McKinsey & Company, Inc. Washington D.C.McKinseybusiness servicestax violations2014CT-AG$9,255
Allen Company of Florida, Inc. investor protection violation2006IL-SEC$9,250
DA-VI NAILS INTERNATIONAL investor protection violation2008VA-SEC$9,250
Farmers and Merchants Bank banking violation2007FED$9,240
Mahdavi's A&A Rug Company economic sanction violation2008OFAC$9,240
Brother International Corp.Brother Industrieselectrical and electronic equipmenttax violations2013CT-AG$9,240
CARROLL BANK AND TRUST banking violation2011FDIC$9,240
Endologix, Inc. tax violations2014CT-AG$9,233
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.