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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
Endologix, Inc. tax violations2014CT-AG$9,233
MBO Partners, Inc. tax violations2013CT-AG$9,210
Graham Savings and Loan, SSB banking violation2012FDIC$9,205
VALLEY BANK AND TRUST CO. banking violation2009FDIC$9,200
E & E Tire, Inc. tax violations2012CT-AG$9,158
Gershman, Brickner & Bratton, Inc. tax violations2014CT-AG$9,135
Flatlander Industries, Inc. investor protection violation2006IL-SEC$9,135
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020MO-SEC$9,130
Association of Family and Conciliation Courts, Inc. tax violations2015CT-AG$9,113
Wolf River Community Bank banking violation2012FDIC$9,095
Scobag Privatbank AG tax violations2015DOJ_TAX$9,090
FIRST STATE BANK AND TRUST COMPANY, INC. banking violation2007FDIC$9,020
Porterfield Investments, Inc. et al. investor protection violation2006MO-SEC$9,020
WESTERN STATE BANK banking violation2007FDIC$9,005
Montebello Brands, Inc. tax violations2002ATTTB$9,000
HEIGHTS BANK, THE banking violation2008FDIC$9,000
AMERICANWEST BANK banking violation2005FDIC$9,000
Augsburg College economic sanction violation2006OFAC$9,000
Parts Now! LLC economic sanction violation2004OFAC$9,000
Banco Bradesco S.ABanco Bradescofinancial serviceseconomic sanction violation2003OFAC$9,000
Iconma, LLC tax violations2013CT-AG$9,000
Pinnacle Recovery, Inc. tax violations2016CT-AG$9,000
Starwood Associate Relief Fund, Inc. tax violations2014CT-AG$9,000
Starwood Hotels & Resorts Worldwide Foundation, Inc.Marriott Internationalhotelstax violations2014CT-AG$9,000
Union State Bank banking violation2012FDIC$9,000
PETEFISH, SKILES & CO. banking violation2011FDIC$9,000
INTEGRITY BANK banking violation2011FDIC$9,000
VIST BANK banking violation2011FDIC$9,000
Richland Trace Homeowners Association, Inc. economic sanction violation2012OFAC$9,000
Weldon LLC investor protection violation2013AZ-CC$9,000
The Social Equity Group, Inc. investor protection violation2004CA-DFPI$9,000
ProEquities, Inc.Dai-ichi Lifefinancial servicesinvestor protection violation2010IN-SEC$9,000
Saturn Capital Management, LLC investor protection violation2011IN-SEC$9,000
Grabill Bank investor protection violation2011IN-SEC$9,000
Window World, Inc. investor protection violation2013IN-SEC$9,000
Spar Cove Associates, Inc. investor protection violation2015ME-SEC$9,000
ShareValue, Inc. investor protection violation2009MO-SEC$9,000
Brookstreet Securities Corporation Inc. investor protection violation2005OR-FIN$9,000
American Express Financial Advisors Inc.Ameriprise Financialfinancial servicesinvestor protection violation2000TX-SEC$9,000
Titan Wealth Management LLC investor protection violation2007TX-SEC$9,000
Legacy Harbor investor protection violation2007TX-SEC$9,000
FIREHOUSE RESTAURANT ET AL. investor protection violation2005VA-SEC$9,000
CAPITAL BUSINESS CONSULTANTS LLC investor protection violation2013VA-SEC$9,000
Berkshire Resources LLC and Berkshire (4OL) LLP investor protection violation2007WA-FIN$9,000
Third Eye Systems, LLC investor protection violation2001WA-FIN$9,000
Spark Financial Advisors, LLC investor protection violation2024PA-BKG$9,000
Intrinsicl Equity Investments, LLC tax violations2012CT-AG$8,985
Revera Health Systems Management, LLC tax violations2012CT-AG$8,985
Shiel Medical Laboratory, Inc. tax violations2014CT-AG$8,970
Bronx Plastic Surgery, LLC tax violations2014CT-AG$8,963
TPEG Securities, LLC investor protection violation2020CT-SEC$8,950
LaCapra Associates, Inc. tax violations2012CT-AG$8,940
My Social Income, Inc. investor protection violation2010IN-SEC$8,938
Safe Step, LLC tax violations2012CT-AG$8,899
Patriot Consulting, Inc. tax violations2014CT-AG$8,873
SAVINGS BANK OF MENDOCINO COUNTY banking violation2010FDIC$8,855
NORTHPOINTE BANK banking violation2011FDIC$8,850
Hanmi BankHanmi Financial Corp.financial servicesbanking violation2007FED$8,835
PointBank banking violation2014FED$8,810
State Bank & Trust banking violation2013FDIC$8,800
Waddell & Reed, Inc.Macquariefinancial servicesinvestor protection violation2003FL-OFR$8,800
The Somerville National Bank banking violation2014OCC$8,770
AMPAK ENERGY COMPANY investor protection violation2002VA-SEC$8,768
DBP & Associates, Inc. tax violations2012CT-AG$8,760
MBO Enterprise Solutions, Inc. tax violations2012CT-AG$8,760
Open Water, LLC tax violations2014CT-AG$8,756
REPUBLIC FIRST BANK banking violation2009FDIC$8,750
Smitty's Supply, Inc. tax violations2015CT-AG$8,735
GDF Suez Energy Marketing NA, Inc.Engieutilities and power generationtax violations2012CT-AG$8,730
Discover Financial ServicesDiscover Financial Servicesfinancial serviceseconomic sanction violation2010OFAC$8,720
Retirement Planning Specialists--Midwest, LLC investor protection violation2024NE-DBF$8,720
Peter Roberts & Associates, Inc. tax violations2016CT-AG$8,700
Dealers Alliance Corp. tax violations2015CT-AG$8,670
East Baking Company, Inc. tax violations2013CT-AG$8,670
Bruckner Supply Company, Inc. tax violations2012CT-AG$8,655
MediaAgility Inc. tax violations2016CT-AG$8,655
CITIZENS UNION BANK OF SHELBYVILLE banking violation2008FDIC$8,650
Atlantic Millwrights, Inc. tax violations2014CT-AG$8,640
Glenair, Inc. tax violations2012CT-AG$8,640
PORT WASHINGTON STATE BANK banking violation2005FDIC$8,600
Indian River National Bank banking violation2005OCC$8,600
New England Association of Schools and Colleges, Inc. tax violations2014CT-AG$8,590
UNION BANK AND TRUST COMPANY banking violation2010FDIC$8,575
COMMUNITY BANK & TRUST banking violation2007FDIC$8,550
Rudox Engine and Equipment Co. tax violations2016CT-AG$8,518
Woods Hole Group, Inc. tax violations2014CT-AG$8,513
Whitaker Bank banking violation2011FED$8,500
SEATTLE SAVINGS BANK banking violation2008FDIC$8,500
Heritage Bank Inc. banking violation2017FDIC$8,500
Capmark Bank banking violation2012FDIC$8,500
NORTH DALLAS BANK & TRUST CO. banking violation2011FDIC$8,500
HARLEYSVILLE SAVINGS BANK banking violation2011FDIC$8,500
ABBYBANK banking violation2010FDIC$8,500
Summit Brokerage Services, Inc. investor protection violation2013AR-SEC$8,500
Columbia Funds Series Trust investor protection violation2017CT-SEC$8,500
Fifth Third Securities, Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2013IN-SEC$8,500
Richards, Merrill & Peterson, Inc. investor protection violation2015NE-DBF$8,500
First Kentucky Securities Corporation investor protection violation2016NE-DBF$8,500
Liberty Partners Financial Services, Inc. investor protection violation2019NH-BSR$8,500
Ragen Mackenzie Investment Services LLCWells Fargofinancial servicesinvestor protection violation2004OR-FIN$8,500
SHOCKHOE BOTTOM ENTERPRISES investor protection violation2006VA-SEC$8,500
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.