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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
SHOCKHOE BOTTOM ENTERPRISES investor protection violation2006VA-SEC$8,500
TBOC, LLC investor protection violation2012WA-FIN$8,500
Benchmark Community Bank banking violation2020FED$8,500
Parnassus Funds and Parnassus Income Funds investor protection violation2023CT-SEC$8,500
Keenan, LLC dba Keenan Financial investor protection violation2023PA-BKG$8,500
Pebble Financial, Inc. investor protection violation2023WA-SEC$8,500
Wells Fargo Advisors, LLCWells Fargofinancial servicesinvestor protection violation2010IN-SEC$8,495
UNITED BANK banking violation2009FDIC$8,470
Central Carolina Bank economic sanction violation2004OFAC$8,465
FARMERS BANK, THE banking violation2008FDIC$8,450
FINANCE FACTORS, LTD banking violation2010FDIC$8,450
Taconic Heating & Cooling Corp. tax violations2014CT-AG$8,440
Bray Capital Group, LLC investor protection violation2024NV-SEC$8,432
Emiliani Enterprises, Inc. tax violations2013CT-AG$8,423
Turbo Technicians LLC tax violations2015CT-AG$8,415
PACIFIC CONTINENTAL BANK banking violation2008FDIC$8,400
Intercredit Bank, National Association banking violation2008OCC$8,400
Dollar Tree Sourcing Company, LLCDollar Treeretailingtax violations2016CT-AG$8,400
Frenkel Benefits, LLC tax violations2013CT-AG$8,400
G-2 Trading, LLC tax violations2012CT-AG$8,400
Opus-ism, LLC tax violations2014CT-AG$8,400
Security Engineering, Inc. tax violations2014CT-AG$8,393
BK Management, Inc. tax violations2012CT-AG$8,378
Yakira Partners, LP tax violations2012CT-AG$8,378
YP Management, LLC tax violations2012CT-AG$8,378
HSBC Bank USAHSBCfinancial serviceseconomic sanction violation2004OFAC$8,375
Gunks Holdings Corp. tax violations2014CT-AG$8,370
Kenexa Compensation, Inc. tax violations2013CT-AG$8,370
The CSI Companies, Inc. tax violations2015CT-AG$8,370
NANCY BARRON & ASSOCIATES, INC investor protection violation2024AL-SEC$8,362
Corporate Building Services, Inc. tax violations2015CT-AG$8,361
Deutsche Telekom North America Inc.Deutsche Telekomtelecommunicationstax violations2012CT-AG$8,355
Air Contact Transport, Inc. tax violations2013CT-AG$8,340
Greenwich Investment Research, Inc. tax violations2015CT-AG$8,325
BANK OF HARLAN, THE banking violation2010FDIC$8,315
Custom Renovation Services, Inc. tax violations2012CT-AG$8,303
TEXAS BAR-B-Q FACTORY, ET AL. investor protection violation2009VA-SEC$8,300
MIFFLIN COUNTY SAVINGS BANK banking violation2009FDIC$8,295
Canady Holdings, Inc. investor protection violation2006MO-SEC$8,267
PEOPLES STATE BANK banking violation2008FDIC$8,265
A. Kazemi & Co., Inc. economic sanction violation2003OFAC$8,262
Eagle Elevator Company, Inc. tax violations2012CT-AG$8,255
First Incentive Travel, Inc. economic sanction violation2009OFAC$8,250
EMD Chemicals, Inc.Merck KGaA (EMD)pharmaceuticalseconomic sanction violation2007OFAC$8,250
Parkdale Mills, Inc. economic sanction violation2007OFAC$8,250
Foothills Property Inc. economic sanction violation2004OFAC$8,250
Barwill Agencies (N.A.), Inc economic sanction violation2003OFAC$8,250
Bently Nevada CorporationBaker Hughesoilfield services and supplieseconomic sanction violation2003OFAC$8,250
Freedom Bank banking violation2022FDIC$8,250
GINERIS WEALTH MANAGEMENT LLC investor protection violation2023IN-SEC$8,250
Ameritraining, Inc. tax violations2014CT-AG$8,243
FIRST EXCHANGE BANK banking violation2009FDIC$8,225
PNC BankPNC Financial Servicesfinancial serviceseconomic sanction violation2005OFAC$8,200
Iberia Airlines economic sanction violation2004OFAC$8,200
Wood Pro Installers, Inc. tax violations2015CT-AG$8,198
Data Physics Corp. tax violations2015CT-AG$8,197
Majestic Distributors, Inc. tax violations2014CT-AG$8,145
First Jackson Bank, Inc. banking violation2012FDIC$8,140
Red Cedar Landscaper, Inc. tax violations2014CT-AG$8,115
SALT LICK DEPOSIT BANK banking violation2006FDIC$8,100
BRIDGEWATER BANK banking violation2008FDIC$8,085
AMERICAN BANK & TRUST OF THE CUMBERLANDS banking violation2011FDIC$8,085
Convergent Dental, Inc. tax violations2016CT-AG$8,070
Create Marketing and Sales Solutions, Inc. tax violations2012CT-AG$8,070
Dyer Displays, Inc. tax violations2015CT-AG$8,070
Prexion, Inc. tax violations2013CT-AG$8,070
YourPeople, Inc.TriNet Groupbusiness servicestax violations2016CT-AG$8,070
HealthSmart Rx, Inc. tax violations2012CT-AG$8,055
CENTRAL STATE BANK banking violation2004FDIC$8,050
IHS Herold Inc. investor protection violation2012CT-SEC$8,050
Event Marketing, Inc. tax violations2012CT-AG$8,040
Alterisio Construction, Inc. tax violations2012CT-AG$8,033
Futuredontics, Inc. tax violations2012CT-AG$8,025
CITIZENS BANK OF LAFAYETTE banking violation2010FDIC$8,005
Bank of Texas banking violation2014FED$8,000
Wine & Spirits of America, Inc. tax violations2009ATTTB$8,000
Pittsburgh Brewing Co. tax violations2004ATTTB$8,000
David Raines dba Vins de Taille tax violations2002ATTTB$8,000
Distribution Technology Inc. tax violations2002ATTTB$8,000
Distribution Technology, Incorporated tax violations2002ATTTB$8,000
THE FIRST STATE BANK OF BURLINGAME banking violation2009FDIC$8,000
HILLCREST BANK banking violation2009FDIC$8,000
FIRST SERVICE BANK banking violation2009FDIC$8,000
SECURITY STATE BANK banking violation2008FDIC$8,000
SECURITY STATE BANK banking violation2005FDIC$8,000
NEW YORK COMMUNITY BANKNew York Community Bancorpfinancial servicesbanking violation2004FDIC$8,000
STOCK YARDS BANK & TRUST COMPANY banking violation2004FDIC$8,000
SCOTIABANK DE PUERTO RICO banking violation2003FDIC$8,000
COMMUNITY BANKS banking violation2003FDIC$8,000
M C BANK & TRUST COMPANY banking violation2001FDIC$8,000
Intrust Bank economic sanction violation2003OFAC$8,000
First Bank & Trust banking violation2017FDIC$8,000
Kelly Window Systems, Inc. tax violations2012CT-AG$8,000
White Plains Glass & Mirror, Inc. tax violations2012CT-AG$8,000
First Bank & Trust, banking violation2017FDIC$8,000
The Gerber State Bank banking violation2012FDIC$8,000
High Point Bank and Trust Company banking violation2012FDIC$8,000
Hawthorn Bank banking violation2012FDIC$8,000
EvaBank banking violation2012FDIC$8,000
Peoples Independent Bank banking violation2012FDIC$8,000
UNITED BANK OF MICHIGAN banking violation2011FDIC$8,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.