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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
UNITED BANK OF MICHIGAN banking violation2011FDIC$8,000
VERMILLION STATE BANK banking violation2011FDIC$8,000
MID AMERICA BANK banking violation2011FDIC$8,000
THE BATH STATE BANK banking violation2011FDIC$8,000
UNION STATE BANK banking violation2011FDIC$8,000
GREATER ROME BANK banking violation2010FDIC$8,000
PEOPLES BANK OF THE SOUTH banking violation2010FDIC$8,000
FARMERS SAVINGS BANK banking violation2009FDIC$8,000
Vision Technologies, Inc. investor protection violation2014AR-SEC$8,000
QVG, LLC investor protection violation2019AR-SEC$8,000
Global Security Management Association Incorporation investor protection violation2001DE-SEC$8,000
Straight Line Investment Group LLC investor protection violation2018ID-SEC$8,000
Pocketinns, Inc. investor protection violation2018IL-SEC$8,000
Fuhrmann Capital LLC investor protection violation2010IN-SEC$8,000
American Trust Investment Services, Inc. investor protection violation2011IN-SEC$8,000
Financial Concepts, Inc. investor protection violation2005MD-SEC$8,000
Delaware Distributors, L.P. investor protection violation2009MD-SEC$8,000
VC Direct Solutions investor protection violation2013ME-SEC$8,000
Eastern Energy Corp. investor protection violation2003MN-FIN$8,000
Cornerstone Ministries Investments, Inc. investor protection violation2005MN-FIN$8,000
Insight Investment Advisers LLC investor protection violation2018MO-SEC$8,000
SameDay Security, Inc. investor protection violation2016MS-SEC$8,000
American Capital Corporation investor protection violation2002ND-SEC$8,000
Huntleigh Securities Corporation investor protection violation2004ND-SEC$8,000
Berthel Fisher and Company Financial Services Inc.Berthel Fisherfinancial servicesinvestor protection violation2006ND-SEC$8,000
Towle Farm Mortgage Investors, LLC investor protection violation2018NH-BSR$8,000
SK Group Inc. investor protection violation2013PA-BKG$8,000
Lirio LLC investor protection violation2020TN-SEC$8,000
Allied Energy Group et al. investor protection violation2004TX-SEC$8,000
First Western Securities Inc. investor protection violation2007TX-SEC$8,000
Provident Capital Management Inc. investor protection violation2017TX-SEC$8,000
BELLACINO'S, INC. investor protection violation2005VA-SEC$8,000
WINDOW WORLD, INC. investor protection violation2012VA-SEC$8,000
Sugar Shack Donuts, LLC investor protection violation2017VA-SEC$8,000
Iron Valley Real Estate, LLC investor protection violation2019VA-SEC$8,000
Master Networks, LLC investor protection violation2020VA-SEC$8,000
Runaway Hearts Productions, LLC and Canyon Sands Productions, Inc. investor protection violation2015WA-FIN$8,000
Liberty Roe Capital LLC investor protection violation2020VA-SEC$8,000
F.C. Franchising Systems, Inc. d/b/a Fresh Coat investor protection violation2021VA-SEC$8,000
United Bank of Iowa banking violation2021FDIC$8,000
First Vision Bank banking violation2021FED$8,000
Cache Valley Bank banking violation2022FDIC$8,000
Permanens Capital L.P. investor protection violation2022VA-SEC$8,000
Six Sigma Investments Corp investor protection violation2023IL-SEC$8,000
BSMBRCAW Investments investor protection violation2023IL-SEC$8,000
Bennett Biggs LLC tax violations2024ATTTB$8,000
Atlantic Bridge & Engineering, Inc. tax violations2014CT-AG$7,980
Citizens State Bank of La Crosse banking violation2013FDIC$7,900
BANK OF WISCONSIN DELLS banking violation2006FDIC$7,900
DnB Nor Bank economic sanction violation2004OFAC$7,855
Park Bank banking violation2019FDIC$7,850
X Plus One Solutions, Inc. tax violations2013CT-AG$7,838
Ruesch International, Inc.Western Unionfinancial serviceseconomic sanction violation2004OFAC$7,811
WESTERN BANK banking violation2011FDIC$7,805
Mercury Payment Systems, LLCFidelity National Information Servicesinformation technologytax violations2015CT-AG$7,800
Miller Construction Services, Inc. tax violations2012CT-AG$7,785
Safeware The Insurance Agency, Inc. tax violations2012CT-AG$7,785
BANK OF GUAM banking violation2008FDIC$7,780
AMERICAN RIVER BANK banking violation2009FDIC$7,770
Kittredge Equipment Company, Inc. tax violations2012CT-AG$7,770
San Vicente Productions, Inc. tax violations2013CT-AG$7,770
First Bank & Trust Company banking violation2005FED$7,750
THE DART BANK banking violation2011FDIC$7,750
DLLH, LLC dba GSP Financial Strategies investor protection violation2024NV-SEC$7,750
Melissa Matson, LLC investor protection violation2024NV-SEC$7,729
Neighborhood Diabetes, Inc. tax violations2012CT-AG$7,725
Peoples Exchange Bank banking violation2013FDIC$7,700
REGENT BANK banking violation2011FDIC$7,700
FETCH! PET CARE INC. investor protection violation2011VA-SEC$7,700
Comfort Dental Group, Inc. investor protection violation2012WA-FIN$7,688
Summit Golf Brands, Inc. tax violations2015CT-AG$7,650
Lifestyle Freedom Advisory Group, LLC investor protection violation2021CT-SEC$7,650
CAPITAL BROKERAGE CORPORATION investor protection violation2000VA-SEC$7,644
Thomas George Associates Ltd. tax violations2016CT-AG$7,625
THE DIME BANK banking violation2010FDIC$7,620
Vision III Architects, Inc. tax violations2013CT-AG$7,613
Millennium Group of New York, LLC investor protection violation2001SEC$7,602
Bay Bank banking violation2012FDIC$7,590
ProEquities, Inc.Dai-ichi Lifefinancial servicesinvestor protection violation2018CT-SEC$7,590
Rhoads Lucca Capital Management investor protection violation2013IL-SEC$7,585
P.W. Scott Engineering & Architecture, P.C. tax violations2013CT-AG$7,568
Vanguard Organizations, Inc. tax violations2014CT-AG$7,560
BankTrust Financial banking violation2013FDIC$7,500
West Texas State Bank banking violation2013FDIC$7,500
First Iowa State Bank banking violation2015FED$7,500
Warwick Valley Wine Company, Inc. tax violations2014ATTTB$7,500
Devalmont Vineyards, Inc. dba Gruet Winery tax violations2010ATTTB$7,500
Pur Vine, LLC tax violations2009ATTTB$7,500
Orvino Imports & Distributing, Inc. tax violations2003ATTTB$7,500
Bacardi CorporationBacardi Limitedbeveragestax violations2002ATTTB$7,500
Federal-Hoffman, Inc.(dba Federal Cartridge Co.) tax violations2001ATTTB$7,500
NOVATO COMMUNITY BANK banking violation2001FDIC$7,500
SOUTHERN PACIFIC BANK banking violation2000FDIC$7,500
BankAtlanticTruist Financialfinancial serviceseconomic sanction violation2008OFAC$7,500
Iridex Corporation economic sanction violation2008OFAC$7,500
Premier Agency Inc. economic sanction violation2008OFAC$7,500
The Four Oaks Foundation, Inc. economic sanction violation2005OFAC$7,500
Cable News Network, Inc.Warner Bros. Discovery Inc.mediaeconomic sanction violation2004OFAC$7,500
Alpha Industries, Inc economic sanction violation2003OFAC$7,500
Crown Bank, National Association banking violation2008OCC$7,500
Old National BankOld National Bancorpfinancial servicesbanking violation2004OCC$7,500
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.