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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
Crescent Brewery LLC tax violations2022ATTTB$7,400
MoneyLife Partners, Inc. investor protection violation2023KY-FIN$7,400
Lighthouse Placement Services, LLC tax violations2015CT-AG$7,395
THE CONVERSE COUNTY BANK banking violation2007FDIC$7,385
Citicorp Vendor Finance LtdCitigroupfinancial serviceseconomic sanction violation2004OFAC$7,379
Mackrow Asset Management Group and Runnstarr Asset Management Group investor protection violation2018MO-SEC$7,372
The Chinese American Bank economic sanction violation2006OFAC$7,370
Fuller Construction Corp. tax violations2016CT-AG$7,324
First Sentinel Bank banking violation2011FED$7,315
BANK OF STOCKTON banking violation2010FDIC$7,315
CITIZENS COMMUNITY BANK banking violation2010FDIC$7,315
SOUTHERN MISSOURI BANK AND TRUST COMPANY banking violation2002FDIC$7,300
Church Extension Loan Fund, Inc. investor protection violation2022AR-SEC$7,300
Suretrade, Inc. economic sanction violation2007OFAC$7,277
International Beauty Supply of Toms River, Inc. tax violations2013CT-AG$7,268
Tidewell DeWitt Investment Services, LLC investor protection violation2007AL-SEC$7,262
American Forest Products, LLC tax violations2013CT-AG$7,260
Amarillo National Bank banking violation2013OCC$7,250
California United BankPacWest Bancorpfinancial serviceseconomic sanction violation2004OFAC$7,250
THE PEOPLES BANK OF BULLITT COUNTY banking violation2011FDIC$7,250
Ecology Recovery Systems, Inc. tax violations2014CT-AG$7,230
Monarch Bank banking violation2010FED$7,215
COMMUNITY BANK OF CENTRAL WISCONSIN banking violation2009FDIC$7,200
The Savings Bank banking violation2017FDIC$7,200
Perspectus Architecture, LLC tax violations2016CT-AG$7,200
NETTALON SECURITY SYSTEMS INC investor protection violation2009VA-SEC$7,200
Aquatic Renovation Systems, Inc. tax violations2013CT-AG$7,193
ALLIANCE BANK banking violation2010FDIC$7,190
CapitalSource Bank tax violations2014CT-AG$7,185
Chevron TCI, Inc. tax violations2012CT-AG$7,185
Daia Holdings Ltd. tax violations2015CT-AG$7,185
Delphinus Engineering, Inc. tax violations2016CT-AG$7,185
Bensussen Deutsch & Associates, Inc. tax violations2013CT-AG$7,170
Radio Spirits, LLC tax violations2013CT-AG$7,163
BANK OF BLUFFS banking violation2010FDIC$7,150
Sellars Absorbant Materials, Inc. tax violations2014CT-AG$7,148
Northland Industrial Truck Co. Inc. tax violations2012CT-AG$7,133
Community State Bank banking violation2011FED$7,130
AMERICAN STATE BANK banking violation2005FDIC$7,125
Ambassador College Bookstores, Inc. tax violations2012CT-AG$7,110
Bill.com, Inc.Bill.cominformation technologytax violations2014CT-AG$7,110
Alternative Distribution Network, Inc. tax violations2009ATTTB$7,105
H.C. Denison Co. investor protection violation2023ME-SEC$7,105
TSB Bank banking violation2016FDIC$7,100
United Claims Service, Inc. tax violations2013CT-AG$7,080
AMERICAN BANK CENTER FIRST; BANK CENTER FIRST banking violation2006FDIC$7,050
Casewise Systems, Inc. tax violations2015CT-AG$7,050
Pierpont Securities Holdings, LLC tax violations2014CT-AG$7,050
AFB&TSynovus Financialfinancial servicesbanking violation2009FDIC$7,040
The Hondo National Bank banking violation2014OCC$7,000
BarkandBrew Inc. dba La Jolla Brew House tax violations2013ATTTB$7,000
Cold Spring Brewing Company tax violations2010ATTTB$7,000
Lucas & Lewellen Vineyards, Inc. tax violations2009ATTTB$7,000
WEST SUBURBAN BANK banking violation2009FDIC$7,000
JACKSON COUNTY BANK banking violation2008FDIC$7,000
SECURITY STATE BANK banking violation2006FDIC$7,000
UNITED BANK banking violation2003FDIC$7,000
THE COLUMBIA BANKFulton Financialfinancial servicesbanking violation2002FDIC$7,000
FIRST MARINER BANK banking violation2002FDIC$7,000
Citizens Bank and Trust Company banking violation2003FED$7,000
Terex CorporationTerexheavy equipmenteconomic sanction violation2005OFAC$7,000
Hanmi BankHanmi Financial Corp.financial serviceseconomic sanction violation2004OFAC$7,000
First National Bank of Colorado banking violation2005OCC$7,000
Bank of Gueydan banking violation2017FED$7,000
Skyscraper Brewing Company tax violations2018ATTTB$7,000
The Bank of Holly Springs banking violation2018FDIC$7,000
William Somerville, Inc. tax violations2012CT-AG$7,000
Peoples Exchange Bank banking violation2013FDIC$7,000
Western State Bank banking violation2012FDIC$7,000
THE CITIZENS BANK banking violation2011FDIC$7,000
DIAMOND BANK banking violation2011FDIC$7,000
SECURITY BANK banking violation2011FDIC$7,000
BERKSHIRE BANK banking violation2011FDIC$7,000
GLENNVILLE BANK banking violation2010FDIC$7,000
ABBYBANK banking violation2010FDIC$7,000
Zurigo Trading, Inc. economic sanction violation2011OFAC$7,000
Newman Energy Corp. investor protection violation2008AL-SEC$7,000
Bluepac Management LLC investor protection violation2012AL-SEC$7,000
Lewis & Clark Outdoors, Inc. investor protection violation2011AR-SEC$7,000
NSM Securities, Inc. investor protection violation2013AR-SEC$7,000
Annett & Associates investor protection violation2020CO-SEC$7,000
Wynn Investments LLC investor protection violation2020FL-OFR$7,000
Littlefield Asset Management, Inc. investor protection violation2013GA-SEC$7,000
JT Financial Advisers, LLC investor protection violation2009IL-SEC$7,000
Encompass Wealth Management, LLC investor protection violation2017KY-FIN$7,000
Ogan Financial Group, Inc. dba True Wealth Management investor protection violation2015MD-SEC$7,000
CPFS, Inc. and Pinnacle Support Systems, Inc. investor protection violation2006ME-SEC$7,000
First Montauk Securities Corporation investor protection violation2002ND-SEC$7,000
Edward D. Jones & Co. LPJones Financialfinancial servicesinvestor protection violation2003ND-SEC$7,000
BIO-SOLUTIONS FRANCHISE CORP. investor protection violation2003VA-SEC$7,000
DAILY GRIND OF WINCHESTER investor protection violation2006VA-SEC$7,000
INVESTOLOGY, INC. investor protection violation2009VA-SEC$7,000
SEDONA OIL & GAS CORPORATION investor protection violation2010VA-SEC$7,000
911 RESTORATION FRANCHISE, INC investor protection violation2015VA-SEC$7,000
Moonlighting, Inc. investor protection violation2019VA-SEC$7,000
My Choice Hair, LLC investor protection violation2020VA-SEC$7,000
Tradeology.com, Inc. investor protection violation2010WA-FIN$7,000
Merrill Lynch Pierce Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2005WI-FIN$7,000
First Midwest Securities, Inc. investor protection violation2009FINRA$7,000
Eagle Strategies LLC investor protection violation2022VA-SEC$7,000
MRV Banks banking violation2022FDIC$7,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.