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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
MRV Banks banking violation2022FDIC$7,000
Viking Credit Master, LLC tax violations2012CT-AG$6,990
August Wealth Group, Inc. investor protection violation2023ME-SEC$6,982
Invo Healthcare Associates, Inc. tax violations2013CT-AG$6,968
Resnick Investment Advisors, LLC tax violations2012CT-AG$6,968
NobelTrading.com investor protection violation2010MT-FIN$6,943
Custom Computer Specialists, Inc. tax violations2013CT-AG$6,938
PICO Enterprises, Inc. tax violations2013CT-AG$6,938
Caldwell Sutter Capital Inc. investor protection violation2020ME-SEC$6,936
Remet Corp. tax violations2012CT-AG$6,930
First State Bank banking violation2015FDIC$6,900
2020 Company, LLC tax violations2012CT-AG$6,900
Access Intelligence LLC tax violations2014CT-AG$6,900
Time Warner Cable Enterprises LLCCharter Communicationstelecommunicationstax violations2015CT-AG$6,900
First State Bank banking violation2015FDIC$6,900
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020VT-FIN$6,900
Modern Investments LLC investor protection violation2012TN-SEC$6,890
Nexant, Inc. tax violations2016CT-AG$6,885
American Mortgage Consultants, Inc. tax violations2015CT-AG$6,870
Gemma Power Systems, LLC tax violations2015CT-AG$6,870
Barry Callebaut USA, IncBarry Callebautfood productseconomic sanction violation2004OFAC$6,852
Shore Community Bank banking violation2013FDIC$6,850
UNITED BANK banking violation2008FDIC$6,850
Pacific Mercantile Bank banking violation2007FED$6,850
Heritage Bank of CommerceHeritage Commerce Corp.financial servicesbanking violation2008FED$6,840
CITIZENS STATE BANK banking violation2005FDIC$6,800
FARMERS AND MERCHANTS BANK, THE banking violation2011FDIC$6,800
Financial America Securities, Inc. investor protection violation2013MT-FIN$6,769
CHEYENNE STATE BANK banking violation2009FDIC$6,765
Planters Bank and Trust Company banking violation2006FED$6,750
Agoda Company, Pte Ltd. economic sanction violation2008OFAC$6,750
Belpastry, Inc. tax violations2014CT-AG$6,750
Equus Software, LLC tax violations2015CT-AG$6,750
Intelisys Communications Inc. tax violations2015CT-AG$6,750
Veterinary Information Network, Inc. tax violations2016CT-AG$6,750
Western Realty Investments LLC investor protection violation2014NH-BSR$6,750
Witter & Westlake Investments, Inc. investor protection violation2021KY-FIN$6,750
HORIZON COMMUNITY BANK banking violation2009FDIC$6,740
Bluepath Telecommunications Engineering, LLC tax violations2012CT-AG$6,735
Capture 3D Incorporated tax violations2012CT-AG$6,720
Monitor Capital, LLC investor protection violation2020CT-SEC$6,720
Peters Financial Planning Corp. investor protection violation2009MD-SEC$6,700
Mark VII Equipment, Inc. tax violations2014CT-AG$6,698
Vested Securities, LLC investor protection violation2023ME-SEC$6,698
Deerfield Distributing, Inc. tax violations2012CT-AG$6,697
De-Fence, Inc. tax violations2016CT-AG$6,683
Bank OneJPMorgan Chasefinancial serviceseconomic sanction violation2004OFAC$6,682
Barlo Signs International, Inc. tax violations2012CT-AG$6,682
CITIZENS BANK & TRUST CO. banking violation2011FDIC$6,665
BLOOMFIELD STATE BANK banking violation2007FDIC$6,650
Timberline Buildings, LLC tax violations2013CT-AG$6,638
Bimbo Hungria Co. tax violations2012CT-AG$6,630
Kurt Salmon US, Inc. tax violations2012CT-AG$6,630
MAIN STREET BANK banking violation2005FDIC$6,600
Willbros USA, Inc.Primoris Servicesconstruction and engineeringeconomic sanction violation2009OFAC$6,600
DuPont Pharmaceuticals CompanyBristol-Myers Squibbpharmaceuticalseconomic sanction violation2004OFAC$6,600
Brastrade Brazilian Trading Co., Inc. economic sanction violation2003OFAC$6,600
Societe GeneraleSociete Generalefinancial serviceseconomic sanction violation2003OFAC$6,600
Cleantech Fund II, LP tax violations2015CT-AG$6,600
Dobric Family LP tax violations2016CT-AG$6,600
FT Maintenance-East, LLC tax violations2012CT-AG$6,600
SC Lease Co. LLC tax violations2014CT-AG$6,600
The Game Agency, LLC tax violations2015CT-AG$6,600
Wildlife Management Institute, Inc. tax violations2016CT-AG$6,600
Bombardier Services Corp.Alstommiscellaneous energy products and systemstax violations2013CT-AG$6,585
GMA Garnet (USA) Corp. tax violations2013CT-AG$6,585
Hiab USA Inc. tax violations2016CT-AG$6,570
M.S. Walker, Inc. tax violations2014CT-AG$6,570
Seattle Specialty Insurance Services, Inc. tax violations2014CT-AG$6,570
U.S. Water Services, Inc. tax violations2015CT-AG$6,570
WEALTH PLANNING & MANAGEMENT, LLC investor protection violation2023IN-SEC$6,568
Superior Design International, Inc. tax violations2012CT-AG$6,563
Eni Petroleum Co. Inc.ENIoil and gaseconomic sanction violation2008OFAC$6,562
Kinetics Mutual Funds Inc. investor protection violation2002NE-DBF$6,547
COMMUNITY BUSINESS BANK banking violation2011FDIC$6,545
MUTUAL BANK banking violation2009FDIC$6,500
GULF COAST BANK banking violation2007FDIC$6,500
Shinnecock Smoke Shop economic sanction violation2004OFAC$6,500
Citizens Bank & Trust Company banking violation2017FDIC$6,500
MIDTOWN BANK & TRUST COMPANY banking violation2011FDIC$6,500
FIRST BANK OF COASTAL GEORGIA banking violation2011FDIC$6,500
St. Bernard Financial Services, Inc. investor protection violation2010AR-SEC$6,500
RSC Adventures, LLC investor protection violation2013AZ-CC$6,500
Stirling Capital Management investor protection violation2014CA-DFPI$6,500
Cambridge Investment Research, Inc. investor protection violation2012MS-SEC$6,500
R.M. Neilio & Associates Fiscal Advisors investor protection violation2015NH-BSR$6,500
BELLA BALLERINA FRANCHISING investor protection violation2018VA-SEC$6,500
Moore Wealth Management, L.L.C. investor protection violation2018WA-FIN$6,500
EJZ Investments, LLC investor protection violation2014WA-FIN$6,500
Ra Ghala Corporation, AuJeune Corporation investor protection violation2013WA-FIN$6,500
Statewide Escrow investor protection violation2003WA-FIN$6,500
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020NM-SEC$6,500
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020RI-FIN$6,500
Nebraska State Bank banking violation2021FDIC$6,500
Safe Harbor Retirement Planners investor protection violation2022DE-SEC$6,500
Penrod Financial Services, Inc. investor protection violation2023TX-SEC$6,500
Telcentris, Inc. investor protection violation2022NV-SEC$6,500
Compass Capital Advisors L.L.C. investor protection violation2023WA-SEC$6,500
Barrett & Worthen, Inc. tax violations2014CT-AG$6,480
WAUWATOSA SAVINGS BANK banking violation2008FDIC$6,475
Banca Commerciale Italiana economic sanction violation2004OFAC$6,450
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.