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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
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesanti-money-laundering deficiencies2016FINRA$17,000,000
The Options Clearing Corporation investor protection violation2023SEC$17,000,000
1st Global Advisors, Inc. investor protection violation2021SEC$16,873,153
Zurich Capital Markets Inc.Zurich Insurancefinancial servicesinvestor protection violation2007SEC$16,800,000
Christie's Inc. tax violations2020NY-MANDA$16,700,000
Whispering Winds Properties, L.L.C et al. investor protection violation2009AZ-CC$16,633,570
Bank of America N.A.Bank of Americafinancial serviceseconomic sanction violation2014OFAC$16,562,700
CG Technology LP (formerly Cantor Gaming) anti-money-laundering deficiencies2016USAO$16,500,000
Virtus Investment Advisers, Inc. investor protection violation2015SEC$16,500,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesanti-money-laundering deficiencies2016FINRA$16,500,000
Northwestern Mutual Investment Services LLCNorthwestern Mutualfinancial servicesinvestor protection violation2024SEC$16,500,000
Cowen and Company, LLCToronto-Dominion Bankfinancial servicesinvestor protection violation2024SEC$16,500,000
Liberty Financial Trading Corp., Inc. and Liberty Real Assets Investment Corporation investor protection violation2007CFTC$16,403,000
The Chamber Group, Inc. investor protection violation2002AZ-CC$16,342,404
Securities America, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2006FINRA$16,300,000
Bear Wagner Specialists LLC investor protection violation2004SEC$16,259,446
Berkshire Resources, L.L.C. investor protection violation2010SEC$16,255,846
Murtha Cullina LLP investor protection violation2007CT-AG$16,250,000
M25 Investments, Inc. and M37 Investments, LLC investor protection violation2010CFTC$16,200,000
Forstmann Little & Co. investor protection violation2004CT-AG$16,200,000
Merrick Bank banking violation2014FDIC$16,100,000
DCAST Capital Investments LLCandFive Traders LLC investor protection violation2023CFTC$16,087,440
Sovereign Bank N.A.Banco Santanderfinancial servicesbanking violation2013OCC$16,086,180
ICOBox investor protection violation2020SEC$16,059,428
Latour Trading LLC investor protection violation2014SEC$16,000,000
Riggs BankPNC Financial Servicesfinancial servicesanti-money-laundering deficiencies2005USAO$16,000,000
Gabelli Funds LLCGamco Investors Inc.financial servicesinvestor protection violation2008SEC$16,000,000
Hertz Global Holdings, Inc.Hertzmiscellaneous servicesinvestor protection violation2018SEC$16,000,000
Nationwide Retirement Solutions investor protection violation2010AL-AG$16,000,000
BDO SeidmanBDO Internationalbusiness servicesaccounting fraud or deficiencies2002USAO$16,000,000
Waddell & Reed, Inc.Macquariefinancial servicesinvestor protection violation2005FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $16,000,000
Mondelez GlobalMondelez Internationalfood productsinvestor protection violation2022CFTC$16,000,000
U.S. Bancorp Investments, Inc.U.S. Bancorpfinancial servicesinvestor protection violation2020SEC$15,992,441
Financial Tree Trust et al. investor protection violation2022CFTC$15,900,000
Medsis International, Inc. investor protection violation2024SEC$15,871,200
Ameritrust Corporation investor protection violation2023SEC$15,802,376
Altamont Global Partners LLC investor protection violation2014CFTC$15,800,000
Brookshire Raw Materials Management, LLC investor protection violation2011CFTC$15,800,000
The Tulving Company, Inc. investor protection violation2019CFTC$15,761,432
The Trade Tech Institute, Inc. and Technology Trading International, Inc. investor protection violation2012CFTC$15,759,357
GetAnswers, Inc. investor protection violation2007SEC$15,713,676
Capital Financial Partners, LLC et al. investor protection violation2017SEC$15,700,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2018SEC$15,700,000
New York Options Exchange, Tahoe Futures, International Energy Exchange, Vitol Capital Management,New York Petroleum Option Exchange, HPR Commodities, investor protection violation2007CFTC$15,524,957
Arcturus Corporation and Aschere Energy LLC investor protection violation2017SEC$15,500,000
Wwebnet Inc. accounting fraud or deficiencies2015SEC$15,459,127
Piguet Galland & Cie SA tax violations2015DOJ_TAX$15,365,000
Omega Knight 2, LLC investor protection violation2019CFTC$15,257,028
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2007FINRA$15,200,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2022FINRA$15,200,000
Migros Bank AG tax violations2015DOJ_TAX$15,037,000
UBS Financial ServicesUBSfinancial servicesinvestor protection violation2016SEC$15,025,882
Goldman Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2016SEC$15,000,000
UBS Financial Services Inc. of Puerto RicoUBSfinancial servicesinvestor protection violation2015SEC$15,000,000
Citigroup Global MarketsCitigroupfinancial servicesinvestor protection violation2015SEC$15,000,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2014SEC$15,000,000
Bankrate Inc.Red Venturesbusiness servicesaccounting fraud or deficiencies2015SEC$15,000,000
Macquarie Capital (USA) Inc.Macquariefinancial servicesinvestor protection violation2015SEC$15,000,000
TD BankToronto-Dominion Bankfinancial servicesinvestor protection violation2013SEC$15,000,000
Sigue Corporation anti-money-laundering deficiencies2008DOJ_CRIMINAL$15,000,000
RenaissanceRe Holdings Ltd.RenaissanceRe Holdingsfinancial servicesaccounting fraud or deficiencies2007SEC$15,000,000
Ameriprise Financial, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2005SEC$15,000,000
Elan Corporation, plcPerrigopharmaceuticalsaccounting fraud or deficiencies2005SEC$15,000,000
Conseco, Inc.CNO Financialfinancial servicesinvestor protection violation2004SEC$15,000,000
United Bank for AfricaUnited Bank for Africa plcfinancial servicesanti-money-laundering deficiencies2008FINCEN$15,000,000
Allergan Inc.AbbViepharmaceuticalsinvestor protection violation2017SEC$15,000,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesbanking violation2017OCC$15,000,000
Shake-N-Go Fashion Inc. and Model Model Hair Fashion Inc. anti-money-laundering deficiencies2014USAO$15,000,000
First Bank of Delaware banking violation2012USAO$15,000,000
UBS AGUBSfinancial servicesinvestor protection violation2018CFTC$15,000,000
US BancorpU.S. Bancorpfinancial servicesbanking violation2018FED$15,000,000
Elemetal LLC anti-money-laundering deficiencies2018USAO$15,000,000
PNC Bank, National AssociationPNC Financial Servicesfinancial servicesbanking violation2018OCC$15,000,000
Moody's Investors Service, Inc.Moody'sinformation technologyinvestor protection violation2018SEC$15,000,000
Ingram Micro Inc.Platinum Equityprivate equity (including portfolio companies)investor protection violation2009SEC$15,000,000
Fiserv Securities, Inc.Fidelity Investmentsfinancial servicesinvestor protection violation2005SEC$15,000,000
McKinsey & Company, Inc.McKinseybusiness servicesbankruptcy professional violation2019DOJ_UTP$15,000,000
Conseco, Inc.CNO Financialfinancial servicesinvestor protection violation2004NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $15,000,000
The Options Clearing Corporation investor protection violation2019SEC$15,000,000
BGC Financial, LPBGC Partnersfinancial servicesinvestor protection violation2019CFTC$15,000,000
First Bank of Delaware banking violation2012FDIC$15,000,000
NissanNissanmotor vehiclesaccounting fraud or deficiencies2019SEC$15,000,000
Raymond James & Associates, Inc. et al.Raymond James Financialfinancial servicesinvestor protection violation2019SEC$15,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2008MULTI-FIN$15,000,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $15,000,000
Ernst & Young, LLPErnst & Youngbusiness servicestax violations2003IRS$15,000,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesanti-money-laundering deficiencies2020FINRA$15,000,000
BNP Paribas Securities Corp. and BNP Paribas Prime Brokerage, Inc.BNP Paribasfinancial servicesanti-money-laundering deficiencies2019FINRA$15,000,000
Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargofinancial servicesinvestor protection violation2015FINRA$15,000,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2014FINRA$15,000,000
Goldman SachsGoldman Sachsfinancial servicesinvestor protection violation2023CFTC$15,000,000
Bank of Nova ScotiaScotiabankfinancial servicesinvestor protection violation2023CFTC$15,000,000
HSBC Securities (USA) Inc.HSBCfinancial servicesinvestor protection violation2023SEC$15,000,000
MUFG Union Bank, National AssociationU.S. Bancorpfinancial servicesbanking violation2023OCC$15,000,000
American Express National BankAmerican Expressfinancial servicesbanking violation2023OCC$15,000,000
Houlihan Lokey Capital, Inc. investor protection violation2023SEC$15,000,000
Bancredito International Bank and Trust Corporation anti-money-laundering deficiencies2023FINCEN$15,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chasefinancial servicesinvestor protection violation2023CFTC$15,000,000
Robert W. Baird & Co. Inc. investor protection violation2023SEC$15,000,000
Shinhan Bank America anti-money-laundering deficiencies2023FINCEN$15,000,000
Metropolitan Commercial Bank anti-money-laundering deficiencies2023NY-DFS$15,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.