Basic Search  |  Summaries  |  Advanced Search

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearAgencyPenalty Amount sort icon
Bank of Odessa banking violation2017FDIC$5,500
Gus Macker Enterprises, Inc. tax violations2003NY-AG$5,500
WOLF RIVER COMMUNITY BANK banking violation2012FDIC$5,500
BRIMFIELD BANK banking violation2011FDIC$5,500
THE PEOPLES BANK banking violation2010FDIC$5,500
OOSTBURG STATE BANK banking violation2010FDIC$5,500
LISLE SAVINGS BANK banking violation2010FDIC$5,500
FIRST BANK OF DALTON banking violation2010FDIC$5,500
UNITED-AMERICAN SAVINGS BANK banking violation2010FDIC$5,500
MARATHON SAVINGS BANK banking violation2010FDIC$5,500
SUMMIT COMMUNITY BANK banking violation2010FDIC$5,500
AFFINITY BANK OF PENNSYLVANIA banking violation2010FDIC$5,500
CRESCENT BANK banking violation2010FDIC$5,500
FARMERS AND MERCHANTS UNION BANK banking violation2010FDIC$5,500
CHRISTIANA BANK & TRUST COMPANY banking violation2010FDIC$5,500
Bank of Clarke County banking violation2020FED$5,500
Emerson Capital Corp. investor protection violation2014IL-SEC$5,500
Anabaptist Financial investor protection violation2019KY-FIN$5,500
Broadview Asset Management, LLC investor protection violation2007MO-SEC$5,500
Legacy Financial Assurance Group, Inc. investor protection violation2010MO-SEC$5,500
Tag and Tackle Outfitters, LLC investor protection violation2013MO-SEC$5,500
Successful Resource Management, Ltd. investor protection violation2015MO-SEC$5,500
Venulum Ltd. investor protection violation2013SC-SEC$5,500
Mackrow Asset Management Group investor protection violation2018SC-SEC$5,500
Cuso Equities Inc. investor protection violation2003TN-SEC$5,500
BASIN OIL & GAS CORPORATION investor protection violation2002VA-SEC$5,500
NATIONAL TENANT NETWORK, INC. investor protection violation2006VA-SEC$5,500
Pacific Watercraft Group, Inc. investor protection violation2018WA-FIN$5,500
H I Management Services Inc. investor protection violation2020SC-SEC$5,500
Fortis Group Advisors, LLC investor protection violation2022CT-SEC$5,500
Citizens State Bank banking violation2014FDIC$5,470
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020KY-FIN$5,465
Paez Real Estate Funding investor protection violation2006IL-SEC$5,462
Green Forest Investments and Development Company, LLC investor protection violation2009MO-SEC$5,460
Oracle Ten Fund, L.P. tax violations2014CT-AG$5,445
WEST BANK banking violation2006FDIC$5,440
William and Alice Mortensen Foundation, Inc. tax violations2014CT-AG$5,415
Western Bank banking violation2014FED$5,410
AMERICAN COMMUNITY BANK banking violation2010FDIC$5,405
Stockman Bank of Montana banking violation2015FDIC$5,400
SOUND BANKING COMPANY banking violation2009FDIC$5,400
American Tax Funding Servicing, LLC tax violations2015CT-AG$5,400
Celldex Therapeutics, Inc. tax violations2012CT-AG$5,400
Diamond Properties Management LLC tax violations2014CT-AG$5,400
GoPro, Inc. tax violations2015CT-AG$5,400
Impala USA, Inc. tax violations2015CT-AG$5,400
Kamunting Street Capital Management, LP tax violations2014CT-AG$5,400
Pacific Resources Benefits Advisors, LLCBrown & Brownfinancial servicestax violations2014CT-AG$5,400
Peoplelink, LLC tax violations2012CT-AG$5,400
Seagate US LLC tax violations2016CT-AG$5,400
WPP Group USA, Inc.WPPbusiness servicestax violations2016CT-AG$5,400
Valley Bank banking violation2012FDIC$5,400
BANK OF NEW GLARUS, THE banking violation2010FDIC$5,400
ASF, Inc. economic sanction violation2011OFAC$5,400
DREAM DINNERS, INC. investor protection violation2010VA-SEC$5,400
PEOPLE'S BANK AND TRUST COMPANY OF PICKETT COUNTY banking violation2009FDIC$5,390
J. D'Addario & Company, Inc. economic sanction violation2005OFAC$5,385
Colonial Medical Supply Co., Inc. tax violations2016CT-AG$5,385
Elliott Enterprises, Inc. tax violations2014CT-AG$5,385
Presidio International, Inc. tax violations2013CT-AG$5,385
Veracode, Inc. tax violations2014CT-AG$5,385
Safra National Bank economic sanction violation2003OFAC$5,380
Patapsco Securities, Inc. dba Chapin Davis investor protection violation2008AL-SEC$5,377
Financial Vision Advisory Services, LLC investor protection violation2020CT-BKG$5,375
Financial Vision Advisory Services, LLC investor protection violation2020CT-SEC$5,375
Cuba Paquetes economic sanction violation2003OFAC$5,361
BANK OF ONTARIO banking violation2009FDIC$5,350
Northern Michigan Bank & Trust banking violation2012FDIC$5,345
Parker Street Securities LLC investor protection violation2023CT-SEC$5,340
KLM CargoAir France-KLMairlineseconomic sanction violation2010OFAC$5,336
Parker Street Securities LLC investor protection violation2023CO-SEC$5,300
Gant Private Financial Management investor protection violation2015PA-BKG$5,296
Premier Valley Bank banking violation2015FDIC$5,280
COULEE BANK banking violation2009FDIC$5,270
Syzygy 3, Inc. tax violations2013CT-AG$5,265
Plaza Provision Co. tax violations2001ATTTB$5,260
City National BankRoyal Bank of Canadafinancial servicesbanking violation2010OCC$5,250
BANK OF MAUSTON banking violation2008FDIC$5,250
Community State Bank banking violation2003FED$5,250
Magic USA Tours, Inc. economic sanction violation2008OFAC$5,250
Cortrust Bank National Association banking violation2004OCC$5,250
Blo Blow Dry Bar Inc. tax violations2015CT-AG$5,250
Custom Exterior Systems, Inc. tax violations2016CT-AG$5,250
EXCHANGE BANK banking violation2010FDIC$5,250
Western Growers Financial Services, Inc. investor protection violation2006IL-SEC$5,250
American Alternative Investments, LLC investor protection violation2020ID-SEC$5,250
Validea Capital Management LLC investor protection violation2023CT-SEC$5,250
COLLINS CAPITAL LLC investor protection violation2024IN-SEC$5,250
The Stockgrowers State Bank banking violation2024FDIC$5,250
Divine Capital Markets, LLC investor protection violation2006AL-SEC$5,241
Management Network Group, Inc. tax violations2012CT-AG$5,220
Aetna Life Insurance CompanyCVS Healthretailingeconomic sanction violation2008OFAC$5,210
Xerox (UK) LimitedXeroxmiscellaneous serviceseconomic sanction violation2004OFAC$5,207
BUSEY BANKFirst Busey Corp.financial servicesbanking violation2006FDIC$5,200
MIDWESTONE BANK banking violation2005FDIC$5,200
EXCHANGE BANK banking violation2011FDIC$5,200
MIDWESTONE BANK banking violation2005FDIC$5,200
Advisors Management Group, Inc. investor protection violation2005IL-SEC$5,200
Investors Capital Management, Inc. tax violations2013CT-AG$5,190
Stiles Machinery, Inc. tax violations2012CT-AG$5,190
A & A Drug Co. tax violations2012CT-AG$5,182
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.