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
Granite Construction, IncorporatedGranite Constructionconstruction and engineeringaccounting fraud or deficiencies2022SEC$12,000,000
Compass Minerals International Inc.Compass Minerals Internationalmining and mineralsinvestor protection violation2022SEC$12,000,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2024SEC$12,000,000
BF Borgers CPA PC accounting fraud or deficiencies2024SEC$12,000,000
CIBC World Markets Corp.Canadian Imperial Bank of Commercefinancial servicesinvestor protection violation2024SEC$12,000,000
Entergy CorporationEntergyutilities and power generationaccounting fraud or deficiencies2024SEC$12,000,000
Blackstone Alternative Credit Advisors LP et al.Blackstoneprivate equity (including portfolio companies)investor protection violation2025SEC$12,000,000
LH Ross investor protection violation2005FINRA$11,968,000
QYU Holdings Inc. investor protection violation2024CFTC$11,847,030
Ernst & Young LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2016SEC$11,800,000
Bridge Harbor Management, Inc. and Creative Insurance Concepts, Inc. investor protection violation2010CA-DFPI$11,780,076
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2019SEC$11,715,395
Prestige Capital Advisors and D2W Capital Management investor protection violation2013CFTC$11,700,000
State Street BankState Street Corp.financial servicesinvestor protection violation2010WA-AG$11,700,000
Verizon BusinessVerizon Communicationstelecommunicationsaccounting fraud or deficiencies2007OK-AG$11,700,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2015FINRA$11,700,000
American Realty Partners , LLC et al. investor protection violation2019AZ-CC$11,670,327
Performance Realty Management, LLC and t American Realty Partners, LLC investor protection violation2021AZ-CC$11,670,327
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2021FINRA$11,650,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLCAllianzfinancial servicesinvestor protection violation2004SEC$11,600,000
Rothschild Bank AG tax violations2015DOJ_TAX$11,510,000
DB Structured Products, Inc.Deutsche Bankfinancial servicestoxic securities abuses2013NV-AG$11,500,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2020SEC$11,500,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2017FINRA$11,500,000
Prudential Equity Group, Inc. and Prudential Investment Management Services LLCPrudential Financialfinancial servicesinvestor protection violation2004FINRA$11,500,000
Gonet & Cie tax violations2015DOJ_TAX$11,454,000
AmSouth BankRegions Financialfinancial servicesinvestor protection violation2008SEC$11,400,000
Benefit Contract Administrators, Inc. et al. investor protection violation2009VA-SEC$11,347,906
Nakami Chi Group Ministries International investor protection violation2008AZ-CC$11,294,912
Pruco Securities, LLCPrudential Financialfinancial servicesinvestor protection violation2012FINRA$11,250,000
Energex Systems, Inc. et al. investor protection violation2013NJ-AG$11,200,000
Deluge, Inc. and Hydrotherm Power Corp. investor protection violation2016AZ-CC$11,194,254
E-Slate, Inc. investor protection violation2018CFTC$11,183,497
Higher One, Inc.Providence Equity Partnersprivate equity (including portfolio companies)banking violation2012FDIC$11,110,000
Luzerner Kantonalbank AG tax violations2015DOJ_TAX$11,031,000
Wells Fargo Securities LLCWells Fargofinancial servicestoxic securities abuses2011SEC$11,000,000
ValueAct investor protection violation2016DOJ_ANTITRUST$11,000,000
Northstar International Group, Inc. investor protection violation2011CFTC$11,000,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2012FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $11,000,000
Health Insurance Innovations investor protection violation2022SEC$11,000,000
Spruce Power Holding Corporation investor protection violation2023SEC$11,000,000
Kohlberg Kravis Roberts & Co. L.PKKR & Co.private equity (including portfolio companies)investor protection violation2025SEC$11,000,000
Ocean Bank anti-money-laundering deficiencies2011USAO$10,988,136
COMMUNICLIQUE, INC. investor protection violation2018VA-SEC$10,980,923
4X Solutions Inc. investor protection violation2016CFTC$10,980,904
Tallinex investor protection violation2018CFTC$10,971,279
Royal Leisure International, Inc. and Gold Chasers, Inc. investor protection violation2019CFTC$10,970,756
Barclays Bank PLCBarclaysfinancial servicesinsider trading2007SEC$10,943,561
Merrill LynchBank of Americafinancial servicesinvestor protection violation2015SEC$10,900,000
Blue Bottle Limited investor protection violation2007SEC$10,846,785
Porsal Equities Ltd. tax violations2018NY-AG$10,750,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2011FINRA$10,750,000
LLB Verwaltung tax violations2019DOJ_TAX$10,680,554
Bankers Life and Casualty Company and BLC Financial Services, Inc.CNO Financialfinancial servicesinvestor protection violation2012MULTI-FIN$10,641,000
Catalyst Capital Advisors, LLC investor protection violation2020SEC$10,508,481
HSBC Bank USA, N.A.HSBCfinancial servicesinvestor protection violation2007SEC$10,500,000
Nutrition Superstores.Com, Inc. and Advanced Wound Care, Inc. investor protection violation2003SEC$10,500,000
Fokker Services B.V. economic sanction violation2014USAO$10,500,000
CitigroupCitigroupfinancial servicesaccounting fraud or deficiencies2018SEC$10,500,000
Statoil, ASAEquinoroil and gasinvestor protection violation2006SEC$10,500,000
L.I.F.T. Group LLC et al. investor protection violation2024CFTC$10,500,000
Agra Technologies, Inc. investor protection violation2007AZ-CC$10,417,532
BBVA Suiza S.A.Banco Bilbao Vizcaya Argentariafinancial servicestax violations2015DOJ_TAX$10,390,000
Poloniex LLC investor protection violation2021SEC$10,388,309
Schroder & Co. Bank AG tax violations2015DOJ_TAX$10,354,000
World's Foremost BankBass Proretailingbanking violation2011FDIC$10,350,000
Longboat Global Funds Management investor protection violation2007CFTC$10,317,183
AmTrust Financial Services Inc.Stone Point Capitalprivate equity (including portfolio companies)investor protection violation2020SEC$10,300,000
Mirelis Holding S.A. tax violations2018DOJ_TAX$10,245,000
Catalyst Capital Advisors LLC investor protection violation2020CFTC$10,208,481
GPB Capital Holdings, LLC et al. investor protection violation2021SC-INS$10,200,000
Robinhood Financial LLCRobinhood Marketsfinancial servicesinvestor protection violation2023MULTI-FIN$10,200,000
1st Financial Bank USA1st Financial Bank USAfinancial servicesbanking violation2010FDIC$10,140,000
Visium Asset Management LP investor protection violation2018SEC$10,120,711
Barron Thomas Scottsdale, L.L.C. et al. investor protection violation2010AZ-CC$10,051,294
Kestra Advisory Services, LLC investor protection violation2021SEC$10,003,172
U.S. Bank National AssociationU.S. Bancorpfinancial servicesbanking violation2016OCC$10,000,000
RBS Citizens, National AssociationCitizens Financial Groupfinancial servicesbanking violation2015OCC$10,000,000
TCF National BankHuntington Bancsharesfinancial servicesbanking violation2013OCC$10,000,000
Trump Taj Mahal Casino ResortHard Rock Internationalrestaurants and foodserviceanti-money-laundering deficiencies2015FINCEN$10,000,000
TD Ameritrade Inc.Charles Schwab Corp.financial servicesinvestor protection violation2011SEC$10,000,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2016SEC$10,000,000
Satyam Computer Services LimitedTech Mahindramiscellaneous servicesaccounting fraud or deficiencies2011SEC$10,000,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2011SEC$10,000,000
Elite Management Holdings Corp. and MJM Enterprises LLC investor protection violation2014CFTC$10,000,000
MF Global Inc. investor protection violation2009CFTC$10,000,000
BankAtlanticTruist Financialfinancial servicesanti-money-laundering deficiencies2006DOJ_CRIMINAL$10,000,000
Bank of ChinaBank of Chinafinancial servicesbanking violation2002OCC$10,000,000
WellCare Health Plans, Inc.Centenehealthcare servicesinvestor protection violation2009SEC$10,000,000
Marvell Technology Group, Ltd.Marvell Technologyelectrical and electronic equipmentaccounting fraud or deficiencies2008SEC$10,000,000
Biovail CorporationBausch Healthpharmaceuticalsaccounting fraud or deficiencies2008SEC$10,000,000
Tenet Healthcare CorporationTenet Healthcarehealthcare servicesinvestor protection violation2007SEC$10,000,000
Nicor, Inc.Southern Companyutilities and power generationaccounting fraud or deficiencies2007SEC$10,000,000
American-Amicable Life Insurance Company of Texas, Pioneer American Insurance Company, and Pioneer Security Life Insurance Company investor protection violation2006SEC$10,000,000
Morgan Stanley & Co.Morgan Stanleyfinancial servicesinvestor protection violation2006SEC$10,000,000
Morgan Stanley & Co.Morgan Stanleyfinancial servicesinvestor protection violation2006SEC$10,000,000
Dollar General CorporationDollar Generalretailingaccounting fraud or deficiencies2005SEC$10,000,000
Southwest Securities, Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2005SEC$10,000,000
Gemstar-TV Guide International, Inc. accounting fraud or deficiencies2004SEC$10,000,000
i2 Technologies, Inc. accounting fraud or deficiencies2004SEC$10,000,000
Banc of America Securities LLCBank of Americafinancial servicesinvestor protection violation2004SEC$10,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.