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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
Banc of America Securities LLCBank of Americafinancial servicesinvestor protection violation2004SEC$10,000,000
American International Group, Inc.American International Groupfinancial servicesaccounting fraud or deficiencies2003SEC$10,000,000
Xerox CorporationXeroxmiscellaneous servicesaccounting fraud or deficiencies2002SEC$10,000,000
Union Bank of California, N.A.U.S. Bancorpfinancial servicesanti-money-laundering deficiencies2007FINCEN$10,000,000
AmSouthRegions Financialfinancial servicesanti-money-laundering deficiencies2004FINCEN$10,000,000
Cargill Inc.Cargillagribusinessinvestor protection violation2017CFTC$10,000,000
NASDAQ Stock Market, LLC and NASDAQ Execution Services, LLCNasdaq Inc.financial servicesinvestor protection violation2013SEC$10,000,000
Canary Capital Partners LLC investor protection violation2006NJ-AG$10,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2018NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $10,000,000
Ernst & Young LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2015NY-AG$10,000,000
Merrill Lynch Pierce Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2005NJ-AG$10,000,000
RBS Securities Inc.NatWest Group PLCfinancial servicestoxic securities abuses2016VA-AG$10,000,000
GFI Securities, LLCBGC Partnersfinancial servicesinvestor protection violation2019CFTC$10,000,000
Cipriani Fifth Avenue, LLC et al. tax violations2007NY-MANDA$10,000,000
MetLife, Inc.MetLifefinancial servicesinvestor protection violation2019SEC$10,000,000
Deloitte Financial Advisory ServicesDeloittebusiness servicesanti-money-laundering deficiencies2013NY-DFS$10,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2020SEC$10,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesanti-money-laundering deficiencies2018FINRA$10,000,000
Ameritrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2004FINRA$10,000,000
App Annie Inc. investor protection violation2021SEC$10,000,000
Ernst & Young LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2021SEC$10,000,000
Medley Management investor protection violation2022SEC$10,000,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2022SEC$10,000,000
Marcum LLP accounting fraud or deficiencies2023SEC$10,000,000
Moelis & Company LLC investor protection violation2023SEC$10,000,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2023SEC$10,000,000
D. E. Shaw & Co., L.P. investor protection violation2023SEC$10,000,000
William Blair & Company LLC investor protection violation2023SEC$10,000,000
Lyft Inc.Lyft Inc.miscellaneous servicesinvestor protection violation2023SEC$10,000,000
Shinhan Bank America anti-money-laundering deficiencies2023NY-DFS$10,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2023SEC$10,000,000
Cambridge Investment Research Inc. investor protection violation2024SEC$10,000,000
Key Investment Services LLC investor protection violation2024SEC$10,000,000
Intercontinental Exchange, Inc.IntercontinentalExchange Groupfinancial servicesinvestor protection violation2024SEC$10,000,000
Metropolitan Commercial Bank banking violation2024WA-AG$10,000,000
Charles Schwab & Co., Inc.Charles Schwab Corp.financial servicesinvestor protection violation2025SEC$10,000,000
K.W. Brown & Company, 21st Century Advisors Inc., and K.W. Brown Investments, Inc. accounting fraud or deficiencies2008SEC$9,983,586
Harold Levinson & Associates tax violations2006USAO$9,908,911
Monterey Del Pacifico Partners LLLP investor protection violation2020MD-SEC$9,880,000
International Monetary Metals, Inc. investor protection violation2016CFTC$9,800,000
RBC Capital Markets CorporationRoyal Bank of Canadafinancial 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. $9,800,000
Banc of America Investment Services, Inc.Bank of Americafinancial servicesinvestor protection violation2008SEC$9,763,634
Banque Internationale a Luxembourg (Suisse) SA tax violations2015DOJ_TAX$9,710,000
Premier Holding Corp. investor protection violation2021SEC$9,691,500
Gold Coast Bullion Inc. investor protection violation2015CFTC$9,690,124
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2023SEC$9,660,000
Roadrunner Transportation Systems, IncRoadrunner Transportation Systemsfreight and logisticsinvestor protection violation2023SEC$9,635,911
3M Company3M Companymiscellaneous manufacturingeconomic sanction violation2023OFAC$9,618,477
Chevron Oil Co.Chevronoil and gastax violations2000LA-AG$9,600,000
M.A.C Investments, Inc. et al. investor protection violation2005AZ-CC$9,566,872
Advance Local Development Corp. investor protection violation2002SEC$9,509,736
Royal Alliance Associates, SagePoint Financial and FSC Securities CorporationReverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2016SEC$9,500,000
Wall Street Underground, Inc. investor protection violation2006CFTC$9,500,000
Deutsche Bank SecuritiesDeutsche Bankfinancial servicesinvestor protection violation2016SEC$9,500,000
Fiat Chrysler Automobiles N.V.Stellantismotor vehiclesinvestor protection violation2020SEC$9,500,000
Newedge USA, LLC investor protection violation2013FINRA$9,500,000
EagleBank banking violation2022FED$9,500,000
Joint-Stock Commercial Bank (Bank of Moscow) economic sanction violation2014OFAC$9,492,525
St. Galler Kantonalbank AG tax violations2015DOJ_TAX$9,481,000
DPWN Holdings (USA), Inc. and DHL Express (USA), Inc. economic sanction violation2009OFAC$9,444,744
Habib Bank AG Zurich tax violations2015DOJ_TAX$9,400,000
Milan Capital Group, Inc. and Investment Offices d/b/a AC Financial, Inc. investor protection violation2001SEC$9,395,066
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2019SEC$9,333,516
Goldman SachsGoldman Sachsfinancial servicesinvestor protection violation2003SEC$9,305,382
Growth Capital Management LLC investor protection violation2012CFTC$9,300,000
Ernst & YoungErnst & Youngbusiness servicesaccounting fraud or deficiencies2016SEC$9,300,000
Bank La Roche & Co AG tax violations2015DOJ_TAX$9,296,000
The Joseph Project investor protection violation2021AZ-CC$9,210,000
Crown Bridge Partners, LLC investor protection violation2022SEC$9,200,908
Truist BankTruist Financialfinancial servicesbanking violation2024DOJ_CIVIL$9,125,000
Onyx Capital Advisors investor protection violation2014SEC$9,100,000
Banc de Binary Ltd. investor protection violation2016CFTC$9,100,000
United American Ventures, LLC investor protection violation2012SEC$9,079,372
E-Metal Merchants, Inc. investor protection violation2008CFTC$9,042,241
Vertical Capital Asset Management, LLC investor protection violation2017SEC$9,034,957
AMERICAN EXPRESS COMPANYAmerican Expressfinancial servicesbanking violation2012FED$9,000,000
Diamondback Capital Management LLC investor protection violation2012SEC$9,000,000
Barclays Capital Inc.Barclaysfinancial servicestoxic securities abuses2016VA-AG$9,000,000
PA Distributors investor protection violation2004CA-AG$9,000,000
Deutsche Bank AGDeutsche Bankfinancial servicesinvestor protection violation2020CFTC$9,000,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2013FINRA$9,000,000
S&P Dow Jones Indices LLCS&P Globalinformation technologyinvestor protection violation2021SEC$9,000,000
Under Armour Inc.Under Armourapparelinvestor protection violation2021SEC$9,000,000
Credit Suisse SecuritiesUBSfinancial servicesinvestor protection violation2022FINRA$9,000,000
Betterment LLC investor protection violation2023SEC$9,000,000
Pacific Investment Management Company LLC (PIMCO) investor protection violation2023SEC$9,000,000
SMBC Nikko Securities America, Inc.Sumitomo Groupdiversifiedinvestor protection violation2023SEC$9,000,000
Nawabi Enterprise and Hyperion Consulting Inc. investor protection violation2024CFTC$9,000,000
First American Investment Services, Inc. investor protection violation2006CFTC$8,983,388
Marshall Holdings International, Inc. investor protection violation2009SEC$8,974,033
GLG Partners L.P. accounting fraud or deficiencies2013SEC$8,954,346
Vika Ventures LLC investor protection violation2023SEC$8,929,120
Merrill Lynch, Pierce, Fenner & SmithBank of Americafinancial servicesinvestor protection violation2018SEC$8,900,000
Murchinson Ltd. investor protection violation2021SEC$8,878,183
Artis Capital Management investor protection violation2016SEC$8,878,015
Merrill Lynch, Pierce and Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2018SEC$8,872,723
Bluprint LLC investor protection violation2023CFTC$8,863,753
Citizens BankCitizens Financial Groupfinancial servicesbanking violation2015FDIC$8,800,000
Morgan Stanley Investment ManagementMorgan Stanleyfinancial servicesinvestor protection violation2015SEC$8,800,000
Philadelphia Alternative Asset Management Co. investor protection violation2008CFTC$8,800,000
Transamerica Financial Advisors, Inc.Aegonfinancial servicesinvestor protection violation2020FINRA$8,800,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.