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
Transamerica Financial Advisors, Inc.Aegonfinancial servicesinvestor protection violation2020FINRA$8,800,000
Brixon Group Ltd. investor protection violation2005AZ-CC$8,786,445
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2017SEC$8,750,000
Fenway Partners LLC investor protection violation2015SEC$8,716,471
Costa Reit Partners LLC et al. investor protection violation2020MD-SEC$8,700,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesinvestor protection violation2015FINRA$8,700,000
ABCO Energy Inc. and ABCO Solar Inc. investor protection violation2024AZ-CC$8,666,559
ABCO Energy, Inc. fka Energy Conservation Technologies, Inc. and ABCO Solar, Inc. fka Westcap Energy, Inc. investor protection violation2024AZ-CC$8,666,558
Cetera Advisors, LLC and Cetera Advisor Networks, LLC investor protection violation2022SEC$8,605,470
Maverick International, Inc. investor protection violation2018CFTC$8,605,274
CitigroupCitigroupfinancial servicesbanking violation2018FED$8,600,000
Union de Banques Arabes et Francaises economic sanction violation2021OFAC$8,572,500
Bank of Tokyo-Mitsubishi UFJ, Ltd.Mitsubishi UFJ Financial Groupfinancial serviceseconomic sanction violation2012OFAC$8,571,634
Charles Schwab & Co., Inc. et al.Charles Schwab Corp.financial servicesinvestor protection violation2011IL-SEC$8,567,364
Easy Street Financial Group, Inc. investor protection violation2006AZ-CC$8,535,467
Ernst & Young LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2009SEC$8,500,000
First BanCorpFirst Bancorp (Puerto Rico)financial servicesaccounting fraud or deficiencies2007SEC$8,500,000
Penn West Petroleum Ltd. accounting fraud or deficiencies2017SEC$8,500,000
Israel Discount Bank of New YorkIsrael Discount Bankfinancial servicesanti-money-laundering deficiencies2005NY-MANDA$8,500,000
Morgan Stanley & Co.Morgan Stanleyfinancial servicesinvestor protection violation2009MULTI-FIN$8,500,000
Evoqua Water Technologies Corp.Xylemmiscellaneous servicesaccounting fraud or deficiencies2023SEC$8,500,000
Nuveen Securities LLCTIAAfinancial servicesinvestor protection violation2023SEC$8,500,000
Lincoln Financial Advisors CorporationLincoln Nationalfinancial servicesinvestor protection violation2024SEC$8,500,000
Evoqua Water Technologies Corp.Xylemmiscellaneous servicesaccounting fraud or deficiencies2024USAO$8,500,000
Apollo Capital Management L.P.Apollo Global Managementprivate equity (including portfolio companies)investor protection violation2025SEC$8,500,000
Carlyle Investment Management L.L.C. et al.Carlyle Groupprivate equity (including portfolio companies)investor protection violation2025SEC$8,500,000
TPG Capital Advisors LLCTPG Capitalprivate equity (including portfolio companies)investor protection violation2025SEC$8,500,000
SG Americas Securities, LLCSociete Generalefinancial servicesinvestor protection violation2009SEC$8,384,932
Bitqyck Inc. investor protection violation2019SEC$8,375,617
Petro-Suisse Ltd. investor protection violation2013SEC$8,370,000
Martin Currie investor protection violation2012SEC$8,300,000
Enron Corp. tax violations2005TX-AG$8,300,000
Serafino Holdings, L.L.C. investor protection violation2011NJ-AG$8,250,000
MoneyGram International Inc.Madison Dearborn Partnersprivate equity (including portfolio companies)anti-money-laundering deficiencies2022NY-DFS$8,250,000
KPMGKPMGbusiness servicesaccounting fraud or deficiencies2014SEC$8,200,000
Vericorp, Inc. investor protection violation2012CA-DFPI$8,200,000
Beam Suntory Inc.Suntorybeveragesinvestor protection violation2018SEC$8,181,838
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2021SEC$8,112,174
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2019SEC$8,100,000
Sandell Asset Management Corp. investor protection violation2007SEC$8,097,494
MedLink International Inc. accounting fraud or deficiencies2013SEC$8,084,515
Latour Trading LLC investor protection violation2015SEC$8,053,439
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2019SEC$8,014,000
Zions First National BankZions Bancorporationfinancial servicesbanking violation2011OCC$8,000,000
Desert Palace, Inc. d/b/a Caesars PalaceCaesars Entertainment Inc.entertainmentanti-money-laundering deficiencies2015FINCEN$8,000,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2011SEC$8,000,000
Nationwide Life Insurance CompanyNationwidefinancial servicesinvestor protection violation2015SEC$8,000,000
New Golden Investment Group investor protection violation2011CFTC$8,000,000
Credit Agricole S.A.Credit Agricolefinancial servicesbanking violation2004FED$8,000,000
Terex CorporationTerexheavy equipmentaccounting fraud or deficiencies2009SEC$8,000,000
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2017SEC$8,000,000
Artichoke Joe's Casino anti-money-laundering deficiencies2018FINCEN$8,000,000
deVere USA, Inc. investor protection violation2018SEC$8,000,000
Constant Contact, Inc. and Endurance International Group Holdings, Inc. investor protection violation2018SEC$8,000,000
American International Group Inc.American International Groupfinancial servicesinvestor protection violation2010OR-AG$8,000,000
Deloitte Touche Tohmatsu Auditores IndependentesDeloittebusiness servicesaccounting fraud or deficiencies2016PCAOB$8,000,000
Applied Digital Technologies, Inc. investor protection violation2012CA-DFPI$8,000,000
Western Union Financial Services, Inc.Western Unionfinancial servicesanti-money-laundering deficiencies2002NY-DFS$8,000,000
Vereit, Inc.Realty Incomereal estateinvestor protection violation2020SEC$8,000,000
ICE Data Pricing & Reference Data LLC investor protection violation2020SEC$8,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesinvestor protection violation2019FINRA$8,000,000
Brown Brothers Harriman & Co.Brown Brothers Harrimanfinancial servicesanti-money-laundering deficiencies2014FINRA$8,000,000
Fixed Income Clearing Corporation investor protection violation2021SEC$8,000,000
Rollins Inc.Rollins Inc.miscellaneous servicesaccounting fraud or deficiencies2022SEC$8,000,000
VMware, Inc.Broadcomelectrical and electronic equipmentinvestor protection violation2022SEC$8,000,000
DXC Technology CompanyDXC Technologyinformation technologyaccounting fraud or deficiencies2023SEC$8,000,000
Bank of America, N.A.Bank of Americafinancial servicesinvestor protection violation2023CFTC$8,000,000
Fifth Third Securities Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2023SEC$8,000,000
U.S. Bancorp Investments Inc.U.S. Bancorpfinancial servicesinvestor protection violation2024SEC$8,000,000
Genesis Global Trading, Inc. anti-money-laundering deficiencies2024NY-DFS$8,000,000
Fitch Ratings, Inc.Hearstmediainvestor protection violation2024SEC$8,000,000
First Trust Portfolios L.P investor protection violation2024SEC$8,000,000
Expro Group Holdings N.V. investor protection violation2023SEC$7,998,721
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2007SEC$7,957,200
Creative Financial Funding, L.L.C. et al. investor protection violation2002AZ-CC$7,947,777
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesinvestor protection violation2019SEC$7,944,055
Southridge Capital Management LLC and Southridge Advisors LLC investor protection violation2018SEC$7,864,064
Societe Internationale de Telecommunications Aeronautiques SCR economic sanction violation2020OFAC$7,829,640
Bordier & Cie Switzerland tax violations2015DOJ_TAX$7,827,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2010NC-SEC$7,800,000
Zoltek Companies, Inc.Toray Industrieschemicalseconomic sanction violation2018OFAC$7,772,102
ACI Inc. investor protection violation2004SEC$7,756,750
Wheat First Securities Inc. investor protection violation2000FINRA$7,730,000
Baumann & Cie, Banquiers tax violations2015DOJ_TAX$7,700,000
PayPal Inc.PayPal Holdingsfinancial serviceseconomic sanction violation2015OFAC$7,658,300
Equal Earth, Inc. investor protection violation2019SEC$7,655,000
Bank of America CorporationBank of Americafinancial servicesinvestor protection violation2014SEC$7,650,000
Susquehanna Investment Group investor protection violation2009SEC$7,640,000
Alcon Laboratories, IncAlcon Inc.medical equipment and supplieseconomic sanction violation2016OFAC$7,617,150
Main & Prospect Capital, LLC investor protection violation2022CFTC$7,606,395
Loci Inc. investor protection violation2021SEC$7,600,000
Poloniex, LLC economic sanction violation2023OFAC$7,591,630
Smith & Cox, LLC et al. investor protection violation2020AZ-CC$7,558,866
Silversprings Real Estate Development & Investments, L.L.C. et al. investor protection violation2011AZ-CC$7,554,463
World Banks Foreign Currency Traders, Inc. and International Investors Trading Group, Inc. investor protection violation2004CFTC$7,520,580
RFF GP LLC and KGW Capital Management LLC investor protection violation2015CFTC$7,515,888
American Express Bank, FSBAmerican Expressfinancial servicesbanking violation2013OCC$7,500,000
RBS Citizens, National AssociationCitizens Financial Groupfinancial servicesbanking violation2013OCC$7,500,000
Logitech InternationalLogitech Internationalelectrical and electronic equipmentaccounting fraud or deficiencies2016SEC$7,500,000
Navistar International Corp.Volkswagenmotor vehiclesinvestor protection violation2016SEC$7,500,000
Lions Gate Entertainment Corp.Lions Gate Entertainmententertainmentaccounting fraud or deficiencies2014SEC$7,500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.