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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
Lions Gate Entertainment Corp.Lions Gate Entertainmententertainmentaccounting fraud or deficiencies2014SEC$7,500,000
Take-Two Interactive Software, Inc.Take-Two Interactive Software Inc.entertainmentaccounting fraud or deficiencies2005SEC$7,500,000
Huntington Bancshares, Inc.Huntington Bancsharesfinancial servicesaccounting fraud or deficiencies2005SEC$7,500,000
Halliburton Co.Halliburtonoilfield services and suppliesaccounting fraud or deficiencies2004SEC$7,500,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2016SEC$7,500,000
American Italian Pasta CompanyTreeHouse Foodsfood productsaccounting fraud or deficiencies2008USAO$7,500,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2007SEC$7,500,000
Edward Jones & Co.Jones Financialfinancial servicesinvestor protection violation2008CA-AG$7,500,000
Bank of America Corp.Bank of Americafinancial servicesanti-money-laundering deficiencies2006NY-MANDA$7,500,000
The Bancorp Bank banking violation2019FDIC$7,500,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2010FINRA$7,500,000
Scotia Capital (USA) Inc.Scotiabankfinancial servicesinvestor protection violation2023SEC$7,500,000
Robinhood Financial LLCRobinhood Marketsfinancial servicesinvestor protection violation2024MA-SEC$7,500,000
Privatbank IHAG Zurich AG tax violations2015DOJ_TAX$7,453,000
State Street Bank and Trust CompanyState Street Corp.financial serviceseconomic sanction violation2024OFAC$7,452,501
DZ Privatbank (Schweiz) AG tax violations2015DOJ_TAX$7,452,000
Intertech Solutions, Inc. investor protection violation2018SEC$7,400,000
American Express Financial Advisors Inc.Ameriprise Financialfinancial servicesinvestor protection violation2005NH-BSR$7,375,000
PNC Investments LLCPNC Financial Servicesfinancial servicesinvestor protection violation2018SEC$7,307,770
Heartland Capital Partners, LLC and Heartland Income Properties LLC investor protection violation2023AZ-CC$7,304,390
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2015FINRA$7,300,000
Saber Funds, LLC et. al. investor protection violation2015NJ-BOS$7,282,500
Worldwide Capital, Inc. investor protection violation2014SEC$7,253,726
Banque Pasche SA tax violations2015DOJ_TAX$7,229,000
Atlantas Group, Inc. investor protection violation2016CFTC$7,200,000
Texas Coastal Energy Company investor protection violation2018SEC$7,200,000
Goldman Sachs Execution & Clearing, L.P. and SLK-Hull Derivatives LLCGoldman Sachsfinancial servicesinvestor protection violation2009SEC$7,200,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2020FINRA$7,200,000
Morgan Stanley & Co.Morgan Stanleyfinancial servicesinvestor protection violation2009FINRA$7,200,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2016FINRA$7,030,000
Pacific National Bank banking violation2011OCC$7,000,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2015SEC$7,000,000
Goldman Sachs Execution & Clearing LPGoldman Sachsfinancial servicesinvestor protection violation2012CFTC$7,000,000
Citigroup Global MarketsCitigroupfinancial servicesinvestor protection violation2016SEC$7,000,000
Banco Espirito Santo S.A. investor protection violation2011SEC$7,000,000
Western Gas Resources, Inc. investor protection violation2004CFTC$7,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2009SEC$7,000,000
International Business MachinesIBM Corp.information technologyaccounting fraud or deficiencies2007SEC$7,000,000
Brocade Communications Systems, Inc.Broadcomelectrical and electronic equipmentaccounting fraud or deficiencies2007SEC$7,000,000
Arthur Andersen LLP accounting fraud or deficiencies2001SEC$7,000,000
Forex Capital Markets, LLCJefferies Financial Groupdiversifiedinvestor protection violation2017CFTC$7,000,000
Merchants Bank of California, N.A. anti-money-laundering deficiencies2017FINCEN$7,000,000
Brixmor Property Group Inc. accounting fraud or deficiencies2019SEC$7,000,000
Quadrangle Group LLC investor protection violation2010NY-AG$7,000,000
TFS-ICAP LLC and TFS-ICAP Ltd. investor protection violation2020CFTC$7,000,000
ING America Insurance Holdings Inc.Voya Financialfinancial servicesinvestor protection violation2006FINRA$7,000,000
Momentus Inc. investor protection violation2021SEC$7,000,000
CommunityBank of Texas, N.A. anti-money-laundering deficiencies2021FINCEN$7,000,000
Wells Fargo AdvisorsWells Fargofinancial servicesanti-money-laundering deficiencies2022SEC$7,000,000
Citadel Securities LLC investor protection violation2023SEC$7,000,000
Verdugo Gift Company investor protection violation2021AZ-CC$6,988,143
Martin & Griffin, LLC investor protection violation2003AZ-CC$6,982,222
King Royalty, LLC investor protection violation2023CFTC$6,978,837
K.E.L. Enterprises, Inc. investor protection violation2024CFTC$6,951,516
Integra Capital Management, LLC investor protection violation2011CFTC$6,900,000
Interinvest Corporation investor protection violation2016SEC$6,900,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicestoxic securities abuses2016VA-AG$6,900,000
TD Securities (USA) LLCToronto-Dominion Bankfinancial servicesinvestor protection violation2024SEC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $6,900,000
Weiss Asset Management LP investor protection violation2022SEC$6,899,004
Raymond James Financial Services Advisors, Inc.Raymond James Financialfinancial servicesinvestor protection violation2019SEC$6,877,048
ACP Investment Group, LLC et al. investor protection violation2021NY-AG$6,871,904
Ascenergy LLC investor protection violation2017SEC$6,859,690
Oxford City Football Club, Inc. investor protection violation2017SEC$6,853,358
Mizuho Capital Markets LLCMizuho Financialfinancial servicesinvestor protection violation2023CFTC$6,847,182
Superior Leasing of Arizona, Inc. and Superior Holding Group, Inc. investor protection violation2000AZ-CC$6,792,956
Longfin Corp. investor protection violation2019SEC$6,755,848
American Derivatives Corp. (ADC), Brokerage Management Corp., investor protection violation2009CFTC$6,750,000
Cantor Fitzgerald, L.P.Cantor Fitzgeraldfinancial servicesinvestor protection violation2024SEC$6,750,000
Maize Capital Management, LLC and Maize Asset Management, LLC investor protection violation2015CFTC$6,702,818
Warburg Dillon Read LLCUBSfinancial servicesinvestor protection violation2000SEC$6,680,000
Simpson Capital Management, Inc. investor protection violation2009SEC$6,650,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2010TX-SEC$6,640,432
John Nuveen & Co., Inc.TIAAfinancial servicesinvestor protection violation2000FINRA$6,630,000
CITIC Securities International Investment Management (HK) Limited investor protection violation2014SEC$6,600,000
BNY MellonBank of New York Mellonfinancial servicesinvestor protection violation2017SEC$6,600,000
Royal Alliance Associates, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2005FINRA$6,600,000
Vision Financial Partners, LLC investor protection violation2017CFTC$6,527,130
Gateway One Lending & Finance, LLC investor protection violation2021SEC$6,513,192
THL Managers V, LLC and THL Managers VI, LLC investor protection violation2018SEC$6,506,016
American Express Bank, FSBAmerican Expressfinancial servicesbanking violation2012OCC$6,500,000
Fifth Third BancorpFifth Third Bancorpfinancial servicesaccounting fraud or deficiencies2013SEC$6,500,000
Wells FargoWells Fargofinancial servicestoxic securities abuses2012SEC$6,500,000
8000 Inc. investor protection violation2015SEC$6,500,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2019FINRA$6,500,000
Deutsche Bank Securities, Inc.Deutsche Bankfinancial servicesinvestor protection violation2013FINRA$6,500,000
Coinbase Inc.Coinbase Global Inc.financial servicesinvestor protection violation2021CFTC$6,500,000
CX Futures Exchange, L.P. investor protection violation2022CFTC$6,500,000
CHS Hedging LLCCHS Inc.agribusinessanti-money-laundering deficiencies2022CFTC$6,500,000
Senvest Management LLC investor protection violation2024SEC$6,500,000
Ethiopian Electric Power investor protection violation2016SEC$6,448,854
VTB Capital plcVTB Groupfinancial servicesinvestor protection violation2021SEC$6,429,883
Santander Securities LLCBanco Santanderfinancial servicesinvestor protection violation2015FINRA$6,421,000
Elfindepan, S.A., Strategic Asset Funds, S.A. and Southern Financial Group investor protection violation2008SEC$6,417,122
Citizens BankCitizens Financial Groupfinancial servicesbanking violation2013FDIC$6,400,000
Republic Cash Advance, Inc. and Quick Cash Advance, Inc. investor protection violation2002AZ-CC$6,348,492
Standard Chartered Bank (Switzerland) SA, en liquidationStandard Charteredfinancial servicestax violations2015DOJ_TAX$6,337,000
PKB Privatbank AG tax violations2015DOJ_TAX$6,328,000
iCapital Markets LLC investor protection violation2002SEC$6,300,000
World Interactive Gaming Corporation investor protection violation2000NY-AG$6,300,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2015FINRA$6,300,000
One Source Mortgage & Investments, Inc. and Strategic Equity Investments, LLC investor protection violation2010AZ-CC$6,274,453
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.