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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
One Source Mortgage & Investments, Inc. and Strategic Equity Investments, LLC investor protection violation2010AZ-CC$6,274,453
Lasalle Bank MidWest National AssociationBank of Americafinancial servicesbanking violation2005OCC$6,250,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2005FINRA$6,250,000
AT&TAT&Ttelecommunicationsinvestor protection violation2022SEC$6,250,000
Sotheby's, Inc.Sotheby'smiscellaneous servicestax violations2024NY-AG$6,250,000
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2017SEC$6,230,999
3-CG, LLC and Choice Property Group, LLC investor protection violation2012AZ-CC$6,216,949
Profutura LLC investor protection violation2001AZ-CC$6,215,350
Worth Asset Management investor protection violation2014CFTC$6,200,000
Billion Coupons, Inc. investor protection violation2010CFTC$6,200,000
Lantheus Medical Imaging Inc. tax violations2014NY-AG$6,200,000
Berkley Capital Management, LLC et al. investor protection violation2022CFTC$6,198,632
Kestra Advisory Services, LLC investor protection violation2019SEC$6,196,279
Cambridge Investment Research Advisors, Inc. investor protection violation2019SEC$6,187,562
Toll Holdings Limited economic sanction violation2022OFAC$6,131,855
21st Century Satellite Communications, Inc. investor protection violation2001SEC$6,110,736
New York Life Investment Management LLCNew York Life Insurancefinancial servicesinvestor protection violation2009SEC$6,100,784
Unikrn Inc. investor protection violation2020SEC$6,100,000
Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2007FINRA$6,100,000
Morgan Stanley DW, Inc.Morgan Stanleyfinancial servicesinvestor protection violation2005FINRA$6,100,000
Impact Theory, LLC investor protection violation2023SEC$6,100,000
INH-Interholding SA investor protection violation2008CFTC$6,075,841
Strategic Legacy Investment Group, Inc. et al. investor protection violation2024SEC$6,049,524
Cadaret, Grant & Co., Inc.Atria Wealth Solutionsfinancial servicesinvestor protection violation2024SEC$6,041,426
Stifel and Nicolaus & Company, IncorporatedStifel Financialfinancial servicesinvestor protection violation2019SEC$6,037,175
Transamerica Financial Advisors, Inc.Aegonfinancial servicesinvestor protection violation2019SEC$6,023,072
Santander Bank, National AssociationBanco Santanderfinancial servicesbanking violation2015OCC$6,000,000
THE BANK OF NEW YORK MELLONBank of New York Mellonfinancial servicesbanking violation2012FED$6,000,000
Chicago Board Options ExchangeCBOE Holdingsfinancial servicesinvestor protection violation2013SEC$6,000,000
PricewaterhouseCoopersPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2011SEC$6,000,000
Flint-McClung Capital LLC investor protection violation2012CFTC$6,000,000
Vitol Inc. and Vitol Capital Management Ltd.Vitolfinancial servicesinvestor protection violation2010CFTC$6,000,000
Lumber Liquidators Holdings Inc.LL Flooring Holdingshousewares and home furnishingsinvestor protection violation2019SEC$6,000,000
Israel Discount Bank of New YorkIsrael Discount Bankfinancial servicesanti-money-laundering deficiencies2006NY-DFS$6,000,000
HP Inc.HP Inc.electrical and electronic equipmentaccounting fraud or deficiencies2020SEC$6,000,000
Fifth Third Securities, Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2018FINRA$6,000,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2016FINRA$6,000,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2014FINRA$6,000,000
J.P. Morgan Securities, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2003FINRA$6,000,000
Healthcare Services Group, Inc.Healthcare Services Group Inc.business servicesaccounting fraud or deficiencies2021SEC$6,000,000
Digital Platinum Limited investor protection violation2021CFTC$6,000,000
Lear Capital, Inc. investor protection violation2022NY-AG$6,000,000
BNP ParibasBNP Paribasfinancial servicesinvestor protection violation2022CFTC$6,000,000
Cantor FitzgeraldCantor Fitzgeraldfinancial servicesinvestor protection violation2022CFTC$6,000,000
Sterling Bank and Trust, FSB banking violation2022OCC$6,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesanti-money-laundering deficiencies2023FINRA$6,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesanti-money-laundering deficiencies2023SEC$6,000,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2023CFTC$6,000,000
DBRS Inc. investor protection violation2023SEC$6,000,000
Goldman Sachs & Co. LLCGoldman Sachsfinancial servicesinvestor protection violation2023SEC$6,000,000
Royal Bank of CanadaRoyal Bank of Canadafinancial servicesaccounting fraud or deficiencies2023SEC$6,000,000
U.S. Bank, N.A.U.S. Bancorpfinancial servicesinvestor protection violation2024CFTC$6,000,000
Apex Clearing Corporation investor protection violation2024SEC$6,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicessecurities issuance or trading violation2018FINRA$5,990,530
CWT B.V. economic sanction violation2014OFAC$5,990,490
National Oilwell Varco and Dreco Energy Services Ltd.NOV Inc.oilfield services and supplieseconomic sanction violation2016OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $5,976,028
Transamerica Asset Management, Inc.Aegonfinancial servicesinvestor protection violation2020SEC$5,946,782
Prevezon Holdings Ltd. anti-money-laundering deficiencies2017USAO$5,896,333
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2000FINRA$5,890,000
Prudential Securities IncorporatedWells Fargofinancial servicesinvestor protection violation2000SEC$5,880,000
Native American Water, L.L.C. dba NATAWA et al. investor protection violation2019AZ-CC$5,874,215
MNI Properties, L.L.C. and Mortgage Notes, Inc. investor protection violation2008AZ-CC$5,867,967
Generali Global Assistance, Inc. economic sanction violation2020OFAC$5,864,860
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2009NJ-AG$5,850,000
Securities America Advisors Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2018SEC$5,828,448
DBRS Inc. investor protection violation2015SEC$5,814,482
Renaissance Asset Management LLC investor protection violation2009CFTC$5,800,000
Private Advisor Group, LLC investor protection violation2022SEC$5,800,000
Alpha Trade Group S.A. investor protection violation2013CFTC$5,779,000
Queen Shoals Consultants, LLC investor protection violation2014CFTC$5,760,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2017SEC$5,754,714
Australia and New Zealand Bank Group, Ltd.Australia and New Zealand Banking Groupfinancial serviceseconomic sanction violation2009OFAC$5,750,000
General MotorsGeneral Motorsmotor vehiclesinvestor protection violation2021CA-AG$5,750,000
Falcon Capital Partners Limited investor protection violation2024SEC$5,750,000
Onele Trading & Finance Ltd. investor protection violation2011SEC$5,729,276
Charlevoix Homes LLC investor protection violation2011AZ-CC$5,727,226
Capital Source Lending LLC investor protection violation2019SEC$5,720,451
Deephaven Capital Management, LLC insider trading2006SEC$5,709,958
BB&T SecuritiesTruist Financialfinancial servicesinvestor protection violation2019SEC$5,709,753
New Century Investment Management LLC investor protection violation2014CFTC$5,700,000
Five Star Capital Markets LLC investor protection violation2011AZ-CC$5,677,226
Equinox Fund Management LLC investor protection violation2016CFTC$5,654,004
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicestoxic securities abuses2016VA-AG$5,621,897
Boon Tech investor protection violation2020SEC$5,600,334
AlphaMetrix, LLC investor protection violation2014CFTC$5,600,000
Retire Happy, LLC et al. investor protection violation2021MO-SEC$5,596,783
PBZ Verwaltungs AG tax violations2015DOJ_TAX$5,570,000
ABN AMRO Bank, N.V.ABN AMROfinancial servicesinvestor protection violation2013SEC$5,547,408
North American Capital Trust, LLC et al. investor protection violation2010ID-SEC$5,533,464
AppliChem GmbH economic sanction violation2019OFAC$5,512,564
CMA Capital Management, LLC investor protection violation2012CFTC$5,500,000
Marvell Technology Group, Ltd.Marvell Technologyelectrical and electronic equipmentaccounting fraud or deficiencies2019SEC$5,500,000
Iconix Brand Group Inc.Iconix Brand Groupapparelaccounting fraud or deficiencies2019SEC$5,500,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2007CT-SEC$5,500,000
Metropolitan Ambulatory Surgical Center LLC and MGK Holdings LLC investor protection violation2014NJ-BOS$5,500,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2018FINRA$5,500,000
Jefferies & Company, Inc.Jefferies Financial Groupdiversifiedinvestor protection violation2006FINRA$5,500,000
NVIDIA CorporationNvidiaelectrical and electronic equipmentinvestor protection violation2022SEC$5,500,000
Lear Capital investor protection violation2023SC-AG$5,500,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2023CFTC$5,500,000
Truist Securities, Inc.Truist Financialfinancial servicesinvestor protection violation2024SEC$5,500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.