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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
Truist Securities, Inc.Truist Financialfinancial servicesinvestor protection violation2024SEC$5,500,000
Harvest Volatility Management LLC investor protection violation2024SEC$5,500,000
Stephens Inc. investor protection violation2019SEC$5,489,119
Zurich Futures and Options, Inc investor protection violation2009CFTC$5,429,196
Energy & Environmental Investments, LLC and Energy & Environment, Inc. investor protection violation2023SEC$5,428,694
Stifel Nicolaus & Company, Inc.Stifel Financialfinancial servicesinvestor protection violation2010NJ-BOS$5,415,381
Finter Bank Zurich AG tax violations2015DOJ_TAX$5,414,000
Elsworth Berg Capital Management LLC, Elsworth Berg Inc., and Elsworth Berg FX LLC investor protection violation2012CFTC$5,400,000
CDH Forex Investments, LLC and CDH Global Holdings LLC investor protection violation2012CFTC$5,400,000
Hotel Connect, LLC et al. investor protection violation2001AZ-CC$5,400,000
Alumni Ventures Group, LLC investor protection violation2022SEC$5,400,000
Morgan Stanley & Co. Inc.Morgan Stanleyfinancial servicesinvestor protection violation2004FINRA$5,390,000
Lions Wealth Holdings, Lions Wealth Services and 20/20 Precious Metals investor protection violation2015CFTC$5,388,730
Foresee Inc. et al. investor protection violation2023SEC$5,374,482
Justby International Auctions investor protection violation2023CFTC$5,352,843
C & R Financial, Inc. investor protection violation2011CFTC$5,350,000
Artichoke Joe's Casino anti-money-laundering deficiencies2021CA-GCC$5,350,000
British American Tobacco p.l.c.British American Tobaccotobaccoeconomic sanction violation2023OFAC$5,348,685
Oxford Development, L.L.C. and CNT Family Fun Outlets, Inc. investor protection violation2001AZ-CC$5,336,160
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinafinancial servicesanti-money-laundering deficiencies2018FINRA$5,300,000
Artichoke Joe's Casino anti-money-laundering deficiencies2021CA-AG$5,300,000
UBS O'Connor, LLCUBSfinancial servicesinvestor protection violation2013SEC$5,297,716
Deutsche Bank Securities, Inc.Deutsche Bankfinancial servicesinvestor protection violation2004FINRA$5,290,000
American International Group, Inc.American International Groupfinancial servicestax violations2006MI-AG$5,279,484
JPMorgan Chase Bank, N.A.JPMorgan Chasefinancial serviceseconomic sanction violation2018OFAC$5,263,171
SwapStar Capital LLC investor protection violation2022CFTC$5,255,560
HSBCHSBCfinancial servicestoxic securities abuses2012NCUA$5,250,000
Crystal Pistol Resources, LLC et al. investor protection violation2013AZ-CC$5,249,316
Sojitz (Hong Kong) Limited economic sanction violation2022OFAC$5,228,298
American Express Travel Related Services Company, Inc.American Expressfinancial serviceseconomic sanction violation2013OFAC$5,226,120
Property Quest D.J.E., Inc. investor protection violation2008AZ-CC$5,210,399
Harbor Light Asset Management investor protection violation2014CFTC$5,200,000
Winell Associates, Inc. and Maxie Partners GP, LLC investor protection violation2011CFTC$5,200,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2000SEC$5,200,000
CapitalStorm LLC at al. investor protection violation2024CFTC$5,200,000
Beespoke Capital, Inc. investor protection violation2023SEC$5,196,518
Catharon Software Corp. investor protection violation2015AZ-CC$5,176,559
New Day Financial, LLC d/b/a NewDay USANew Day Financial LLCfinancial servicesinvestor protection violation2015MULTI-FIN$5,160,000
CMB Export LLC investor protection violation2018SEC$5,150,000
SAP SESAPinformation technologyeconomic sanction violation2021DOJ_NATSEC$5,140,000
Bridgeway Capital Management investor protection violation2004SEC$5,116,464
Zurich Life Insurance Company LtdZurich Insurancefinancial servicestax violations2019DOJ_TAX$5,115,000
Wells Fargo Advisors LLCWells Fargofinancial servicesinvestor protection violation2018SEC$5,108,441
Taronis Technologies, Inc. investor protection violation2022SEC$5,107,900
Tyco International Ltd.Johnson Controlsautomotive partsinvestor protection violation2002NH-BSR$5,100,000
StratoComm Corporation accounting fraud or deficiencies2016SEC$5,068,709
Corner Banca SA tax violations2015DOJ_TAX$5,068,000
Capital Ventures LLC investor protection violation2008ID-SEC$5,020,000
Pamrapo Savings Bank S.L.A. anti-money-laundering deficiencies2010DOJ_CRIMINAL$5,000,000
Wells Fargo Advisors LLCWells Fargofinancial servicesinvestor protection violation2014SEC$5,000,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2012CFTC$5,000,000
Farmers Tobacco Co. of Cynthiana, Inc. tax violations2011ATTTB$5,000,000
Miller Energy Resources accounting fraud or deficiencies2016SEC$5,000,000
AlphaBridge Capital Management accounting fraud or deficiencies2015SEC$5,000,000
LavaFlow Inc.Citigroupfinancial servicesinvestor protection violation2014SEC$5,000,000
Diamond FoodsCampbell Soupfood productsaccounting fraud or deficiencies2014SEC$5,000,000
New York Stock ExchangeIntercontinentalExchange Groupfinancial servicesinvestor protection violation2012SEC$5,000,000
Lloyds Commodities, LLC investor protection violation2014CFTC$5,000,000
Q Wealth Management Inc. investor protection violation2013CFTC$5,000,000
SNC Asset Management, Inc. and SNC Investments, Inc. investor protection violation2012CFTC$5,000,000
Republic New York Securities CorporationHSBCfinancial servicesinvestor protection violation2001CFTC$5,000,000
U.S. Trust CorporationBank of Americafinancial servicesbanking violation2001FED$5,000,000
Inviva Inc. investor protection violation2004SEC$5,000,000
SG Cowen Securities CorporationToronto-Dominion Bankfinancial servicesinvestor protection violation2003SEC$5,000,000
PricewaterhouseCoopers LLPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2002SEC$5,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2000SEC$5,000,000
Doha Bank anti-money-laundering deficiencies2009FINCEN$5,000,000
JSC VTB BankVTB Groupfinancial servicesinvestor protection violation2016CFTC$5,000,000
Overseas Shipholding GroupOverseas Shipholding Groupfreight and logisticsaccounting fraud or deficiencies2017SEC$5,000,000
Rosenthal Collins Capital Markets, LLC investor protection violation2017CFTC$5,000,000
Mid America Bank and Trust banking violation2017FED$5,000,000
NPB Neue Privat Bank tax violations2018DOJ_TAX$5,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2018SEC$5,000,000
LendingClub Asset Management LLCLendingClub Corp.financial servicesinvestor protection violation2018SEC$5,000,000
Citibank N.A.Citigroupfinancial servicesbankruptcy professional violation2018DOJ_UTP$5,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2018SEC$5,000,000
UBS Financial Services Inc.UBSfinancial servicesanti-money-laundering deficiencies2018FINCEN$5,000,000
Deer Park Road Management Company LP investor protection violation2019SEC$5,000,000
American Express Financial Advisors Inc.Ameriprise Financialfinancial servicesinvestor protection violation2005NJ-AG$5,000,000
Commercial Bank of New York anti-money-laundering deficiencies2001NY-AG$5,000,000
Inviva, Inc. investor protection violation2004NY-AG$5,000,000
Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2007NJ-AG$5,000,000
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2019CFTC$5,000,000
Comscore, Inc.ComScoreinformation servicesaccounting fraud or deficiencies2019SEC$5,000,000
Prime Partners SA tax violations2017USAO$5,000,000
Hudson United Bank anti-money-laundering deficiencies2004NY-MANDA$5,000,000
Diageo plcDiageobeveragesinvestor protection violation2020SEC$5,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2020SEC$5,000,000
Bloomberg Tradebook LLCBloomberginformation technologyinvestor protection violation2020SEC$5,000,000
Regions BankRegions Financialfinancial servicesbanking violation2014AL-SBD$5,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2014CT-SEC$5,000,000
State Street Global AdvisorsState Street Corp.financial servicesinvestor protection violation2012MA-SEC$5,000,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2012MA-SEC$5,000,000
Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2007NJ-BOS$5,000,000
U.S. Trust CorporationBank of Americafinancial servicesanti-money-laundering deficiencies2001NY-DFS$5,000,000
Credit AgricoleCredit Agricolefinancial servicesbanking violation2004NY-DFS$5,000,000
E*TRADE Securities LLCMorgan Stanleyfinancial servicesinvestor protection violation2011MULTI-FIN$5,000,000
Thomas Weisel Partners LLCStifel Financialfinancial servicesinvestor protection violation2005MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $5,000,000
Anheuser-Busch, LLCAnheuser-Busch InBevbeveragestax violations2020ATTTB$5,000,000
Morgan Stanley Capital Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020CFTC$5,000,000
First Abu Dhabi Bank USA N.V. banking violation2020OCC$5,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.