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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
First Abu Dhabi Bank USA N.V. banking violation2020OCC$5,000,000
Kik Interactive Inc. investor protection violation2020SEC$5,000,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2020SEC$5,000,000
Interface Inc. accounting fraud or deficiencies2020SEC$5,000,000
UBS Financial Services Inc. and UBS Securities LLCUBSfinancial servicesanti-money-laundering deficiencies2018FINRA$5,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2016FINRA$5,000,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2014FINRA$5,000,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2014FINRA$5,000,000
Credit Suisse Securities (USA), LLCUBSfinancial servicesinvestor protection violation2014FINRA$5,000,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2014FINRA$5,000,000
JP Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2014FINRA$5,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2014FINRA$5,000,000
SunTrust Robinson Humphrey, Inc.Truist Financialfinancial servicesinvestor protection violation2011FINRA$5,000,000
American Fund Distributors investor protection violation2008FINRA$5,000,000
USAllianz SecuritiesAllianzfinancial servicesinvestor protection violation2006FINRA$5,000,000
MetLife, Inc.MetLifefinancial servicesinvestor protection violation2006FINRA$5,000,000
American Funds Distributors Inc. investor protection violation2006FINRA$5,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2006FINRA$5,000,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2004FINRA$5,000,000
Deutsche Bank Securities, Inc.Deutsche Bankfinancial servicesinvestor protection violation2004FINRA$5,000,000
Miller Tabak Roberts Securities, LLC investor protection violation2004FINRA$5,000,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2004FINRA$5,000,000
Salomon Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2002FINRA$5,000,000
RiverSource Distributors Inc. investor protection violation2022SEC$5,000,000
RiverSource Distributors, Inc. investor protection violation2022SEC$5,000,000
BofA Securities, Inc.Bank of Americafinancial servicesinvestor protection violation2022FINRA$5,000,000
Bittrex, Inc. anti-money-laundering deficiencies2022FINCEN$5,000,000
Bloomberg Finance L.P.Bloomberginformation technologyinvestor protection violation2023SEC$5,000,000
The Options Clearing Corporation investor protection violation2023CFTC$5,000,000
IRB Brasil Resseguros SA investor protection violation2023DOJ_CRIMINAL$5,000,000
Coinbase, Inc.Coinbase Global Inc.financial servicesinvestor protection violation2023NJ-AG$5,000,000
Shinhan Bank America anti-money-laundering deficiencies2023FDIC(*)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
Brooge Energy Limited investor protection violation2023SEC$5,000,000
Holtec InternationalHoltec Internationalmiscellaneous energy products and systemstax violations2024NJ-AG$5,000,000
Bank of New York MellonBank of New York Mellonfinancial servicesinvestor protection violation2024CFTC$5,000,000
Gemini Trust Company LLC investor protection violation2025CFTC$5,000,000
Liquidnet Inc. investor protection violation2025SEC$5,000,000
Capital Solutions Distributors, LLC and Capital Solutions Management, LP accounting fraud or deficiencies2013SEC$4,997,077
Flakeboard America LimitedAntarChilediversifiedinvestor protection violation2014DOJ_ANTITRUST$4,950,000
Lehman Brothers Inc. investor protection violation2000SEC$4,950,000
Bear, Stearns & Co. Inc.JPMorgan Chasefinancial servicesinvestor protection violation2004FINRA$4,950,000
PlexCorps investor protection violation2019SEC$4,911,613
Financial Leverage LLC et al. investor protection violation2023AZ-CC$4,879,122
Merrill LynchBank of Americafinancial servicesinvestor protection violation2010NJ-AG$4,871,620
Automata FX Ltd investor protection violation2023AZ-CC$4,866,465
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2004SEC$4,844,465
Tri-Core Companies, LLC et al. investor protection violation2017AZ-CC$4,822,311
Delaware Asset Advisers investor protection violation2012SEC$4,814,520
Venture Capital Holdings LLC investor protection violation2006SEC$4,808,953
Summit Trading & Capital LLC investor protection violation2013CFTC$4,800,000
Total Call Group, Inc. investor protection violation2012CFTC$4,800,000
FTS Financial, Inc. investor protection violation2017CFTC$4,800,000
Burrill Capital Management accounting fraud or deficiencies2016SEC$4,785,000
Community Trust Bank, Inc. banking violation2018FED$4,750,000
Citigroup Global Markets Inc.Citigroupfinancial servicestoxic securities abuses2016VA-AG$4,750,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2016MS-SEC$4,743,815
Falco & Stevens, Inc. investor protection violation2007CFTC$4,724,607
Stroud Capital Management, LLC, TS Capital Partners, LLC, and TS Capital Management, LLC investor protection violation2016CFTC$4,723,246
Pan American Metals of Miami and Pan American Metals of Miami Beach investor protection violation2013CFTC$4,700,000
Pine Tree Meat & Produce Inc. et al. tax violations2020NY-AG$4,700,000
ProSky, Inc. investor protection violation2021SEC$4,700,000
Premier Asset Management Group LLC investor protection violation2022AZ-CC$4,695,136
ING Financial Partners, Inc.Voya Financialfinancial servicesinvestor protection violation2008IL-SEC$4,677,326
Business Owners Tax Relief LLC investor protection violation2020AZ-CC$4,674,873
Klytie's Developments, Inc. et al. investor protection violation2010CO-SEC$4,667,724
Barclays Capital Inc.Barclaysfinancial servicestoxic securities abuses2021NM-AG$4,642,857
Citigroup Global Markets Inc.Citigroupfinancial servicestoxic securities abuses2021NM-AG$4,642,857
Goldman Sachs & Co. LLCGoldman Sachsfinancial servicestoxic securities abuses2021NM-AG$4,642,857
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicestoxic securities abuses2021NM-AG$4,642,857
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicestoxic securities abuses2021NM-AG$4,642,857
NatWest Markets Securities Inc.NatWest Group PLCfinancial servicestoxic securities abuses2021NM-AG$4,642,857
Washington Mutual Mortgage Securities Corp.JPMorgan Chasefinancial servicestoxic securities abuses2021NM-AG$4,642,857
Ameritas Advisory Services, LLCAmeritas Mutual Holding Companyfinancial servicesinvestor protection violation2022SEC$4,628,194
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2004SEC$4,621,768
Berner Kantonalbank AG tax violations2015DOJ_TAX$4,619,000
MJG Enterprises, Inc. dba Mike's Lock Club investor protection violation2010AZ-CC$4,609,627
International Foreign Currency investor protection violation2012CFTC$4,600,000
Deerfield Management Company L.P. investor protection violation2017SEC$4,600,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2013MULTI-FIN$4,600,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2019FINRA$4,600,000
Kelly's Mobile Home Sales, Inc. investor protection violation2008AZ-CC$4,592,939
Vault Options, Ltd. and Global Trader 365 investor protection violation2016CFTC$4,587,371
Haidar Capital Management, LLC investor protection violation2007SEC$4,580,000
UBS Financial Services, IncUBSfinancial servicesinvestor protection violation2013MULTI-AG$4,580,000
VOYA Financial Advisors Inc.Voya Financialfinancial servicesinvestor protection violation2016FINRA$4,550,000
Acme Refining Co. tax violations2017USAO$4,545,243
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2006MT-FIN$4,503,166
Grant Thornton LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2015SEC$4,500,000
New York Stock ExchangeIntercontinentalExchange Groupfinancial servicesinvestor protection violation2014SEC$4,500,000
First Capital Savings and Loan investor protection violation2011CFTC$4,500,000
William Blair & Company, L.L.C. investor protection violation2017SEC$4,500,000
Ameriprise Financial Services Inc.Ameriprise Financialfinancial servicesinvestor protection violation2018SEC$4,500,000
Acuity Lending Corporation investor protection violation2013OR-FIN$4,500,000
Citibank N.A.Citigroupfinancial servicesinvestor protection violation2020CFTC$4,500,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2011FINRA$4,500,000
Wachovia SecuritiesWells Fargofinancial servicesinvestor protection violation2009FINRA$4,500,000
Oppenheimer & Co.Oppenheimer Holdingsfinancial servicesinvestor protection violation2008FINRA$4,500,000
Tower Square Securities investor protection violation2002FINRA$4,500,000
OWNZONES Media Network, Inc. investor protection violation2021AZ-CC$4,500,000
Global Infrastructure Management, LLC investor protection violation2021SEC$4,500,000
Cetera Advisor Networks LLC investor protection violation2024SEC$4,500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.