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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
Cetera Advisor Networks LLC investor protection violation2024SEC$4,500,000
Premier Marketing and Investments, Inc. investor protection violation2003SEC$4,497,451
SG Americas Securities, LLCSociete Generalefinancial servicesinvestor protection violation2005FINRA$4,478,000
Emsanet Internet Services, Inc. and Peter Restivo Inc. d/b/a U.S. Funding investor protection violation2002SEC$4,460,634
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2018SEC$4,450,000
47 East 34th Street (NY), LP tax violations2015NY-AG$4,446,153
Marbury Advisors Inc. investor protection violation2017CFTC$4,441,652
Edward JonesJones Financialfinancial servicesinvestor protection violation2024FINRA$4,440,979
First Chicago Capital Markets, Inc. investor protection violation2000FINRA$4,420,000
One Vision Children's Foundation, Inc. investor protection violation2003AZ-CC$4,407,140
Aracoma Contracting LLC anti-money-laundering deficiencies2014USAO$4,405,000
Meta 1 Coin Trust investor protection violation2023AZ-CC$4,404,361
Swisspartners Investment Network AG tax violations2014USAO$4,400,000
Ironridge Global Partners, LLC and Ironridge Global IV, Ltd. investor protection violation2017SEC$4,400,000
Danfoss A/SDanfossindustrial equipmenteconomic sanction violation2022OFAC$4,379,810
Trickling Springs Creamery, LLC investor protection violation2020PA-BKG$4,375,000
Amerada HessHess Corp.oil and gastax violations2000LA-AG$4,360,000
ConocoConocoPhillipsoil and gastax violations2000LA-AG$4,360,000
Energen tax violations2000LA-AG$4,360,000
ShellShell PLCoil and gastax violations2000LA-AG$4,360,000
UnocalChevronoil and gastax violations2000LA-AG$4,360,000
AutoChina International Limited accounting fraud or deficiencies2014SEC$4,350,000
Red Mountain Funding, Inc. investor protection violation2015AZ-CC$4,344,885
Lake Erie Tobacco Company tax violations2020ATTTB$4,333,129
PanAmerican Seed Company economic sanction violation2016OFAC$4,320,000
CDH & Affiliates, Inc. investor protection violation2004SEC$4,317,616
Bancorp Bank banking violation2015FDIC$4,300,000
China Shenghai Investment Management Limited investor protection violation2014SEC$4,300,000
Saxon Financial Services Inc. investor protection violation2009CFTC$4,300,000
GFI Securities LLCBGC Partnersfinancial servicesinvestor protection violation2019SEC$4,300,000
Metropolitan Investment Securities, Inc. investor protection violation2003FINRA$4,300,000
Coin Cafe investor protection violation2023NY-AG$4,300,000
Gagosian Gallery tax violations2016NY-AG$4,280,000
Hughes Energy Inc. investor protection violation2009USAO$4,261,211
Vadian Bank AG tax violations2015DOJ_TAX$4,253,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2015SEC$4,250,000
OZ Management LPSculptor Capital Managementfinancial servicesinvestor protection violation2015SEC$4,250,000
Dominion Resources, Inc.Dominion Energyutilities and power generationinvestor protection violation2006CFTC$4,250,000
Commercial Bank of New York anti-money-laundering deficiencies2001NY-DFS$4,250,000
Service Station Vending Equipment, Inc. tax violations2021NY-AG$4,250,000
ICBC Standard Bank PlcIndustrial and Commercial Bank of Chinafinancial servicesinvestor protection violation2015SEC$4,200,000
Worldwide Forex, Inc. and Worldwide Commodity Corp. investor protection violation2007CFTC$4,200,000
Raymond James and Associates Inc.Raymond James Financialfinancial servicesinvestor protection violation2016VT-FIN$4,200,000
Verto Capital Management investor protection violation2017SEC$4,158,517
Bank Linth LLB AG tax violations2015DOJ_TAX$4,150,000
Purshe Kaplan Sterling Investments investor protection violation2017FINRA$4,150,000
Robert W. Baird & Co. Incorporated investor protection violation2019SEC$4,149,167
Fremont Investment Advisors investor protection violation2004SEC$4,146,000
Fremont Investment Advisors, Inc. investor protection violation2004NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $4,146,000
Berkshire Hathaway Inc.Berkshire Hathawaydiversifiedeconomic sanction violation2020OFAC$4,144,651
Milan Group Inc. investor protection violation2013SEC$4,141,148
Global Corporate Strategies LLC investor protection violation2019SEC$4,120,000
Saddle River Valley Bank banking violation2013OCC$4,100,000
Aegerion PharmaceuticalsAmryt Pharmapharmaceuticalsinvestor protection violation2017SEC$4,100,000
Investment Placement Group investor protection violation2011SEC$4,072,027
Ernst & Young LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2014SEC$4,070,000
Nasdaq, Inc.Nasdaq Inc.financial serviceseconomic sanction violation2023OFAC$4,040,923
H.D. Vest Investment Services investor protection violation2005FINRA$4,015,000
KA Investments, Inc. investor protection violation2018ID-SEC$4,011,806
Concordia Financing Company, Ltd. and ER Financial & Advisory Services, LLC investor protection violation2019AZ-CC$4,007,986
Trends Investments Inc. investor protection violation2023SEC$4,007,027
Wells Fargo Bank, National AssociationWells Fargofinancial servicesbanking violation2015OCC$4,000,000
Capital One, National AssociationCapital One Financialfinancial servicesbanking violation2014OCC$4,000,000
Gibraltar Private Bank and Trust Company anti-money-laundering deficiencies2016FINCEN$4,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2016SEC$4,000,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2014SEC$4,000,000
AVEO Pharmaceuticals Inc.LGdiversifiedinvestor protection violation2016SEC$4,000,000
Invers Forex, LLC investor protection violation2012CFTC$4,000,000
Raleigh Capital Management, Inc. investor protection violation2011CFTC$4,000,000
Diamond Ventures LLC investor protection violation2011CFTC$4,000,000
FX Professional International Solutions, Inc. investor protection violation2010CFTC$4,000,000
Lake Dow Capital LLC investor protection violation2010CFTC$4,000,000
EMF Financial Products, LLC investor protection violation2009CFTC$4,000,000
Hearst CorporationHearstmediainvestor protection violation2001FTC$4,000,000
Hearst Corp.Hearstmediainvestor protection violation2001DOJ_ANTITRUST$4,000,000
Hazan Capital Management LLC investor protection violation2009SEC$4,000,000
Statoil ASAEquinoroil and gasinvestor protection violation2017CFTC$4,000,000
SeaWorld Entertainment Inc.SeaWorld Entertainmententertainmentinvestor protection violation2018SEC$4,000,000
British Arab Commercial Bank plc economic sanction violation2019OFAC$4,000,000
New York Mercantile Exchange (NYMEX) investor protection violation2020CFTC$4,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2019FINRA$4,000,000
Wells Fargo Securities, LLC and Wells Fargo Prime Services, LLCWells Fargofinancial servicesinvestor protection violation2016FINRA$4,000,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2014FINRA$4,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2014FINRA$4,000,000
Morgan Stanley & Co., LLCMorgan Stanleyfinancial servicesinvestor protection violation2014FINRA$4,000,000
Wells Fargo Securities, LLCWells Fargofinancial servicesinvestor protection violation2014FINRA$4,000,000
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.financial servicesinvestor protection violation2006FINRA$4,000,000
MML Investors Services, LLCMassachusetts Mutual Life Insurancefinancial servicesinvestor protection violation2021MA-SEC$4,000,000
Trustmark National BankTrustmarkfinancial servicesbanking violation2021OCC$4,000,000
KPMG S.A.S.KPMGbusiness servicesaccounting fraud or deficiencies2022PCAOB$4,000,000
Goldman Sachs Asset Management, L.P.Goldman Sachsfinancial servicesinvestor protection violation2022SEC$4,000,000
Ensign Peak Advisers Inc. investor protection violation2023SEC$4,000,000
Gentex CorporationGentexautomotive partsinvestor protection violation2023SEC$4,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2023SEC$4,000,000
Exchange Traded Managers Group LLC investor protection violation2023SEC$4,000,000
Kroll Bond Rating Agency, LLC investor protection violation2023SEC$4,000,000
PricewaterhouseCoopersPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2023PCAOB$4,000,000
OEP Capital Advisors, L.P. investor protection violation2023SEC$4,000,000
Toronto Dominion BankToronto-Dominion Bankfinancial servicesinvestor protection violation2024CFTC$4,000,000
Barclays Bank PLCBarclaysfinancial servicesinvestor protection violation2024CFTC$4,000,000
Unisys Corp.Unisysinformation technologyinvestor protection violation2024SEC$4,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.