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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
Unisys Corp.Unisysinformation technologyinvestor protection violation2024SEC$4,000,000
WisdomTree Asset Management Inc. investor protection violation2024SEC$4,000,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesanti-money-laundering deficiencies2024SEC$4,000,000
Santander US Capital Markets LLCBanco Santanderfinancial servicesinvestor protection violation2025SEC$4,000,000
The New Wealth, LLC and Main Street Estate Group, Inc. and Jenny DB Properties, LLC investor protection violation2018MD-SEC$3,999,715
High Point Wealth Management investor protection violation2018MD-SEC$3,990,000
AllianceBernstein Investment Research and Management, Inc.Equitable Holdingsfinancial servicesinvestor protection violation2005FINRA$3,984,087
Fifth Street Management, LLC investor protection violation2018SEC$3,983,660
USA Barcelona Realty Advisors, LLC investor protection violation2018AZ-CC$3,965,700
BMO Capital Markets CorporationBank of Montrealfinancial servicesinvestor protection violation2019SEC$3,946,000
Camden Consulting, Inc. and SKS Consulting, Inc. investor protection violation2007SEC$3,925,000
Jefferies LLCJefferies Financial Groupdiversifiedinvestor protection violation2019SEC$3,918,000
Equity Acquisition Company Ltd. investor protection violation2023SEC$3,917,436
American Express Centurion BankAmerican Expressfinancial servicesbanking violation2012FDIC$3,900,000
HF Foods Group Inc. investor protection violation2024SEC$3,900,000
Legacy Hospitality II, LLC investor protection violation2023SEC$3,892,012
RBC Capital Markets LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2020SEC$3,889,007
First Capital Real Estate Investments, LLC investor protection violation2021SEC$3,876,400
Millenium Trading Group, LLC investor protection violation2007CFTC$3,861,516
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2007SEC$3,860,000
Direct Investment Products, Inc. investor protection violation2015CFTC$3,851,633
Banque Heritage S.A. tax violations2015DOJ_TAX$3,846,000
Family Tree Estate Planning, LLC, investor protection violation2023AZ-CC$3,838,040
VOS Capital Management, LLC investor protection violation2020CFTC$3,813,875
McCall Business Group, LLC and MBG Global, LLC investor protection violation2010CFTC$3,800,000
New York Rent-A-Car Corp. tax violations2003NY-QCDA$3,800,000
Yankee Financial Group, Inc. investor protection violation2005FINRA$3,800,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2024SEC$3,800,000
Zuger Kantonalbank tax violations2015DOJ_TAX$3,798,000
UBS Securities LLC and UBS Financial Services, IncUBSfinancial servicesinvestor protection violation2011NJ-AG$3,790,487
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.financial servicesinsider trading2006SEC$3,755,839
STATE BANK OF INDIAState Bank of Indiafinancial servicesbanking violation2001FDIC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $3,750,000
State Bank of IndiaState Bank of Indiafinancial servicesanti-money-laundering deficiencies2001FED$3,750,000
State Bank of IndiaState Bank of Indiafinancial servicesanti-money-laundering deficiencies2001NY-DFS$3,750,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2015FINRA$3,750,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2013FINRA$3,750,000
Fidelity Distributors Corp. et al.Fidelity Investmentsfinancial servicesinvestor protection violation2007FINRA$3,750,000
RSM US LLP accounting fraud or deficiencies2022SEC$3,750,000
EFG International AG economic sanction violation2024OFAC$3,740,442
WMF Management, LLC et al. investor protection violation2018AZ-CC$3,732,894
American Express Financial Advisors Inc.Ameriprise Financialfinancial servicesinvestor protection violation2004SEC$3,706,693
The Financial Group, LLC investor protection violation2022AZ-CC$3,706,451
ACJ Capital, Inc. investor protection violation2012CFTC$3,700,000
Senior Resources Asset Fund, LLC investor protection violation2006SEC$3,699,203
Worldwide Clearing, LLC investor protection violation2007CFTC$3,692,516
Secure Resolutions, Inc. investor protection violation2010AZ-CC$3,685,653
Locke Capital Management Inc. investor protection violation2011SEC$3,673,996
Real Estate Finance Corp. and WIN Opportunity Fund, LLC investor protection violation2019AZ-CC$3,668,565
Angel Oak Capital Partners, LLC investor protection violation2017SEC$3,666,370
Denari Capital, LLC investor protection violation2021CFTC$3,663,282
American Energy Exchange and York Commodities investor protection violation2007CFTC$3,652,788
Stifel, Nicolaus & Company, IncorporatedStifel Financialfinancial servicesinvestor protection violation2020FINRA$3,650,000
Mark Olsen Mining Company investor protection violation2019CFTC$3,631,280
Severns Properties, LLC and Severns Capital, LLC investor protection violation2008AZ-CC$3,631,115
Kornitzer Capital Management, Inc. investor protection violation2019SEC$3,626,995
Chatfield PCS Ltd. and GO ECO Manufacturing, Inc. investor protection violation2022SEC$3,625,263
Nato Enterprises, LLC investor protection violation2010AZ-CC$3,625,127
RA Capital Management investor protection violation2014SEC$3,624,359
Flagstar Bank, FSBNew York Community Bancorpfinancial servicesbanking violation2021OCC$3,620,000
Graubundner Kantonalbank tax violations2015DOJ_TAX$3,616,000
Linsco/Private Ledger Corp. investor protection violation2005FINRA$3,602,398
American Express Centurion BankAmerican Expressfinancial servicesbanking violation2013FDIC$3,600,000
Citizens Republic Bancorp Inc.Huntington Bancsharesfinancial servicesbanking violation2011DOJ_RIGHTS$3,600,000
Total Gas & Power North America, Inc.TotalEnergies SEoil and gasinvestor protection violation2015CFTC$3,600,000
National Equity Holdings, Inc. investor protection violation2013CFTC$3,600,000
Voya Holdings Inc.Voya Financialfinancial servicesinvestor protection violation2018SEC$3,600,000
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2018SEC$3,600,000
Chase Investment Services CorporationJPMorgan Chasefinancial servicesinvestor protection violation2011FINRA$3,600,000
Madigan Enterprises, Inc. et al. investor protection violation2018CFTC$3,589,913
PlanMember Securities Corporation investor protection violation2019SEC$3,550,660
Flagstar Financial, Inc investor protection violation2024SEC$3,550,000
5A Holdings, LLC investor protection violation2018MO-SEC$3,548,483
Oppenheimer & Co. Inc. and Oppenheimer Asset Management Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2019SEC$3,528,377
SK Madison Commodities, LLC investor protection violation2014CFTC$3,523,846
Up Global SEZC investor protection violation2023SEC$3,520,000
Oxford Capital investor protection violation2014CFTC$3,519,309
Cole Taylor BankFifth Third Bancorpfinancial servicesbanking violation2014FED$3,510,000
Murad, LLC economic sanction violation2023OFAC$3,508,286
Bank of Mingo banking violation2015FDIC$3,500,000
Capital One Financial CorporationCapital One Financialfinancial servicesaccounting fraud or deficiencies2013SEC$3,500,000
Assurant Inc.Assurantfinancial servicesaccounting fraud or deficiencies2010SEC$3,500,000
Capstone FX Quantitative Analysis, Inc. and Beekeepers Fund Capital Management, LLC investor protection violation2013CFTC$3,500,000
America Online, Inc.Apollo Global Managementprivate equity (including portfolio companies)accounting fraud or deficiencies2000SEC$3,500,000
Wells Fargo Advisors, LLCWells Fargofinancial servicesanti-money-laundering deficiencies2017SEC$3,500,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2017SEC$3,500,000
First Reserve Management, L.P. investor protection violation2016SEC$3,500,000
Heartland Advisors, Inc. investor protection violation2008SEC$3,500,000
Citadel Securities LLC investor protection violation2018SEC$3,500,000
Morningstar Credit Ratings, LLCMorningstar Inc.miscellaneous servicesinvestor protection violation2020SEC$3,500,000
Berkshire Capital Management Company, Inc. and Eat at Joe's, Ltd. (n/k/a SPYR, Inc.) investor protection violation2020SEC$3,500,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2006CT-SEC$3,500,000
Fidelity Co-operative Bank investor protection violation2014MA-SEC$3,500,000
RBC Capital Markets LLC and RBC Capital Markets Arbitrage S.A.Royal Bank of Canadafinancial servicesinvestor protection violation2016FINRA$3,500,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2012FINRA$3,500,000
Garrison Point Capital, LLC investor protection violation2022SEC$3,500,000
Mattel Inc.Mattelmiscellaneous manufacturingaccounting fraud or deficiencies2022SEC$3,500,000
Canarsie Capital, LLC investor protection violation2015SEC$3,494,938
Silver Edge Financial LLC investor protection violation2023SEC$3,475,000
FxTrade Financial, LLC investor protection violation2007CFTC$3,466,000
Benjamin F. Edwards & Co., Inc. investor protection violation2019SEC$3,445,264
Back to Green Mining, LLC investor protection violation2023SEC$3,442,175
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.