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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
Back to Green Mining, LLC investor protection violation2023SEC$3,442,175
Emerald Worldwide Holdings, Inc. investor protection violation2006CFTC$3,433,721
Swedbank Latvia AS economic sanction violation2023OFAC$3,430,900
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2016FINRA$3,425,000
Mammoth West Corporation investor protection violation2024SEC$3,421,335
Raymond James & Associates Inc.Raymond James Financialfinancial servicesinvestor protection violation2000FINRA$3,410,000
Platinum Equity Advisors, LLCPlatinum Equityprivate equity (including portfolio companies)investor protection violation2017SEC$3,402,132
Santander Bank, National AssociationBanco Santanderfinancial servicesbanking violation2016OCC$3,400,000
Lansing Trade Group, LLCAndersons Inc.wholesalersinvestor protection violation2018CFTC$3,400,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2008NH-BSR$3,400,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargofinancial servicesinvestor protection violation2017FINRA$3,400,000
Hold Brothers On-Line Investment Services, LLC investor protection violation2012FINRA$3,400,000
Banca dello Stato del Cantone Ticino tax violations2015DOJ_TAX$3,393,000
Scottsdale Financial Funding Group, LLC investor protection violation2003AZ-CC$3,391,570
Ameritas Investment Corp.Ameritas Mutual Holding Companyfinancial servicesinvestor protection violation2019SEC$3,389,174
Global Fixed Income, LLC, et al. investor protection violation2015SEC$3,385,989
The Lighthouse Events, LLC investor protection violation2020SEC$3,381,686
Newbridge Alliance, Inc. and United States Capital Trust, LLC investor protection violation2014CFTC$3,381,179
Leland Energy et al. investor protection violation2018AZ-CC$3,372,537
Blue Bit Banc et al. investor protection violation2019CFTC$3,346,405
Anson Advisors Inc investor protection violation2023SEC$3,330,394
Valiant Bank AG tax violations2015DOJ_TAX$3,304,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2009NJ-AG$3,300,932
Morgan Stanley Investment ManagementMorgan Stanleyfinancial servicesinvestor protection violation2011SEC$3,300,000
General American Life Insurance CompanyMetLifefinancial servicesinvestor protection violation2007SEC$3,300,000
The Bancorp Bank banking violation2018FDIC$3,300,000
BDL Manager LLC investor protection violation2014SEC$3,297,740
Bank CIC tax violations2015DOJ_TAX$3,281,000
Belair Payroll Services Inc. anti-money-laundering deficiencies2013DOJ_CRIMINAL$3,267,252
William R. Hough & Co. investor protection violation2000SEC$3,264,000
Douglas A. Richardson, CPA, LLC investor protection violation2019MO-SEC$3,252,200
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2016FINRA$3,250,000
Wells Fargo Advisors, LLCWells Fargofinancial servicesinvestor protection violation2013FINRA$3,250,000
ED&F Man Capital Markets, Ltd. investor protection violation2022CFTC$3,250,000
Jamieson Capital Financial LLC investor protection violation2022ND-SEC$3,250,000
Level Global Investors, L.P. investor protection violation2011SEC$3,244,171
Impact, Inc. et al. investor protection violation2011ID-SEC$3,238,505
Corix Bioscience, Inc. et al. investor protection violation2019AZ-CC$3,235,192
Corix Bioscience Inc. investor protection violation2021AZ-CC$3,235,192
Deluxe Designs International, LLC and Deluxe Live Productions investor protection violation2009AZ-CC$3,225,744
Bank Coop AG tax violations2015DOJ_TAX$3,223,000
Everest Capital LLC investor protection violation2020SEC$3,208,226
GLG Partners, L.P. investor protection violation2007SEC$3,203,639
U.S. BankU.S. Bancorpfinancial servicesbanking violation2013CFPB$3,200,000
METLIFE, INCMetLifefinancial servicesbanking violation2012FED$3,200,000
VFRS LLC investor protection violation2013CFTC$3,200,000
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2011NJ-AG$3,200,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2020SEC$3,200,000
Decon Laboratories, Inc. tax violations2021ATTTB$3,200,000
CFO-5 LLC investor protection violation2010SEC$3,197,222
International Equity Advisors, LLC investor protection violation2005SEC$3,190,000
Hawaiian Gardens Casino, Inc. anti-money-laundering deficiencies2019CA-GCC$3,190,000
JGP Global Gestao de Recursos investor protection violation2013SEC$3,180,424
International Capital Group, LLC investor protection violation2015SEC$3,170,054
Cash 2 U, LLC and Dos Ninas, LLC and Par 3 Management, LLC investor protection violation2010AZ-CC$3,143,755
Vertical Integration Group LLC investor protection violation2014CFTC$3,120,688
Trademark Capital Management, LLC and Blue Investments, LLC investor protection violation2009AZ-CC$3,100,880
Hawaiian Gardens Casino anti-money-laundering deficiencies2019CA-AG$3,100,000
Osaic Wealth Inc. investor protection violation2024FINRA$3,096,490
Voya Financial Advisors, Inc.Voya Financialfinancial servicesinvestor protection violation2017SEC$3,095,953
Maersk Line, LimitedMaerskfreight and logisticseconomic sanction violation2010OFAC$3,088,400
Titan Capital Real Estate Fund I, LLC investor protection violation2019AZ-CC$3,076,315
Vero Capital Management LLC accounting fraud or deficiencies2015SEC$3,068,706
Arizona Investment Advisers, Inc. investor protection violation2001AZ-CC$3,050,000
Cadaret and Grant & Co., Inc. investor protection violation2017SEC$3,048,000
Hong Kong Entertainment (Overseas) Investments, LTD. dba Tinian Dynasty Hotel & Casino anti-money-laundering deficiencies2015USAO$3,036,969
SIG Specialists, Inc. investor protection violation2004SEC$3,033,589
Banca Credinvest SA tax violations2015DOJ_TAX$3,022,000
The Princeton Partnership, LLC investor protection violation2015MO-SEC$3,016,710
Deutsche Bank SecuritiesDeutsche Bankfinancial servicesaccounting fraud or deficiencies2014CFTC$3,000,000
Vitesse Semiconductor Corp.Microchip Technology Inc.electrical and electronic equipmentaccounting fraud or deficiencies2010SEC$3,000,000
ICE Futures U.S. Inc.IntercontinentalExchange Groupfinancial servicesinvestor protection violation2015CFTC$3,000,000
Olam International Ltd. and Olam Americas Inc.Olam Groupagribusinessinvestor protection violation2015CFTC$3,000,000
Demuzio Capital Management, LLC investor protection violation2012CFTC$3,000,000
Safeguard 3030 Investment Club investor protection violation2012CFTC$3,000,000
Archer Daniels Midland CompanyArcher Daniels Midlandagribusinesstax violations2008ATTTB$3,000,000
Cinergy Marketing & Trading, LPBNP Paribasfinancial servicesinvestor protection violation2004CFTC$3,000,000
Entergy Koch Trading, L.P.Entergyutilities and power generationinvestor protection violation2004CFTC$3,000,000
ONEOK Inc.Oneokpipelinesinvestor protection violation2004CFTC$3,000,000
WestLB AG banking violation2003FED$3,000,000
Banco de ChileBanco de Chilefinancial servicesanti-money-laundering deficiencies2005OCC$3,000,000
Take-Two Interactive Software, Inc.Take-Two Interactive Software Inc.entertainmentaccounting fraud or deficiencies2009SEC$3,000,000
Analog Devices, Inc.Analog Devices Inc.electrical and electronic equipmentaccounting fraud or deficiencies2008SEC$3,000,000
Dynegy Inc.Vistra Energyutilities and power generationaccounting fraud or deficiencies2002SEC$3,000,000
Nomura Asset Acceptance Corporation and Nomura Home Equity Loan, Inc.Nomurafinancial servicestoxic securities abuses2016NCUA$3,000,000
MagnaChip Semiconductor Corporation accounting fraud or deficiencies2017SEC$3,000,000
Bank of New York Mellon CorporationBank of New York Mellonfinancial servicesbanking violation2017FED$3,000,000
First National Bank of OmahaFirst National of Nebraskafinancial servicesbanking violation2016OCC$3,000,000
Intrade The Prediction Market Limited (Intrade) and Trade Exchange Network Limited investor protection violation2018CFTC$3,000,000
TCF National BankHuntington Bancsharesfinancial servicesbanking violation2018OCC$3,000,000
Agria Corporation accounting fraud or deficiencies2018SEC$3,000,000
Prosper Funding LLC accounting fraud or deficiencies2019SEC$3,000,000
BGC Financial, L.P.BGC Partnersfinancial servicesinvestor protection violation2019CFTC$3,000,000
New York Racing Association Inc. tax violations2005USAO$3,000,000
ING Life Insurance and Annuity CompanyVoya Financialfinancial servicesinvestor protection violation2006NH-BSR$3,000,000
Pershing LLC investor protection violation2014FINRA$3,000,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2011FINRA$3,000,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2011FINRA$3,000,000
Nuveen Investments, LLCTIAAfinancial servicesinvestor protection violation2011FINRA$3,000,000
Phoenix Derivatives Group, LLC investor protection violation2010FINRA$3,000,000
Banc of America Investment Services Inc.Bank of Americafinancial servicesanti-money-laundering deficiencies2007FINRA$3,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.