Basic Search  |  Summaries  |  Advanced Search

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearAgencyPenalty Amount sort icon
Golden Signals LLC investor protection violation2022CFTC$2,613,276
ABM Management, Inc. et al. investor protection violation2017MO-SEC$2,605,226
TC Credit Service d/b/a Del-Mair Group investor protection violation2012CFTC$2,600,000
Crabapple Capital Group LLC investor protection violation2012CFTC$2,600,000
Prosperity Team, LLC investor protection violation2012CFTC$2,600,000
JadeFX, LTD and Jade Investments Group, LLC investor protection violation2011CFTC$2,600,000
Scottrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2015FINRA$2,600,000
Brookstone Securities investor protection violation2012FINRA$2,600,000
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2007FINRA$2,600,000
Paramount Metals Exchange and Paramount Credit investor protection violation2015CFTC$2,595,946
Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesinvestor protection violation2004SEC$2,595,129
Privatbank Reichmuth & Co. tax violations2015DOJ_TAX$2,592,000
Premiere Power LLC investor protection violation2015SEC$2,587,523
Manikay Partners investor protection violation2013SEC$2,551,791
Sigma Planning Corp. investor protection violation2019SEC$2,546,718
Champion Management International, LLC investor protection violation2014CFTC$2,544,722
BSK Enterprises, LLC investor protection violation2009AZ-CC$2,539,225
Financial American Corp. investor protection violation2010AZ-CC$2,536,692
Hold Brothers On-Line Investment Services investor protection violation2012SEC$2,535,000
Independent Securities Investors Corp. investor protection violation2006CT-SEC$2,530,000
Aegis Capital Corp. investor protection violation2022SEC$2,520,865
Gibraltar Private Bank & Trust Co. banking violation2016OCC$2,500,000
Deutsche Bank AGDeutsche Bankfinancial servicesinvestor protection violation2015CFTC$2,500,000
E*TRADE SecuritiesMorgan Stanleyfinancial servicesinvestor protection violation2014SEC$2,500,000
ScottradeCharles Schwab Corp.financial servicesinvestor protection violation2014SEC$2,500,000
Worth Group Inc. investor protection violation2016CFTC$2,500,000
Alliance Capital Metals LLC and AR Goldman Wealth Management, LLC investor protection violation2012CFTC$2,500,000
Rosenthal Collins Group, LLC investor protection violation2012CFTC$2,500,000
Monster Worldwide, Inc.Randstadbusiness servicesaccounting fraud or deficiencies2009SEC$2,500,000
TALX CorporationEquifaxmiscellaneous servicesaccounting fraud or deficiencies2005SEC$2,500,000
Lehman Brothers, Inc. investor protection violation2003SEC$2,500,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2000SEC$2,500,000
RBC Capital Markets LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2016SEC$2,500,000
FMC TechnologiesTechnipFMCoilfield services and suppliesaccounting fraud or deficiencies2016SEC$2,500,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2017CFTC$2,500,000
Bank of AmericaBank of Americafinancial servicesinvestor protection violation2017USAO$2,500,000
Louis Capital Markets, LP investor protection violation2017SEC$2,500,000
Credit Suisse Alternative Capital, LLC and Credit Suisse Asset Management, LLCUBSfinancial servicesinvestor protection violation2011SEC$2,500,000
KBR Inc.KBRconstruction and engineeringaccounting fraud or deficiencies2018SEC$2,500,000
Heineken USA IncorporatedHeinekenbeveragestax violations2019ATTTB$2,500,000
Canon Inc.Canonelectrical and electronic equipmentinvestor protection violation2019FTC$2,500,000
HSBC Securities (USA) Inc.HSBCfinancial servicestoxic securities abuses2016VA-AG$2,500,000
Spa Castle Inc. tax violations2018NY-AG$2,500,000
Toshiba CorporationToshibaelectrical and electronic equipmentinvestor protection violation2019FTC$2,500,000
Societe Generale International LimitedSociete Generalefinancial servicesinvestor protection violation2019CFTC$2,500,000
Ari Enterprises, Ltd. and Bolero Records, Ltd. tax violations2007NY-MANDA$2,500,000
Truck Stop Games anti-money-laundering deficiencies2007USAO$2,500,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2015MA-SEC$2,500,000
Black Diamond Capital Appreciation Fund, L.P. et al. investor protection violation2015NJ-BOS$2,500,000
Trolice Consulting Services, LLC investor protection violation2016NJ-BOS$2,500,000
Precigen, Inc.Precigenagribusinessinvestor protection violation2020SEC$2,500,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2017FINRA$2,500,000
Needham & Company LLC investor protection violation2014FINRA$2,500,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2010FINRA$2,500,000
SunAmerica Securities, Inc.American International Groupfinancial servicesinvestor protection violation2005FINRA$2,500,000
United States Commodity Funds LLC investor protection violation2021CFTC$2,500,000
Washington Federal Bank, National AssociationWashington Federal Inc.financial servicesbanking violation2021OCC$2,500,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2022FINRA$2,500,000
S&P Global RatingsS&P Globalinformation technologyinvestor protection violation2022SEC$2,500,000
Elegance Brands et al. investor protection violation2022SEC$2,500,000
STIFEL, NICOLAUS & COMPANY, INC.Stifel Financialfinancial servicesinvestor protection violation2023MA-SEC$2,500,000
BHP Capital NY, Inc. investor protection violation2023SEC$2,500,000
Suez Rajan Limited economic sanction violation2023DOJ_NATSEC$2,500,000
Perella Weinberg Partners LP investor protection violation2023SEC$2,500,000
BlackRock Advisors, LLCBlackRockfinancial servicesinvestor protection violation2023SEC$2,500,000
Seven Mile Casino anti-money-laundering deficiencies2017CA-GCC$2,500,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2014FINRA$2,488,000
Barclays Bank PLCBarclaysfinancial serviceseconomic sanction violation2016OFAC$2,485,890
IBC Funds, LLC investor protection violation2016SEC$2,482,850
Financial Robotics, Inc. investor protection violation2014CFTC$2,481,000
Rothschild Investment Corporation investor protection violation2021SEC$2,471,667
Innovative Financial Solutions, LLC et al. investor protection violation2019MO-SEC$2,466,092
First Lexington Group investor protection violation2008CFTC$2,466,063
SR&B Investment Enterprises, Inc. investor protection violation2023CFTC$2,461,877
National Financial Services LLC investor protection violation2020SEC$2,461,193
Harvard Assets LLC, London Assets Inc. , and Harvard International Trading, Inc. investor protection violation2016CFTC$2,451,568
Wise Enterprises, LLC and Wise Lending, LLC investor protection violation2010ID-SEC$2,443,637
Wedbush SecuritiesWedbush Securitiesfinancial servicesinvestor protection violation2014SEC$2,440,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2014FINRA$2,440,000
Foreign Fund (a/k/a First Bank) investor protection violation2008CFTC$2,432,486
Samuel Adams Brewery Company, Ltd.Boston Beer Co.beveragestax violations2009ATTTB$2,432,160
Platforms Wireless International Corp. investor protection violation2007SEC$2,431,213
Choice Equity investor protection violation2018SEC$2,430,850
Assisted Living Development Company, Inc. et al. investor protection violation2011AZ-CC$2,410,895
Gelfman Blueprint, Inc. investor protection violation2018CFTC$2,408,734
Paramount Management, LLC investor protection violation2013CFTC$2,400,000
GID Group, Inc. investor protection violation2013CFTC$2,400,000
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2004SEC$2,400,000
United AirlinesUnited Airlines Holdingsairlinesaccounting fraud or deficiencies2016SEC$2,400,000
Allied Markets, LLC investor protection violation2019CFTC$2,400,000
COLUMBUS BANK AND TRUST COMPANY banking violation2008FDIC$2,400,000
Linsco/Private Ledger Corporation investor protection violation2005FINRA$2,400,000
FSC Securities Corp. investor protection violation2005FINRA$2,400,000
Securities America, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2005FINRA$2,400,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2004FINRA$2,400,000
Industrial and Commercial Bank of China Ltd.Industrial and Commercial Bank of Chinafinancial servicesbanking violation2024FED$2,400,000
Windsor Jones, LLC investor protection violation2022IA-INS$2,398,373
Bill Few Associates Inc. investor protection violation2019SEC$2,398,304
TIAA-CREF Individual & Institutional Services, LLCTIAAfinancial servicesinvestor protection violation2019SEC$2,395,722
MAG T, Inc. investor protection violation2012AZ-CC$2,370,455
Insight Venture Management LLC investor protection violation2023SEC$2,364,958
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.