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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
Insight Venture Management LLC investor protection violation2023SEC$2,364,958
CTAX Series, LLC investor protection violation2022CFTC$2,358,661
UBS Financial ServicesUBSfinancial servicesinvestor protection violation2012FINRA$2,354,584
Capital One Bank (USA) N.A.Capital One Financialfinancial servicesbankruptcy professional violation2011DOJ_UTP$2,350,000
Carr Miller Capital, LLC investor protection violation2013NJ-BOS$2,340,000
Hancock Whitney Investment Services, Inc. investor protection violation2020SEC$2,337,792
Bank of China (UK) LimitedBank of Chinafinancial serviceseconomic sanction violation2021OFAC$2,329,991
Legg Mason Wood Walker, Inc.Franklin Resourcesfinancial servicesinvestor protection violation2004SEC$2,315,467
Banque Cantonal du Valais tax violations2015DOJ_TAX$2,311,000
Performance Realty Management, LLC investor protection violation2021AZ-CC$2,309,101
Lincolnshire Management investor protection violation2014SEC$2,300,000
211 Ventures LLC investor protection violation2013SEC$2,300,000
WL Ross & Co. LLCInvescofinancial servicesinvestor protection violation2016SEC$2,300,000
Amerisave Mortgage CorporationAmeriSave Mortgagefinancial servicesinvestor protection violation2013MULTI-FIN$2,300,000
Josephthal & Co., Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2001FINRA$2,300,000
Popular BankPopular Inc.financial servicesbanking violation2023FED$2,300,000
Global Strategic Marketing, Inc. investor protection violation2014CFTC$2,292,798
Nordstrom Nordstrom I, Inc. and Nordstrom Imports, Inc.Nordstromretailinginvestor protection violation2014AZ-CC$2,263,142
Theodore J. Hogan & Associates, LLC investor protection violation2011AZ-CC$2,253,310
Diversified Investors Securities Corp. investor protection violation2006FINRA$2,250,000
Clean Energy Capital, LLC investor protection violation2014SEC$2,246,030
Apuro Holdings Ltd et al. investor protection violation2019CFTC$2,243,344
The Alista Group, LLC investor protection violation2021CFTC$2,242,162
Linsco/Private Ledger Corp. investor protection violation2004SEC$2,232,805
Higher One, IncorporatedProvidence Equity Partnersprivate equity (including portfolio companies)banking violation2015FED$2,231,250
Cifuentes Fund Management, LLC investor protection violation2018CFTC$2,227,120
Innospec Inc.Innospecchemicalseconomic sanction violation2010OFAC$2,200,000
Global Precious Metals Trading Company investor protection violation2013CFTC$2,200,000
Alliance Development Company investor protection violation2008CFTC$2,200,000
Bank of Mingo anti-money-laundering deficiencies2015USAO(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,200,000
BRUT LLCNasdaq Inc.financial servicesinvestor protection violation2006FINRA$2,200,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2005FINRA$2,200,000
Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2004FINRA$2,200,000
Cemtrex, Inc. investor protection violation2022SEC$2,200,000
TIAA-CREF Individual & Institutional Services LLCTIAAfinancial servicesinvestor protection violation2024SEC$2,200,000
Strong Capital Management, Inc.Wells Fargofinancial servicesinvestor protection violation2006SEC$2,185,927
Winning Kids Inc. investor protection violation2010SEC$2,183,964
Paradigm Capital Management, Inc. investor protection violation2014SEC$2,181,771
Chronos Asset Management, Inc. investor protection violation2008SEC$2,176,915
Performance Specialist Group LLC investor protection violation2004SEC$2,171,932
Heartland Payment Systems, LLCGlobal Payments Inc.financial servicesinvestor protection violation2018SEC$2,160,000
Skytec Security Services, LLC and Skytec Service KC, LLC investor protection violation2021MO-SEC$2,151,130
Morgan Stanley & Co., LLCMorgan Stanleyfinancial servicesinvestor protection violation2012FINRA$2,146,431
SAP SESAPinformation technologyeconomic sanction violation2021OFAC$2,132,174
R.R. Donnelley & Sons CompanyChatham Asset Managementfinancial servicesinvestor protection violation2024SEC$2,125,000
Brookside Capital, LLC investor protection violation2011SEC$2,124,079
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2013MO-SEC$2,121,579
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesinvestor protection violation2011FINRA$2,115,000
MML Investors Services, LLCMassachusetts Mutual Life Insurancefinancial servicesinvestor protection violation2021SEC$2,109,458
RBC Capital Markets CorporationRoyal Bank of Canadafinancial servicesinvestor protection violation2005FINRA$2,108,000
The Gaming Factory, Inc. investor protection violation2003SEC$2,100,102
BDO USABDO Internationalbusiness servicesaccounting fraud or deficiencies2015SEC$2,100,000
Six Stars Auto Sales tax violations2003NY-QCDA$2,100,000
Cantone Research, Inc. and Cantone Office Center, LLC investor protection violation2017NJ-BOS$2,100,000
GMC Holding Corporation investor protection violation2009SEC$2,090,000
Equitec Proprietary Markets, LLC investor protection violation2009SEC$2,080,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargofinancial servicesinvestor protection violation2020FINRA$2,075,000
Woodbury Financial Services, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2014MO-SEC$2,070,000
Ersparniskasse Schaffhausen AG tax violations2015DOJ_TAX$2,066,000
ESCO Corporation economic sanction violation2014OFAC$2,057,540
ShipChain, Inc. investor protection violation2020SEC$2,050,000
NEXT Financial Group, Inc.Atria Wealth Solutionsfinancial servicesinvestor protection violation2011FINRA$2,050,000
Knight Financial Products, LLCVirtu Financialfinancial servicesinvestor protection violation2009SEC$2,040,000
BRC Neighborhood Planning, LP investor protection violation2022PA-BKG$2,040,000
Flip 2 Futures Trading Company and Punch Drunk Marketing LLC investor protection violation2024CFTC$2,039,000
2 West, Inc., et al. investor protection violation2016SEC$2,025,179
RPM International Inc.RPM Internationalchemicalsaccounting fraud or deficiencies2020SEC$2,022,500
TelexElectric, LLLP investor protection violation2018SEC$2,022,239
National Investment Consultants, Inc. and Pacific Best Group Ltd. investor protection violation2006CA-DFPI$2,021,500
Galleon Management, L.P. investor protection violation2005SEC$2,020,450
A.L. Russell & Associates LLC and Re-Star LLC and Re-Star Holdings LLC investor protection violation2012AZ-CC$2,016,570
Integrowth Financial Group investor protection violation2004AZ-CC$2,016,524
Kroll Bond Rating Agency Inc. investor protection violation2020SEC$2,010,000
AirTrac Inc. investor protection violation2008SEC$2,005,401
BAIC, Inc. investor protection violation2019AZ-CC$2,004,649
Citizens Bank, National AssociationCitizens Financial Groupfinancial servicesbanking violation2015OCC$2,000,000
PNC Bank, National AssociationPNC Financial Servicesfinancial servicesbanking violation2014OCC$2,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasefinancial servicesbanking violation2011OCC$2,000,000
Luther Burbank Savings banking violation2012DOJ_RIGHTS$2,000,000
PostFinance AG tax violations2015DOJ_TAX$2,000,000
Swisher HygieneEcolabchemicalsaccounting fraud or deficiencies2016SEC$2,000,000
Ocwen Financial Corp.Ocwen Financialfinancial servicesaccounting fraud or deficiencies2016SEC$2,000,000
Liquidnet Inc. investor protection violation2014SEC$2,000,000
iGlobal Strategic Management, LLC investor protection violation2012CFTC$2,000,000
Longbranch Group International LLC investor protection violation2011CFTC$2,000,000
Daniels Trading Group LLC investor protection violation2011CFTC$2,000,000
MF Global Inc. investor protection violation2007CFTC$2,000,000
NRG Energy, Inc.NRG Energyutilities and power generationinvestor protection violation2007CFTC$2,000,000
Smithfield Foods Inc.WH Groupfood productsinvestor protection violation2004DOJ_ANTITRUST$2,000,000
Chevron CorporationChevronoil and gaseconomic sanction violation2007OFAC$2,000,000
Goldman Sachs Execution and Clearing L.P.Goldman Sachsfinancial servicesinvestor protection violation2007SEC$2,000,000
National Clearing Corporation investor protection violation2006SEC$2,000,000
Zomax Inc. insider trading2005SEC$2,000,000
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankfinancial servicesinvestor protection violation2004SEC$2,000,000
Gardere Wynne Sewell LLP accounting fraud or deficiencies2003SEC$2,000,000
Exxon MobilExxon Mobiloil and gaseconomic sanction violation2017OFAC$2,000,000
First Niagara Bank, National AssociationKeyCorpfinancial servicesbanking violation2016OCC$2,000,000
Glencore Agriculture B.V., investor protection violation2018CFTC$2,000,000
LendingClub CorporationLendingClub Corp.financial servicesbanking violation2018USAO$2,000,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2004SEC$2,000,000
Baron Capital, Inc. investor protection violation2003SEC$2,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.