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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
SLIG High-Interest Liquid Savings Company investor protection violation2024SEC$1,564,547
Wealthcorp, LLC investor protection violation2022AZ-CC$1,564,446
Neofat Industries, Inc. investor protection violation2014FL-OFR$1,562,500
HM Capital Partners I investor protection violation2009NY-AG$1,560,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2011NJ-AG$1,560,000
Topline Appliance Center tax violations2014NY-AG$1,560,000
E. Gutzwiller & Cie, Banquiers tax violations2015DOJ_TAX$1,556,000
Technology Communication Management, L.L.C. et al. investor protection violation2012CA-DFPI$1,553,235
AMMB Consultant Sendirian Berhad investor protection violation2012SEC$1,550,000
VERITRAX CORPORATION investor protection violation2011VA-SEC$1,550,000
SG Americas Securities LLCSociete Generalefinancial servicesinvestor protection violation2020SEC$1,550,000
Worden Capital Management LLC investor protection violation2020FINRA$1,550,000
SG Americas Securities, LLCSociete Generalefinancial servicesinvestor protection violation2020FINRA$1,550,000
American Esports, Inc. investor protection violation2022MD-SEC$1,550,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2019SEC$1,545,758
Cocoon Trade, Inc investor protection violation2009CFTC$1,542,787
Shadow Beverages and Snacks, LLC investor protection violation2017AZ-CC$1,542,500
Aon Investments USA Inc.Aonfinancial servicesinvestor protection violation2024SEC$1,542,187
Lek Securities Corp. investor protection violation2019SEC$1,525,892
World Class Limousines, Inc. and 1-800-GET-LIMO, Inc. investor protection violation2004SEC$1,522,500
Currency Trading Systems investor protection violation2001CFTC$1,521,000
IFC Holdings, Inc. d/b/a INVEST Financial Corporation investor protection violation2005FINRA$1,520,000
Bell Rock Capital, LLC investor protection violation2023SEC$1,509,048
Fanatics, Inc. tax violations2021NY-AG$1,508,466
Avnet Asia Pte. Ltd.Avnetwholesalerseconomic sanction violation2021DOJ_NATSEC$1,508,000
SunTrust BankTruist Financialfinancial servicesbanking violation2017FED$1,501,000
Future Strategies Srl a/k/a Future Strategies International investor protection violation2001SEC$1,500,073
First National Community Bank anti-money-laundering deficiencies2015FINCEN$1,500,000
Goldman SachsGoldman Sachsfinancial servicesinvestor protection violation2012CFTC$1,500,000
Home Loan Servicing Solutions Ltd. accounting fraud or deficiencies2015SEC$1,500,000
Trinity Capital Corporation accounting fraud or deficiencies2015SEC$1,500,000
Newbridge Metals, LLC investor protection violation2013CFTC$1,500,000
ACJ Capital Inc., and Solid View Capital LLC investor protection violation2013CFTC$1,500,000
FCStone LLCStoneX Groupfinancial servicesinvestor protection violation2013CFTC$1,500,000
Sheenson Investments, Ltd. investor protection violation2012CFTC$1,500,000
Calpine Energy Services, L.P.Energy Capital Partnersprivate equity (including portfolio companies)investor protection violation2004CFTC$1,500,000
Bear, Stearns & Co., Inc.JPMorgan Chasefinancial servicesinvestor protection violation2006SEC$1,500,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2006SEC$1,500,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2006SEC$1,500,000
J.P. Morgan Securities, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2006SEC$1,500,000
Lehman Brothers Inc. investor protection violation2006SEC$1,500,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2006SEC$1,500,000
Morgan Stanley & Co. Incorporated/ Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2006SEC$1,500,000
RBC Dain Rauscher IncRoyal Bank of Canadafinancial servicesinvestor protection violation2006SEC$1,500,000
Tyson Foods, Inc.Tyson Foodsfood productsaccounting fraud or deficiencies2005SEC$1,500,000
Grant Thornton LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2004SEC$1,500,000
Advantage Futures LLC investor protection violation2016CFTC$1,500,000
MDC Partners accounting fraud or deficiencies2017SEC$1,500,000
McVean Trading & Investments, LLC investor protection violation2017CFTC$1,500,000
UMB Bank, NAUMB Financial Corp.financial servicesbanking violation2017OCC$1,500,000
Osiris TherapeuticsSmith & Nephewmedical equipment and suppliesaccounting fraud or deficiencies2017SEC$1,500,000
Blackrock Fund AdvisorsBlackRockfinancial servicesinvestor protection violation2017SEC$1,500,000
Federated Global Investment Management Corp. investor protection violation2016SEC$1,500,000
Geneva Trading USA, LLC investor protection violation2018CFTC$1,500,000
Epsilon Electronics, Inc. economic sanction violation2018OFAC$1,500,000
Barrett Business Services Inc.Barrett Business Servicesmiscellaneous servicesaccounting fraud or deficiencies2018SEC$1,500,000
Tangoe Inc.Tangoe Inc.information technologyaccounting fraud or deficiencies2018SEC$1,500,000
Herzog, Heine, Geduld, LLC investor protection violation2006SEC$1,500,000
Banc of America Investment Services, Inc., and Bacap Distributors, LLCBank of Americafinancial servicesinvestor protection violation2005SEC$1,500,000
Kaye Scholer LLP bankruptcy professional violation2013DOJ_UTP$1,500,000
Crowe LLP accounting fraud or deficiencies2018SEC$1,500,000
Santander Consumer USA Holdings Inc.Banco Santanderfinancial servicesinvestor protection violation2018SEC$1,500,000
QAC LLC tax violations2018ATTTB$1,500,000
Morgan Stanley & Co.Morgan Stanleyfinancial servicestoxic securities abuses2008MA-AG$1,500,000
Morgan Stanley Capital Group Inc.Morgan Stanleyfinancial servicesinvestor protection violation2019CFTC$1,500,000
Classic Energy LLC investor protection violation2019CFTC$1,500,000
Metro Bank banking violation2012FDIC$1,500,000
Alma Investment LLC economic sanction violation2013OFAC$1,500,000
Virtu Americas LLCVirtu Financialfinancial servicesinvestor protection violation2019SEC$1,500,000
Grant Thornton LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2017PCAOB$1,500,000
Price Waterhouse, Bangalore et al.PricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2011PCAOB$1,500,000
MiMedx Group Inc.MiMedx Group, Incmedical equipment and suppliesaccounting fraud or deficiencies2019SEC$1,500,000
Nelson Finance, Inc. et al. investor protection violation2005MD-SEC$1,500,000
Automated Revenue Creation LLC and Guaranteed Results Advertising, LLC investor protection violation2014MD-SEC$1,500,000
Edward D. Jones & Co. L.P.Jones Financialfinancial servicesinvestor protection violation2005MO-SEC$1,500,000
Vaccaro Consultant, LLC investor protection violation2016NJ-BOS$1,500,000
Fulton Financial CorporationFulton Financialfinancial servicesinvestor protection violation2020SEC$1,500,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2018FINRA$1,500,000
Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network, LLC and First Clearing, LLCWells Fargofinancial servicesinvestor protection violation2016FINRA$1,500,000
SunTrust Robinson Humphrey, Inc.Truist Financialfinancial servicesinvestor protection violation2016FINRA$1,500,000
Brookville Capital Partners LLC investor protection violation2015FINRA$1,500,000
Wells Fargo Advisors and Wells Fargo Advisors Financial NetworkWells Fargofinancial servicesanti-money-laundering deficiencies2014FINRA$1,500,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2010FINRA$1,500,000
HSBC Securities (USA)HSBCfinancial servicesinvestor protection violation2010FINRA$1,500,000
Mutual Service Corporation investor protection violation2009FINRA$1,500,000
ING Funds DistributorVoya Financialfinancial servicesinvestor protection violation2005FINRA$1,500,000
McDonald Investments Inc. investor protection violation2005FINRA$1,500,000
State Street Research Investment Services, Inc.BlackRockfinancial servicesinvestor protection violation2004FINRA$1,500,000
Worldco LLC investor protection violation2004FINRA$1,500,000
Knight Securities L.P.Virtu Financialfinancial servicesinvestor protection violation2002FINRA$1,500,000
GWFS Equities Inc. anti-money-laundering deficiencies2021SEC$1,500,000
Tyson Foods, Inc.Tyson Foodsfood productsinvestor protection violation2021CFTC$1,500,000
Credit SuisseUBSfinancial servicesinvestor protection violation2021CFTC$1,500,000
Bitfinex investor protection violation2021CFTC$1,500,000
Societe Generale S.A.Societe Generalefinancial servicesinvestor protection violation2021CFTC$1,500,000
Mizuho Capital Markets LLCMizuho Financialfinancial servicesinvestor protection violation2021CFTC$1,500,000
BNY Mellon Investment Adviser, Inc.Bank of New York Mellonfinancial servicesinvestor protection violation2022SEC$1,500,000
Perceptive Advisors LLC investor protection violation2022SEC$1,500,000
Kingdom Trust Company anti-money-laundering deficiencies2023FINCEN$1,500,000
Cantaloupe, Inc. investor protection violation2023SEC$1,500,000
Canoo Inc.Canoo Inc.motor vehiclesinvestor protection violation2023SEC$1,500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.