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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
Stifel Financial CorporationStifel Financialfinancial servicesinvestor protection violation2014FINRA$1,025,000
Prosperity Economics Partners LLC and Partners for Prosperity LLC investor protection violation2022SEC$1,024,484
CAG Capital, Inc. dba Glendale Car Connection investor protection violation2008AZ-CC$1,024,406
M Holdings Securities, Inc. investor protection violation2019SEC$1,022,048
Roosevelt & Cross, Inc. investor protection violation2020SEC$1,017,015
PT Bukit Muria Jaya economic sanction violation2021OFAC$1,016,000
Voya Financial Advisors, Inc. fka ING Financial Partners, Inc.Voya Financialfinancial servicesinvestor protection violation2019CT-SEC$1,015,000
First Allied Securities, Inc. investor protection violation2015FINRA$1,014,647
Wintrust Financial CorporationWintrust Financial Corp.financial servicesbanking violation2019FED$1,012,500
A.R. Schmeidler & Co., Inc. investor protection violation2013SEC$1,011,564
SG Americas Securities LLCSociete Generalefinancial servicesinvestor protection violation2015SEC$1,011,093
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2022CFTC$1,010,828
Voyager Digital Ltd. et al. investor protection violation2023NH-BSR$1,007,880
Legacy Trading Co., LLC investor protection violation2009FINRA$1,007,035
First Republic Investment Management, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2019SEC$1,005,194
Regions BankRegions Financialfinancial servicesinvestor protection violation2010SEC$1,000,001
Stearns Bank National Association banking violation2016OCC$1,000,000
EverbankTIAAfinancial servicesbanking violation2016OCC$1,000,000
Lone Star National Bank banking violation2015OCC$1,000,000
Sparks Nugget, Inc. d/b/a John Ascuaga's Nugget anti-money-laundering deficiencies2016FINCEN$1,000,000
Bank of Mingo anti-money-laundering deficiencies2015FINCEN$1,000,000
Pamrapo Savings Bank, S.L.A. anti-money-laundering deficiencies2010FINCEN$1,000,000
ABN AMRO Clearing Chicago LLCABN AMROfinancial servicesinvestor protection violation2013CFTC$1,000,000
LWRC International, LLC tax violations2014ATTTB$1,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2016SEC$1,000,000
Cabela'sBass Proretailingaccounting fraud or deficiencies2016SEC$1,000,000
E.S. Financial Services anti-money-laundering deficiencies2016SEC$1,000,000
Sands Brothers Asset Management LLC investor protection violation2015SEC$1,000,000
Spencer Pharmaceutical Inc. investor protection violation2015SEC$1,000,000
Broadwind EnergyBroadwind Inc.utilities and power generationaccounting fraud or deficiencies2015SEC$1,000,000
Athena Capital Research investor protection violation2014SEC$1,000,000
Fuqi International Inc. accounting fraud or deficiencies2013SEC$1,000,000
Keyuan Petrochemicals accounting fraud or deficiencies2013SEC$1,000,000
Advanced Equities Inc investor protection violation2012SEC$1,000,000
Huron Consulting Group Inc.Huron Consulting Groupmiscellaneous servicesaccounting fraud or deficiencies2012SEC$1,000,000
Thor Industries Inc.Thor Industriesmotor vehiclesaccounting fraud or deficiencies2011SEC$1,000,000
Office Depot, Inc.ODP Corporationretailinginvestor protection violation2010SEC$1,000,000
IBFX Inc. investor protection violation2016CFTC$1,000,000
CHS Inc.CHS Inc.agribusinessinvestor protection violation2016CFTC$1,000,000
Joseph Glenn Commodities LLC and JGCF LLC investor protection violation2013CFTC$1,000,000
Virtual Vision Inc. investor protection violation2012CFTC$1,000,000
Pressio Capital Management, LP investor protection violation2010CFTC$1,000,000
McCormick Distilling Co. tax violations2001ATTTB$1,000,000
Manulife Financial CorporationManulife Financialfinancial servicesinvestor protection violation2004DOJ_ANTITRUST$1,000,000
SafeNet, Inc. accounting fraud or deficiencies2009SEC$1,000,000
Regions BankRegions Financialfinancial servicesinvestor protection violation2009SEC$1,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2009SEC$1,000,000
Fidelity Brokerage Services, LLCFidelity Investmentsfinancial servicesinvestor protection violation2004SEC$1,000,000
Measurement Specialties, Inc. accounting fraud or deficiencies2004SEC$1,000,000
Security Trust Company, N.A. investor protection violation2004SEC$1,000,000
Schering-Plough CorporationMerckpharmaceuticalsinvestor protection violation2003SEC$1,000,000
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2003SEC$1,000,000
Rhino Advisors Inc. investor protection violation2003SEC$1,000,000
ICN Pharmaceuticals, Inc.Bausch Healthpharmaceuticalsaccounting fraud or deficiencies2002SEC$1,000,000
Tonkawa Tribe anti-money-laundering deficiencies2006FINCEN$1,000,000
Orrstown Financial Services, Inc. accounting fraud or deficiencies2016SEC$1,000,000
Lime Energy Co. accounting fraud or deficiencies2016SEC$1,000,000
General MotorsGeneral Motorsmotor vehiclesaccounting fraud or deficiencies2017SEC$1,000,000
Merchants Bank of California, National Association banking violation2017OCC$1,000,000
First Tennessee Bank National AssociationFirst Horizon Nationalfinancial servicesbanking violation2017OCC$1,000,000
Lone Star National Bank anti-money-laundering deficiencies2017FINCEN$1,000,000
American Life, Inc. investor protection violation2016SEC$1,000,000
Pipeline Trading Systems LLC investor protection violation2011SEC$1,000,000
Chardan Capital Markets LLC anti-money-laundering deficiencies2018SEC$1,000,000
Advanced Drainage Systems, Inc.Advanced Drainage Systemsbuilding materialsinvestor protection violation2018SEC$1,000,000
Farmers Tobacco Co. of Cynthiana Inc. tax violations2018ATTTB$1,000,000
TD Options LLCToronto-Dominion Bankfinancial servicesinvestor protection violation2009SEC$1,000,000
Voya Financial Advisors Inc.Voya Financialfinancial servicesinvestor protection violation2018SEC$1,000,000
Putnam Investment Management, LLCFranklin Resourcesfinancial servicesinvestor protection violation2018SEC$1,000,000
IFMG Securities, Inc. investor protection violation2006SEC$1,000,000
Legg Mason Wood Walker, IncorporatedFranklin Resourcesfinancial servicesinvestor protection violation2005SEC$1,000,000
Donaldson, Lufkin & Jenrette Securities Corp.UBSfinancial servicesinvestor protection violation2004SEC$1,000,000
Capstone Advisory Group LLC bankruptcy professional violation2013DOJ_UTP$1,000,000
Aldus Equity investor protection violation2010NY-AG$1,000,000
DAV/Wetherly Financial investor protection violation2010NY-AG$1,000,000
Edge Trading, LLC investor protection violation2017NJ-AG$1,000,000
Northern Trust CompanyNorthern Trustfinancial servicesinvestor protection violation2019CFTC$1,000,000
World's Foremost BankBass Proretailingbanking violation2014FDIC$1,000,000
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2017PCAOB$1,000,000
KAP Purwantono, Sungkoro & Surja accounting fraud or deficiencies2017PCAOB$1,000,000
Deloitte & Touche LLPDeloittebusiness servicesaccounting fraud or deficiencies2007PCAOB$1,000,000
Bank of San Juan Internacional, Inc. banking violation2020USAO$1,000,000
Goldman Sachs & Co. LLCGoldman Sachsfinancial servicesinvestor protection violation2019CFTC$1,000,000
Propex Derivatives Pty Ltd investor protection violation2020DOJ_CRIMINAL$1,000,000
Quantum CorporationQuantum Corp.electrical and electronic equipmentinvestor protection violation2019SEC$1,000,000
Ares Management LLCAres Managementprivate equity (including portfolio companies)investor protection violation2020SEC$1,000,000
Old Ironsides Energy, LLC investor protection violation2020SEC$1,000,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2005AZ-CC$1,000,000
Cogar Financial Services, Inc. investor protection violation2008CA-DFPI$1,000,000
Resilient Partners, LLC investor protection violation2009CT-SEC$1,000,000
Young Oil Corp. et al. investor protection violation2017KY-FIN$1,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2017MA-SEC$1,000,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2017MA-SEC$1,000,000
MetLife, Inc.MetLifefinancial servicesinvestor protection violation2018MA-SEC$1,000,000
Diversified Marketing Consultants, Inc. et al. investor protection violation2012MD-SEC$1,000,000
New Haven Capital Holdings, L.L.C. investor protection violation2014MI-SEC$1,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2011NH-BSR$1,000,000
Access Capital Education & Services Co. Inc. et al. investor protection violation2015NJ-BOS$1,000,000
Continental Stock Transfer and Trust Company banking violation2001NY-DFS$1,000,000
Hobo Prince Economic Project, LLC et al. investor protection violation2012OR-FIN$1,000,000
Prosper Marketplace, Inc.Prosper Marketplacefinancial servicesinvestor protection violation2008MULTI-FIN$1,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.