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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
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2003SEC$125,000,000
MoneyGram International Inc.Madison Dearborn Partnersprivate equity (including portfolio companies)anti-money-laundering deficiencies2018DOJ_CRIMINAL$125,000,000
AIM AdvisorsInvescofinancial servicesinvestor protection violation2004MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $125,000,000
Canadian Imperial Bank of CommerceCanadian Imperial Bank of Commercefinancial servicesinvestor protection violation2005NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $125,000,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $125,000,000
Royal Bank of ScotlandNatWest Group PLCfinancial servicestoxic securities abuses2017CA-AG$125,000,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $125,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2021SEC$125,000,000
Nikola CorporationNikola Corporationmotor vehiclesinvestor protection violation2021SEC$125,000,000
Bank of America NABank of Americafinancial servicesbanking violation2022OCC$125,000,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2022SEC$125,000,000
BofA Securities Inc. and Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2022SEC$125,000,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2022SEC$125,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2022SEC$125,000,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2022SEC$125,000,000
Goldman Sachs & Co. LLCGoldman Sachsfinancial servicesinvestor protection violation2022SEC$125,000,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2022SEC$125,000,000
UBS Securities LLC and UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2022SEC$125,000,000
Wells Fargo Securities, LLC et al.Wells Fargofinancial servicesinvestor protection violation2023SEC$125,000,000
Toronto-Dominion BankToronto-Dominion Bankfinancial servicesanti-money-laundering deficiencies2024FED$123,500,000
Ernst & Young LLPErnst & Youngbusiness servicestax violations2013USAO$123,000,000
Premium Income Corp. investor protection violation2007CFTC$123,000,000
Tai Mo Shan Limited investor protection violation2024SEC$123,000,000
Banque Pictet et Cie SA tax violations2023DOJ_TAX$122,900,000
Societe GeneraleSociete Generalefinancial servicestoxic securities abuses2014FHFA$122,000,000
Millennium Partners investor protection violation2005NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $121,400,000
Credit Suisse Securities (USA)UBSfinancial servicestoxic securities abuses2012SEC$120,000,000
Royal Dutch Petroleum CompanyShell PLCoil and gasaccounting fraud or deficiencies2004SEC$120,000,000
RBS Securities, Inc.NatWest Group PLCfinancial servicestoxic securities abuses2016CT-AG$120,000,000
Charles Schwab Investment Management and Charles Schwab & Co., Inc.Charles Schwab Corp.financial servicesinvestor protection violation2011SEC$118,000,000
UBSUBSfinancial servicesinvestor protection violation2010MI-AG$117,000,000
CompuCredit CorporationAtlanticus Holdingsfinancial servicesbanking violation2008FDIC$116,400,000
PNC ICLC Corp.PNC Financial Servicesfinancial servicesaccounting fraud or deficiencies2003DOJ_CRIMINAL$115,000,000
Strong Capital Management Co.Wells Fargofinancial servicesinvestor protection violation2004MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $115,000,000
Standard Chartered BankStandard Charteredfinancial serviceseconomic sanction violation2012NY-MANDA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $113,500,000
U.S. Pension Trust Corp. and U.S. College Trust Corp.U.S. Pension Trust Corp.financial servicesinvestor protection violation2010SEC$112,600,000
Enron Corp. accounting fraud or deficiencies2005CT-AG$111,200,000
BTC-E a/k/a Canton Business Corporation anti-money-laundering deficiencies2017FINCEN$110,003,314
Wachovia BankWells Fargofinancial servicesanti-money-laundering deficiencies2010FINCEN$110,000,000
First Horizon National CorporationFirst Horizon Nationalfinancial servicestoxic securities abuses2014FHFA$110,000,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2003SEC$110,000,000
Goldman SachsGoldman Sachsfinancial servicesinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $110,000,000
Ernst & YoungErnst & Youngbusiness servicesaccounting fraud or deficiencies2009MI-AG$109,000,000
Hunter Wise investor protection violation2014CFTC$108,000,000
ConvergEx GroupToronto-Dominion Bankfinancial servicesinvestor protection violation2013SEC$107,424,429
TLC Investments & Trade Co. investor protection violation2001SEC$106,600,000
Highrise Advantage, LLC. investor protection violation2023CFTC$102,234,376
Lebanese Canadian Bank anti-money-laundering deficiencies2013USAO$102,000,000
Chevron Oil Co.Chevronoil and gastax violations2004LA-AG$102,000,000
Morgan Stanley & Co.Morgan Stanleyfinancial servicestoxic securities abuses2010MA-AG$102,000,000
Ambac Financial Group et al.Ambac Financialfinancial servicestoxic securities abuses2013USAO$101,900,000
Citigroup, Inc.Citigroupfinancial servicesaccounting fraud or deficiencies2003SEC$101,000,000
Credit Suisse AGUBSfinancial servicesbanking violation2014FED$100,000,000
STANDARD CHARTERED PLCStandard Charteredfinancial servicesbanking violation2012FED$100,000,000
MoneyGram International Inc.Madison Dearborn Partnersprivate equity (including portfolio companies)anti-money-laundering deficiencies2012DOJ_CRIMINAL$100,000,000
JPMorgan Chase BankJPMorgan Chasefinancial servicesinvestor protection violation2015CFTC$100,000,000
JPMorgan ChaseJPMorgan Chasefinancial servicesinvestor protection violation2013CFTC$100,000,000
Dell Inc.Dell Technologieselectrical and electronic equipmentaccounting fraud or deficiencies2010SEC$100,000,000
Wells Fargo BankWells Fargofinancial servicesbanking violation2016CFPB$100,000,000
International Financial Services (New York) LLC investor protection violation2004CFTC$100,000,000
UBS AGUBSfinancial serviceseconomic sanction violation2004FED$100,000,000
HealthSouth CorporationEncompass Healthhealthcare servicesaccounting fraud or deficiencies2005SEC$100,000,000
Janus Capital Management LLCJanus Hendersonfinancial servicesinvestor protection violation2004SEC$100,000,000
Credit Suisse First Boston CorporationUBSfinancial servicesinvestor protection violation2002SEC$100,000,000
Capital One Bank (USA), National AssociationCapital One Financialfinancial servicesanti-money-laundering deficiencies2018OCC$100,000,000
Facebook Inc.Meta Platforms Inc.information technologyinvestor protection violation2019SEC$100,000,000
Federated Investors, Inc.Federated Hermesfinancial servicesinvestor protection violation2005NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $100,000,000
MCIVerizon Communicationstelecommunicationstax violations2005MS-AG$100,000,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2002NY-AG$100,000,000
Merrill Lynch & Co. Inc.Bank of Americafinancial servicesinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $100,000,000
Pilgrim Baxter & Associates, Ltd. investor protection violation2004NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $100,000,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2010MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $100,000,000
Morgan Keegan & CompanyRaymond James Financialfinancial servicestoxic securities abuses2013MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $100,000,000
HDR Global Trading Limited et al. anti-money-laundering deficiencies2021FINCEN$100,000,000
Mashreqbank, PSC economic sanction violation2021NY-DFS$100,000,000
Ernst & Young LLPErnst & Youngbusiness servicesinvestor protection violation2022SEC$100,000,000
Bank of AmericaBank of Americafinancial servicesbanking violation2022CFPB$100,000,000
Bank of AmericaBank of Americafinancial servicesinvestor protection violation2022CFTC$100,000,000
Coinbase Inc.Coinbase Global Inc.financial servicesanti-money-laundering deficiencies2023NY-DFS$100,000,000
FirstEnergy Corp.FirstEnergyutilities and power generationinvestor protection violation2024SEC$100,000,000
Bank Lombard Odier & Co Ltd tax violations2015DOJ_TAX$99,809,000
RBS Securities Inc.NatWest Group PLCfinancial servicestoxic securities abuses2014FHFA$99,500,000
Credit Agricole (Suisse) SACredit Agricolefinancial servicestax violations2015DOJ_TAX$99,211,000
Pentagon Capital Management investor protection violation2012SEC$98,600,000
Zurcher Kantonalbank tax violations2018USAO$98,500,000
JPMorgan Chase & Co.JPMorgan Chasefinancial servicesbanking violation2024FED$98,200,000
United Parcel ServiceUnited Parcel Servicefreight and logisticstax violations2019NY-NYCCC$98,000,000
LLC Wholesale Supply LLC money laundering2022USAO$98,000,000
AEGON USA Investment Management LLC et al.Aegonfinancial servicesinvestor protection violation2018SEC$97,600,000
Banamex USACitigroupfinancial servicesanti-money-laundering deficiencies2017DOJ_CRIMINAL$97,440,000
Barclays CapitalBarclaysfinancial servicesinvestor protection violation2017SEC$97,037,659
TIAA-CREF Individual & Institutional Services LLCTIAAfinancial servicesaccounting fraud or deficiencies2021SEC$97,000,000
Deutsche BankDeutsche Bankfinancial servicestax violations2017USAO$95,000,000
Deutsche BankDeutsche Bankfinancial servicestoxic securities abuses2017MD-AG$95,000,000
Western Union Financial Services, Inc.Western Unionfinancial servicesanti-money-laundering deficiencies2010MULTI-AG$94,000,000
Sallie Mae BankSLM Corp.financial servicesbanking violation2014FDIC$93,300,000
Commonwealth Equity Services, LLC d/b/a Commonwealth Financial Network investor protection violation2024SEC$93,274,068
Freepoint Commodities LLC investor protection violation2023CFTC$91,000,000
Credit Agricole S.A.Credit Agricolefinancial serviceseconomic sanction violation2015FED$90,300,000
Pilgrim Baxter & Associates, Ltd. investor protection violation2004SEC$90,000,000
Credit Suisse AGUBSfinancial servicesaccounting fraud or deficiencies2016SEC$90,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.