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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
One World Capital Group investor protection violation2010CFTC$520,000
Blue Sky Blue Sea, Inc. dba American Export Lines and International Shipping Company (USA) economic sanction violation2017OFAC$518,063
Upright Financial Corp. investor protection violation2021SEC$517,209
Civitas Therapeutics tax violations2020ATTTB$516,636
Toronto-Dominion BankToronto-Dominion Bankfinancial serviceseconomic sanction violation2017OFAC$516,105
Cadaret, Grant & Co. Inc.Atria Wealth Solutionsfinancial servicesinvestor protection violation2018SEC$513,194
Eagle Imports, Inc. tax violations2009ATTTB$510,000
H&M Petroleum Corporation and American Energy Resources Corporation investor protection violation2008SEC$510,000
Daedalus Capital, LLC investor protection violation2015IL-SEC$509,553
BitPay, Inc. economic sanction violation2021OFAC$507,375
ZAG IP, LLC economic sanction violation2019OFAC$506,250
Regeneron Pharmaceuticals, Inc.Regeneron Pharmaceuticalspharmaceuticalstax violations2014ATTTB$506,035
Tracking Point Inc. tax violations2018ATTTB$506,000
Arizona Acquisitions Group LLC investor protection violation2021AZ-CC$505,900
Ubiquiti Networks, Inc. economic sanction violation2014OFAC$504,225
Pilar Investments LLC et al. investor protection violation2012HI-SEC$504,192
Semper Capital Management, L.P. investor protection violation2020SEC$503,228
Legacy Group, Inc. investor protection violation2021SEC$502,726
Flowserve CorporationFlowserveindustrial equipmenteconomic sanction violation2011OFAC$502,408
Royal Alliance Associates, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2020SEC$502,400
Telex Mobile Holdings, Inc. investor protection violation2018SEC$500,870
Royal Alliance Associates, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2009SEC$500,001
First National Community Bank banking violation2015OCC$500,000
Associated Bank, National AssociationAssociated Banc-Corpfinancial servicesbanking violation2014OCC$500,000
Old National BankOld National Bancorpfinancial servicesbanking violation2014OCC$500,000
Leodan Privatbank AG tax violations2016DOJ_TAX$500,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2015SEC$500,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2015SEC$500,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2015SEC$500,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2015SEC$500,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2015SEC$500,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2015SEC$500,000
Raymond James & Associates, Inc.Raymond James Financialfinancial servicesinvestor protection violation2015SEC$500,000
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2015SEC$500,000
Robert W. Baird & Co. Incorporated investor protection violation2015SEC$500,000
Stifel, Nicolaus & Company, Inc.Stifel Financialfinancial servicesinvestor protection violation2015SEC$500,000
Canadian Solar Inc. accounting fraud or deficiencies2014SEC$500,000
NIC Inc.Tyler Technologiesinformation technologyaccounting fraud or deficiencies2011SEC$500,000
Futures International LLC investor protection violation2015CFTC$500,000
Cargill de Mexico SA De CVCargillagribusinessinvestor protection violation2015CFTC$500,000
Multigrain SA and Agricola Xingu SA investor protection violation2014CFTC$500,000
Francis Grant Investments Inc. investor protection violation2011CFTC$500,000
Cyber Market Group LLC investor protection violation2011CFTC$500,000
Pinemore, L.P. (Pinemore) and Birchmore, L.P. investor protection violation2010CFTC$500,000
Merrill Lynch Investment Managers, LLC and Merrill Lynch Alternative Investments, LLCBank of Americafinancial servicesinvestor protection violation2007CFTC$500,000
Veras Investment Partners, LLC investor protection violation2005CFTC$500,000
Sogemin Metals Inc. investor protection violation2000CFTC$500,000
United Bank For Africa PLCUnited Bank for Africa plcfinancial servicesbanking violation2007OCC$500,000
Charter One Bank, National Association banking violation2005OCC$500,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2009SEC$500,000
UBS PaineWebber, Inc.UBSfinancial servicesinvestor protection violation2003SEC$500,000
Barclays Bank PLCBarclaysfinancial servicesinvestor protection violation2016CFTC$500,000
Park National CorporationPark National Corp.financial servicesaccounting fraud or deficiencies2016SEC$500,000
International Game TechnologyInternational Game Technologymiscellaneous manufacturingaccounting fraud or deficiencies2016SEC$500,000
HomeStreet IncHomeStreet Inc.financial servicesaccounting fraud or deficiencies2017SEC$500,000
Bethex Federal Credit Union anti-money-laundering deficiencies2016FINCEN$500,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2017CFTC$500,000
Advanced Emissions Solutions, Inc.Advanced Emissions Solutionsmiscellaneous energy products and systemsinvestor protection violation2017SEC$500,000
AssetMark, Inc. investor protection violation2016SEC$500,000
TD Securities (USA) LLCToronto-Dominion Bankfinancial servicesinvestor protection violation2016SEC$500,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2016SEC$500,000
Jefferies LLCJefferies Financial Groupdiversifiedinvestor protection violation2016SEC$500,000
D.A. Davidson & Co. investor protection violation2016SEC$500,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2016SEC$500,000
PNC Capital Markets LLCPNC Financial Servicesfinancial servicesinvestor protection violation2015SEC$500,000
Elbit Imaging Ltd. accounting fraud or deficiencies2018SEC$500,000
Flagstar Bank, FSBNew York Community Bancorpfinancial servicesbanking violation2016OCC$500,000
John Thomas Financial Inc. investor protection violation2013SEC$500,000
Rabobank N.A.Rabobankfinancial servicesanti-money-laundering deficiencies2018USAO$500,000
EnCap Investments L.P.Encap Investmentsprivate equity (including portfolio companies)investor protection violation2018SEC$500,000
Lyxor Asset Management, Inc. investor protection violation2018SEC$500,000
TD Ameritrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2018SEC$500,000
Ophrys, LLC investor protection violation2018SEC$500,000
Pax World Management Corp. investor protection violation2008SEC$500,000
E*Trade Clearing LLCMorgan Stanleyfinancial servicesinvestor protection violation2008SEC$500,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesinvestor protection violation2005SEC$500,000
Dean Witter Reynolds Inc.Morgan Stanleyfinancial servicesinvestor protection violation2002SEC$500,000
RBC Dain Rauscher IncorporatedRoyal Bank of Canadafinancial servicesinvestor protection violation2002SEC$500,000
Deutsche Bank Trust Company AmericasDeutsche Bankfinancial servicesinvestor protection violation2019SEC$500,000
Allianz Life Insurance Company of North AmericaAllianzfinancial servicesinvestor protection violation2007MN-AG$500,000
Essex Futures investor protection violation2019CFTC$500,000
Girvin & Ferlazzo, P.C. investor protection violation2008NY-AG$500,000
Latam Games, LLC investor protection violation2019USAO$500,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2002DE-AG$500,000
Patricia Lynch Associates, Inc. investor protection violation2010NY-AG$500,000
Platinum Advisors investor protection violation2010NY-AG$500,000
Mitsubishi Corporation RtM Japan Ltd.Mitsubishi Corporationdiversifiedinvestor protection violation2019CFTC$500,000
CHS, Inc.CHS Inc.agribusinessinvestor protection violation2019CFTC$500,000
Bank of Louisiana banking violation2016FDIC$500,000
United Nations Federal Credit Union economic sanction violation2010OFAC$500,000
UQM Technologies, Inc.Danfossindustrial equipmentinvestor protection violation2019SEC$500,000
Deloitte Touche Tohmatsu Certified Public Accountants LimitedDeloittebusiness servicesaccounting fraud or deficiencies2015SEC$500,000
Ernst & Young Hua Ming LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2015SEC$500,000
KPMG HuazhenKPMGbusiness servicesaccounting fraud or deficiencies2015SEC$500,000
PricewaterhouseCoopers Zhong Tian CPAs Limited CompanyPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2015SEC$500,000
Alpha Technologies Inc. tax violations2004USAO$500,000
Deloitte & Touche LLPDeloittebusiness servicesaccounting fraud or deficiencies2018PCAOB$500,000
Enigma MPC investor protection violation2020SEC$500,000
Hill International, Inc. accounting fraud or deficiencies2020SEC$500,000
Bank of Louisiana banking violation2020FDIC$500,000
Royal Alliance Associates, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2007CT-SEC$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.