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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
Charles Schwab & Co., Inc.Charles Schwab Corp.financial servicesinvestor protection violation2004SEC$350,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2017CFTC$350,000
Putnam Investment Management, LLCFranklin Resourcesfinancial servicesinvestor protection violation2007SEC$350,000
INET ATS, Inc. investor protection violation2006SEC$350,000
Brewers Distributing Company tax violations2019ATTTB$350,000
Eagle Market Makers, Inc. investor protection violation2019CFTC$350,000
Federal Diamond Corp. tax violations2004NY-MANDA$350,000
Deloitte Anjin LLCDeloittebusiness servicesaccounting fraud or deficiencies2019PCAOB$350,000
Deloitte LLPDeloittebusiness servicesaccounting fraud or deficiencies2018PCAOB$350,000
Stern Beverage, Inc. tax violations2019ATTTB$350,000
Managers Distributors, Inc. investor protection violation2008CT-SEC$350,000
Rialto Capital Management, LLC investor protection violation2020SEC$350,000
CIBC World Markets Corp.Canadian Imperial Bank of Commercefinancial servicesinvestor protection violation2008FINRA$350,000
Cetera Financial Specialists LLC investor protection violation2016FINRA$350,000
Atlas One Financial Group, LLC anti-money-laundering deficiencies2013FINRA$350,000
National Financial Services investor protection violation2010FINRA$350,000
Legent Clearing, LLC anti-money-laundering deficiencies2009FINRA$350,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2006FINRA$350,000
Sanford C. Bernstein & Co.Equitable Holdingsfinancial servicesinvestor protection violation2006FINRA$350,000
NYLife Securities, Inc.New York Life Insurancefinancial servicesinvestor protection violation2004FINRA$350,000
WM Financial Services, Inc. investor protection violation2004FINRA$350,000
American Express Financial Advisors Inc.Ameriprise Financialfinancial servicesinvestor protection violation2002FINRA$350,000
First Union Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2000FINRA$350,000
Deloitte LLPDeloittebusiness servicesaccounting fraud or deficiencies2021PCAOB$350,000
WEX Inc.WEX Inc.financial servicesinvestor protection violation2021SEC$350,000
StartEngine Capital LLC investor protection violation2022FINRA$350,000
KPMG Samjong Accounting Corp.KPMGbusiness servicesaccounting fraud or deficiencies2022PCAOB$350,000
RSE Markets Inc. investor protection violation2023SEC$350,000
Malvern Bancorp, Inc. investor protection violation2023SEC$350,000
Park Street Imports, LLC tax violations2023ATTTB$350,000
Mass Ave Global Inc. investor protection violation2024SEC$350,000
Credito Privato Commerciale in liquidazione SA tax violations2015DOJ_TAX$348,900
American Steamship Owners Mutual Protection and Indemnity Association, Inc. economic sanction violation2013OFAC$348,000
PHX Financial, Inc. investor protection violation2024SEC$347,988
Comerica SecuritiesComericafinancial servicesinvestor protection violation2015FINRA$347,757
Microsoft CorporationMicrosoftinformation technologyeconomic sanction violation2023BIS$347,631
Celebrity Resorts and Casinos, Inc. investor protection violation2004SEC$347,250
National Trust and Fiduciary Services Company, Inc. investor protection violation2023SEC$346,799
Communications and Power Industries LLC economic sanction violation2013OFAC$346,530
North East Capital, LLC investor protection violation2013SEC$346,132
Oaktree Capital Management, LLCBrookfield Corporationdiversifiedinvestor protection violation2005SEC$345,701
Finance 500, Inc. investor protection violation2008SEC$345,499
Atradius Trade Credit Insurance, Inc. economic sanction violation2019OFAC$345,315
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2006MT-FIN$345,000
Montgomery Street Research, LLC investor protection violation2015SEC$342,718
Silversage Advisors investor protection violation2019SEC$342,062
First New York Securities L.L.C. investor protection violation2009FINRA$341,000
Hilltop Securities Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2021SEC$340,193
Trans Global Investments, LLC investor protection violation2013CFTC$340,000
Infinity Futures LLC investor protection violation2012CFTC$340,000
Health Net Inc.Centenehealthcare servicesinvestor protection violation2016SEC$340,000
BlackRock Inc.BlackRockfinancial servicesinvestor protection violation2017SEC$340,000
VBIT Technologies Corp et al. investor protection violation2023MT-FIN$338,507
United Industrial Corporation investor protection violation2009SEC$337,679
Morgan Stanley DW IncMorgan Stanleyfinancial servicesinvestor protection violation2004FINRA$336,510
Cornerstone Capital Management, Inc.? investor protection violation2009SEC$335,758
Ironbird Capital LLC investor protection violation2014SEC$335,435
Blackstone Wealth Solutions LLC investor protection violation2023CT-SEC$335,000
Richemont North America Inc. dba Cartier economic sanction violation2017OFAC$334,800
Feltl Advisors, LLC investor protection violation2021SEC$333,971
Nemdigelt Corp. tax violations2012MA-AG$333,724
BMA Securities, LLC investor protection violation2020SEC$333,537
Godfrey Phillips India Limited economic sanction violation2023OFAC$332,500
Palmyra Capital Advisors LLC, investor protection violation2010SEC$330,000
CapSource, Inc. investor protection violation2019MI-SEC$330,000
Garrison Investment Group LP investor protection violation2022SEC$330,000
FSG Fundraising, LLC investor protection violation2016MO-SEC$329,685
TPG Advisors LLC investor protection violation2016SEC$328,437
Michigan Advisors Inc. investor protection violation2019SEC$327,976
War Chest Capital Partners investor protection violation2013SEC$327,569
Aulson Company Inc. tax violations2012MA-AG$327,566
Catalyst Capital Advisors LLC investor protection violation2024SEC$327,226
ClearPoint Capital Management, LLC investor protection violation2016AL-SEC$327,026
D-Val, LLC and D-Val Construction & Real Estate Investments investor protection violation2008AR-SEC$326,000
ExpediaExpedia Groupmiscellaneous serviceseconomic sanction violation2019OFAC$325,406
Merrill Lynch, Pierce and Fenner & Smith, IncorporatedBank of Americafinancial servicesinvestor protection violation2020SEC$325,376
Prime Time Group Inc. investor protection violation2010SEC$325,000
Commercial Hedge Services, Inc. investor protection violation2007CFTC$325,000
Elgin Beverage Co. tax violations2018ATTTB$325,000
NORTHWEST SAVINGS BANK banking violation2011FDIC$325,000
Baggy Stuff, Inc. investor protection violation2000FL-OFR$325,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2020KY-FIN$325,000
State Street Bank and Trust CompanyState Street Corp.financial servicesinvestor protection violation2018NH-BSR$325,000
NEXT Financial Group, IncAtria Wealth Solutionsfinancial servicesinvestor protection violation2019NH-BSR$325,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2014VT-FIN$325,000
Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2004WA-FIN$325,000
Hornor, Townsend & Kent, Inc. investor protection violation2005FINRA$325,000
Iowa Beverage Systems, Inc. tax violations2021ATTTB$325,000
Leaf Group Ltd. investor protection violation2022SEC$325,000
Wave Equity Partners LLC investor protection violation2022SEC$325,000
Integrated Advisors Network LLC investor protection violation2024SEC$325,000
Focused Wealth Management, Inc. investor protection violation2024SEC$325,000
First Horizon Advisors, Inc. investor protection violation2024SEC$325,000
Kaufman Hall & Associates LLC investor protection violation2024SEC$324,000
Lougel Fadio LLC Mining COmpany (SL), Limited investor protection violation2019MS-SEC$322,461
Aala Produce Inc. tax violations2019ATTTB$322,374
Securities America, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2007FINRA$322,000
Oxbow Advisors, LLC investor protection violation2020SEC$321,958
Cadence BankCadence Bankfinancial servicesbanking violation2022FDIC$320,500
Verizon Service Corp. and Verizon New EnglandVerizon Communicationstelecommunicationstax violations2012MA-AG$317,909
Heartland Resources, Inc. investor protection violation2008IN-SEC$317,700
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.