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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
Heartland Resources, Inc. investor protection violation2008IN-SEC$317,700
Mid-America Energy, Inc. investor protection violation2008MT-FIN$317,513
EMS Capital LP investor protection violation2019SEC$317,415
Man Financial Inc. investor protection violation2007CFTC$316,900
Motors de Amigos, Inc. and Rock'N R Car Company Enterprises, Inc. investor protection violation2008AZ-CC$315,150
John Middleton Co.Altriatobaccotax violations2010ATTTB$315,000
Newport Private Capital LLC investor protection violation2018CFTC$315,000
Porta Office Cyber Cafe, LLC and Morgan Communications, Inc. investor protection violation2008MD-SEC$315,000
Rodman & Renshaw LLC investor protection violation2012FINRA$315,000
City National Securities investor protection violation2008FINRA$315,000
Transportation Alliance Bank, Inc. d/b/a TAB Bank banking violation2023FDIC$315,000
Central Missouri Energy, LLC investor protection violation2016MO-SEC$314,940
Wisdom, Inc. investor protection violation2008MS-SEC$314,500
Deighan Law LLC dba UpRight Law bankruptcy professional violation2021DOJ_UTP$314,079
Progressive Energy Partners, L.L.C. et al. investor protection violation2010AZ-CC$312,721
Chelsea Financial Services investor protection violation2013MT-FIN$312,524
TransUnionTransUnionmiscellaneous servicesinvestor protection violation2024SEC$312,000
Global Tobacco LLC tax violations2014ATTTB$311,881
Wilson-Davis & Company, Inc. investor protection violation2017SEC$310,713
EB Financial Group, LLC investor protection violation2012SEC$310,499
Rosenthal Collins Group, LLC investor protection violation2008CFTC$310,000
Heritage Corner, Ltd. And Heritage Funding Group, Inc. investor protection violation2011AR-SEC$310,000
Unikrn Inc. investor protection violation2020WA-SEC$310,000
Rimar Capital USA, Inc. et al. investor protection violation2024SEC$310,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2009DE-AG$309,000
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2009DE-AG$309,000
Freedom Ridge Partners, LLC investor protection violation2012MO-SEC$308,999
BFC Planning, Inc. investor protection violation2021SEC$305,811
Everhart Financial Group, Inc. investor protection violation2016SEC$305,407
Calton & Associates, Inc. investor protection violation2019SEC$305,044
Joseph Stone Capital, LLC investor protection violation2021NH-BSR$305,000
Fifth Generation, Inc. tax violations2022ATTTB$305,000
Halliburton Atlantic LimitedHalliburtonoilfield services and supplieseconomic sanction violation2016OFAC$304,706
Sunset Financial Group Inc. et al. investor protection violation2004OK-SEC$304,664
Ireland & Sando, LLC investor protection violation2024ND-SEC$304,420
McDermott Investment Advisors, LLC investor protection violation2022SEC$304,262
Indaba Capital Management investor protection violation2014SEC$304,185
FIRST BANK OF DELAWARE banking violation2008FDIC$304,000
First Bank of Delaware banking violation2008FDIC$304,000
Mortgage Underwriters, LLC investor protection violation2003ID-SEC$304,000
William Grant & Sons, Inc.William Grant & Sons Ltd.beveragestax violations2024ATTTB$303,815
Ore Diversified, LLC investor protection violation2009IN-SEC$303,650
Bluefin Trading, LLC investor protection violation2019SEC$303,638
Prosperity Investors Group investor protection violation2001AZ-CC$303,000
Cetera Advisor Networks LLC investor protection violation2015FINRA$301,108
Monterey Bay Securities, Inc. investor protection violation2008CA-DFPI$300,231
North Dade Community Development Federal Credit Union anti-money-laundering deficiencies2014FINCEN$300,000
Garsh Lending LLC banking violation2011DOJ_CIVIL$300,000
UBS Global Asset ManagementUBSfinancial servicesinvestor protection violation2012SEC$300,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2015CFTC$300,000
Anheuser-Busch LLCAnheuser-Busch InBevbeveragestax violations2016ATTTB$300,000
Pernod Ricard USA, LLCPernod Ricardbeveragestax violations2011ATTTB$300,000
Albert Fried & Company anti-money-laundering deficiencies2016SEC$300,000
Wall Street Capital Funding LLC investor protection violation2011SEC$300,000
Velocity Futures, LLC investor protection violation2013CFTC$300,000
R.J. O'Brien & Associates, LLC investor protection violation2013CFTC$300,000
F&F Equipment tax violations2007ATTTB$300,000
C. Mondavi and Sons dba Charles Krug Winery tax violations2000ATTTB$300,000
J.P. Morgan Futures, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2009CFTC$300,000
The Globus Group investor protection violation2001SEC$300,000
Copersucar Trading A.V.V. investor protection violation2017CFTC$300,000
Petroforce Energy, LLC investor protection violation2017SEC$300,000
Arab Global Commodities DMCC investor protection violation2017CFTC$300,000
Potomac Asset Management Company, Inc investor protection violation2017SEC$300,000
Stifel, Nicolaus & Company, IncorporatedStifel Financialfinancial servicesinvestor protection violation2017SEC$300,000
Lone Star Value Management and Heartland Advisors investor protection violation2017SEC$300,000
Jeffrey Slocum & Associates, Inc. investor protection violation2017SEC$300,000
Riverfront Investment Group, LLC investor protection violation2016SEC$300,000
Structured Portfolio Management, L.L.C., SPM Jr., L.L.C., and SPM IV, L.L.C. investor protection violation2014SEC$300,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2013SEC$300,000
Institutional Shareholder Services Inc.Genstar Capitalprivate equity (including portfolio companies)investor protection violation2013SEC$300,000
Bayes Capital, LLC investor protection violation2018SEC$300,000
Equity Services, Inc. investor protection violation2009SEC$300,000
INTECH Investment Management LLC investor protection violation2009SEC$300,000
Global Asset Advisors LLC d/b/a Daniels Trading investor protection violation2018CFTC$300,000
Honouround (HK) International Trade Co. Ltd.? investor protection violation2018CFTC$300,000
Holthouse Carlin & Van Trigt LLP? investor protection violation2018SEC$300,000
Financial Design Associates, Inc. investor protection violation2007SEC$300,000
Republic Bank & Trust CompanyRepublic Bancorpfinancial servicesbanking violation2018FDIC$300,000
Pinnacle Accountancy Group, PLLC accounting fraud or deficiencies2019SEC$300,000
Wilson-Davis & Co., Inc. investor protection violation2019SEC$300,000
Merrill LynchBank of Americafinancial servicestoxic securities abuses2009MA-AG$300,000
Willie's Distillery, Inc. tax violations2019ATTTB$300,000
PNC Bank, National AssociationPNC Financial Servicesfinancial servicesinvestor protection violation2019CFTC$300,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2019CFTC$300,000
WEBBANK banking violation2010FDIC$300,000
Mid Atlantic Financial Management, Inc. investor protection violation2019SEC$300,000
BrixInvest, LLC investor protection violation2019SEC$300,000
Take-Two Interactive Software, Inc.Take-Two Interactive Software Inc.entertainmenttax violations2009NY-MANDA$300,000
Deloitte Accountants B.V.Deloittebusiness servicesaccounting fraud or deficiencies2016PCAOB$300,000
Mid America Energy, Inc. et al. investor protection violation2007AZ-CC$300,000
Key Resource Group, LLC and Key Gas Corp. and Key Gas Holding, LLC investor protection violation2007CO-SEC$300,000
Lion Equity Investment Advisors investor protection violation2017CO-SEC$300,000
Crystal Sky Enterprises, LLC investor protection violation2007CT-SEC$300,000
Tower Square Securities, Inc. investor protection violation2007CT-SEC$300,000
ARO Equity, LLC investor protection violation2020CT-SEC$300,000
LPL Financial Corp.LPL Financialfinancial servicesinvestor protection violation2010IL-SEC$300,000
Commonwealth Financial Network investor protection violation2013MA-SEC$300,000
Everen Securities, Inc. and First Union Securities, Inc. investor protection violation2005MO-SEC$300,000
Liberty Bank of New York anti-money-laundering deficiencies2006NY-DFS$300,000
Yucatan Resorts dba Avalon Resorts investor protection violation2008OR-FIN$300,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.