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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
USAA Federal Savings BankUSAAfinancial servicesanti-money-laundering deficiencies2022OCC$60,000,000
BNP Paribas (Suisse) SABNP Paribasfinancial servicestax violations2015DOJ_TAX$59,783,000
Fleet Specialist, Inc. investor protection violation2004SEC$59,097,469
Deutsche Bank AGDeutsche Bankfinancial serviceseconomic sanction violation2015FED$58,000,000
Standard & Poor's Ratings ServicesS&P Globalinformation technologytoxic securities abuses2015SEC$58,000,000
Van der Moolen Specialists USA, LLC investor protection violation2004SEC$57,675,104
MXBK Group S.A. de C.V. and MBFX S.A. investor protection violation2013CFTC$57,000,000
Red Rock Secured, LLC investor protection violation2024CFTC$56,334,313
Vale S.A.Vale S.A.mining and mineralsaccounting fraud or deficiencies2023SEC$55,900,000
Focus Media Holding Limited investor protection violation2015SEC$55,600,000
Deutsche Bank AGDeutsche Bankfinancial servicesinvestor protection violation2015SEC$55,000,000
American Express Bank InternationalAmerican Expressfinancial servicesanti-money-laundering deficiencies2007DOJ_CRIMINAL$55,000,000
Hartford Financial Services Group, Inc.Hartford Financial Servicesfinancial servicesinvestor protection violation2006SEC$55,000,000
Putnam Investment Management LLCFranklin Resourcesfinancial servicesinvestor protection violation2004SEC$55,000,000
Trafigura Trading LLCTrafigurafinancial servicesinvestor protection violation2024CFTC$55,000,000
Goldman Sachs Group, Inc.Goldman Sachsfinancial servicesinvestor protection violation2018FED$54,750,000
Osiris Fund Limited Partnership and Osiris Partners, LLC investor protection violation2014NJ-BOS$54,600,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2016SEC$54,300,000
Bank of New York MellonBank of New York Mellonfinancial servicesinvestor protection violation2018SEC$54,000,000
Societe Generale S.A.Societe Generalefinancial serviceseconomic sanction violation2018OFAC$53,966,916
Oasis International Group et al. investor protection violation2023CFTC$53,270,336
WachoviaWells Fargofinancial servicestoxic securities abuses2015NCUA$53,000,000
AR Capital LLC investor protection violation2019SEC$53,000,000
Apollo Global ManagementApollo Global Managementprivate equity (including portfolio companies)investor protection violation2016SEC$52,700,000
Ally Financial Inc.Ally Financialfinancial servicestoxic securities abuses2016USAO$52,000,000
RBS Financial Products Inc.NatWest Group PLCfinancial servicestoxic securities abuses2011MA-AG$52,000,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesbanking violation2014OCC$51,900,000
America Modern Green Senior (Houston) LLC, America Modern Green Community (Houston) LLC, and America Modern Green Residential (Houston) LLC investor protection violation2018SEC$51,400,000
Industrial Bank of KoreaIndustrial Bank of Koreafinancial servicesanti-money-laundering deficiencies2020USAO$51,000,000
Credit SuisseUBSfinancial servicestoxic securities abuses2016NCUA$50,300,000
Golden California Regional Center, LLC investor protection violation2019SEC$50,295,232
Wachovia Bank N.A.Wells Fargofinancial servicesbanking violation2010OCC$50,000,000
THE ROYAL BANK OF SCOTLAND GROUP PLCNatWest Group PLCfinancial servicesbanking violation2013FED$50,000,000
JPMorgan Chase Bank N.A.JPMorgan Chasefinancial servicesbankruptcy professional violation2015DOJ_UTP$50,000,000
UBS SecuritiesUBSfinancial servicestoxic securities abuses2013SEC$50,000,000
BDO USA, LLPBDO Internationalbusiness servicestax violations2012USAO$50,000,000
Williams Power Company Inc.JPMorgan Chasefinancial servicesinvestor protection violation2006DOJ_CRIMINAL$50,000,000
General Electric CompanyGeneral Electricdiversifiedaccounting fraud or deficiencies2009SEC$50,000,000
Federal Home Loan Mortgage Corporation (Freddie Mac)Freddie Mac (Federal Home Loan Mortgage Corporation)financial servicesinvestor protection violation2007SEC$50,000,000
MBIA Inc.MBIAfinancial servicesaccounting fraud or deficiencies2007SEC$50,000,000
Tyco International Ltd.Johnson Controlsautomotive partsaccounting fraud or deficiencies2006SEC$50,000,000
McAfee, Inc.Advent Internationalprivate equity (including portfolio companies)accounting fraud or deficiencies2006SEC$50,000,000
Deloitte & Touche LLPDeloittebusiness servicesaccounting fraud or deficiencies2005SEC$50,000,000
AIM Advisors, Inc. and AIM Distributors, Inc.Invescofinancial servicesinvestor protection violation2004SEC$50,000,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLCAllianzfinancial servicesinvestor protection violation2004SEC$50,000,000
Franklin Advisers, Inc.Franklin Resourcesfinancial servicesinvestor protection violation2004SEC$50,000,000
Banc One Investment Advisors CorporationJPMorgan Chasefinancial servicesinvestor protection violation2004SEC$50,000,000
Massachusetts Financial Services CompanySun Life Financialfinancial servicesinvestor protection violation2004SEC$50,000,000
Vivendi Universal, S.A.Comcasttelecommunicationsaccounting fraud or deficiencies2003SEC$50,000,000
Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2003SEC$50,000,000
Societe Generale S.A.Societe Generalefinancial servicestoxic securities abuses2017USAO$50,000,000
Wachovia Bank N.A.Wells Fargofinancial servicesanti-money-laundering deficiencies2010USAO$50,000,000
Rabobank, National AssociationRabobankfinancial servicesanti-money-laundering deficiencies2018OCC$50,000,000
Waddell & Reed, Inc.Macquariefinancial servicesinvestor protection violation2006SEC$50,000,000
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2019SEC$50,000,000
Beazer Homes USA Inc.Beazer Homes USAconstruction and engineeringaccounting fraud or deficiencies2009USAO(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000
Royal Bank of ScotlandNatWest Group PLCfinancial serviceseconomic sanction violation2013NY-DFS$50,000,000
Goldman SachsGoldman Sachsfinancial servicesinvestor protection violation2015NY-DFS$50,000,000
Bank of AmericaBank 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. $50,000,000
Wachovia Securities LLCWells Fargofinancial 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. $50,000,000
The Bank of Nova ScotiaScotiabankfinancial servicesinvestor protection violation2020CFTC$50,000,000
Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2003FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000
Credit Suisse First Boston CorporationUBSfinancial servicesinvestor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000
HDR Global Trading Limited et al. investor protection violation2021CFTC$50,000,000
BlockFi Lending LLC investor protection violation2022MULTI-AG$50,000,000
BlockFi Lending LLC investor protection violation2022SEC$50,000,000
Grand River Enterprises Six Nations, Ltd. and Native Wholesale Supply Company, Inc. tax violations2022NY-AG$50,000,000
Equitable Financial Life Insurance CompanyEquitable Holdingsfinancial servicesinvestor protection violation2022SEC$50,000,000
Nomura SecuritiesNomurafinancial servicesinvestor protection violation2022CFTC$50,000,000
Jefferies LLCJefferies Financial Groupdiversifiedinvestor protection violation2022SEC$50,000,000
Nomura Securities International, Inc.Nomurafinancial servicesinvestor protection violation2022SEC$50,000,000
Silvergate Capital Corporation anti-money-laundering deficiencies2024SEC$50,000,000
Gemini Trust Company, LLC investor protection violation2024NY-AG$50,000,000
Ameriprise Financial Services, LLCAmeriprise Financialfinancial servicesinvestor protection violation2024SEC$50,000,000
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2024SEC$50,000,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2024SEC$50,000,000
Raymond James & Associates, Inc.Raymond James Financialfinancial servicesinvestor protection violation2024SEC$50,000,000
Centurion Asset Management, Inc. investor protection violation2011CFTC$49,700,000
Regal Assets LLC investor protection violation2024CFTC$49,200,000
HSZH Verwaltungs AG tax violations2016DOJ_TAX$49,000,000
Volkswagen AGVolkswagenmotor vehiclesinvestor protection violation2024SEC$48,750,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasefinancial servicesbanking violation2016OCC$48,000,000
TOTSA TotalEnergies Trading SATotalEnergies SEoil and gasinvestor protection violation2024CFTC$48,000,000
Las Vegas Sands Corp.Las Vegas Sands Corp.entertainmentanti-money-laundering deficiencies2013USAO$47,400,300
Forward Investment Group, LLC investor protection violation2011CFTC$46,900,000
Regions BankRegions Financialfinancial servicesbanking violation2014FED$46,000,000
American International Group, Inc.American International Groupfinancial servicesinvestor protection violation2004SEC$46,000,000
Stratcomm Media Ltd. investor protection violation2003SEC$45,400,000
Spear, Leeds & Kellogg Specialists LLCGoldman Sachsfinancial servicesinvestor protection violation2004SEC$45,272,478
Edmond de Rothschild (Suisse) SA and Edmond de Rothschild (Lugano) SA tax violations2015DOJ_TAX$45,245,000
ConAgra Foods, Inc.ConAgra Brandsfood productsaccounting fraud or deficiencies2007SEC$45,000,000
Salomon Smith Barney Inc.Morgan Stanleyfinancial servicesinvestor protection violation2000SEC$45,000,000
Fred Alger Management, Inc.Alger Associatesfinancial servicesinvestor protection violation2007NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $45,000,000
Merrill Lynch & Co.Bank of Americafinancial servicesinvestor protection violation2013NJ-AG$45,000,000
Bausch HealthBausch Healthpharmaceuticalsaccounting fraud or deficiencies2020SEC$45,000,000
HSBC Bank USA, N.A.HSBCfinancial servicesinvestor protection violation2023CFTC$45,000,000
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2024SEC$45,000,000
United Parcel Service Inc.United Parcel Servicefreight and logisticsaccounting fraud or deficiencies2024SEC$45,000,000
Robinhood Securities LLC and Robinhood Financial LLCRobinhood Marketsfinancial servicesinvestor protection violation2025SEC$45,000,000
Winsome Investment Trust and US Ventures investor protection violation2014CFTC$44,000,000
RBS Securities Inc.NatWest Group PLCfinancial servicestoxic securities abuses2017USAO$44,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.