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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
First Trust & Savings Bank of Albany, Illinois banking violation2017FDIC$58,232
Rabobank National AssociationRabobankfinancial servicesbanking violation2017OCC$58,000
Premier Financial Management, LLC investor protection violation2014FL-OFR$58,000
Azarmehr Law Group investor protection violation2015SEC$57,965
Custom Polymers, Inc. economic sanction violation2010OFAC$57,800
HomeFederal Bank banking violation2005FED$57,250
Privatbank Bellerive AG tax violations2015DOJ_TAX$57,000
Delmonico's Winery, Inc. tax violations2007ATTTB$57,000
Universal Stock Transfer, Ltd. investor protection violation2017MT-FIN$56,852
The Planning Group, Inc. dba Asset Strategies, Inc. investor protection violation2006MO-SEC$56,850
National City BankPNC Financial Servicesfinancial servicesbanking violation2003OCC$56,800
Coastal Oceanographics, Inc economic sanction violation2003OFAC$56,750
TCF National BankHuntington Bancsharesfinancial servicesbanking violation2016OCC$56,500
Petro-America Producing Oil & Gas Wells, Inc. investor protection violation2007IN-SEC$56,500
UBS Financial ServicesUBSfinancial servicesinvestor protection violation2014SEC$56,400
INDEPENDENT BANKIndependent Bank Corp. (Michigan)financial servicesbanking violation2015FED$56,205
West Coast Asset Management, Inc. investor protection violation2013SEC$56,186
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2014SEC$56,000
Old National BankOld National Bancorpfinancial servicesbanking violation2008OCC$56,000
Wilson Advisory Group investor protection violation2013CO-SEC$56,000
First Option, LLC investor protection violation2015MO-SEC$55,647
CATHAY BANKCathay General Bancorpfinancial servicesbanking violation2008FDIC$55,500
First Nebraska Bank banking violation2017FED$55,500
VSR Financial Services, Inc. investor protection violation2011MO-SEC$55,470
DynamicDaytrader.com investor protection violation2000SEC$55,107
Leedha, Inc. dba Flintridge Asset Management Co. investor protection violation2005CA-DFPI$55,056
Lerner & Sipkins CPAs LLC accounting fraud or deficiencies2014SEC$55,000
Trinity Industries de Mexico, S.A. de C.V. economic sanction violation2004OFAC$55,000
The Park Avenue Bank, National Association banking violation2000OCC$55,000
Merchant Capital, L.L.C. investor protection violation2009SEC$55,000
JPR Capital Corp. investor protection violation2001SEC$55,000
Pinnacle Investments LLC investor protection violation2015FL-OFR$55,000
PrimeBuy Network.Com, Inc. investor protection violation2002ID-SEC$55,000
The Lampo Group, LLC investor protection violation2016MO-SEC$55,000
Saliba Managed Funds Inc. investor protection violation2014NH-BSR$55,000
The Mortgage Specialists, Inc. anti-money-laundering deficiencies2015NH-BKG$55,000
Taramar Venture Capital LLC et al. investor protection violation2002OR-FIN$55,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2016WA-FIN$55,000
Securities America, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2009FINRA$55,000
Sync Title Agency, LLC investor protection violation2022AZ-CC$55,000
Allied Wine Corp. tax violations2023ATTTB$55,000
Comer Capital Group, LLC investor protection violation2024SEC$55,000
Curve Capital LLC investor protection violation2023CA-DFPI$55,000
Somerset Crest, Inc. investor protection violation2024TN-SEC$55,000
Lampton Street Church Financial Services, Inc. and Lampton Street Church of Christ, Inc. investor protection violation2010MS-SEC$54,954
Eric Hall & Associates, LLC investor protection violation2018SEC$54,761
Questar Capital Corp. investor protection violation2008KY-FIN$54,668
American Income Real Estate Investments, Inc. investor protection violation2005FL-OFR$54,598
MTS Systems Corp.Amphenolelectrical and electronic equipmenttax violations2013CT-AG$54,570
THE GLOVE LADY, LLC investor protection violation2010VA-SEC$54,472
Shemano Capital Management investor protection violation2005CA-DFPI$54,250
Hapoalim Securities USA investor protection violation2014SEC$54,000
J.P. Morgan SecuritiesJPMorgan Chasefinancial servicesinvestor protection violation2014SEC$54,000
Lebenthal & Co. investor protection violation2014SEC$54,000
First National Bank banking violation2005OCC$54,000
CHESAPEAKE INVESTMENT SERVICES INC. investor protection violation2004VA-SEC$54,000
AWG, Ltd. DBA Andretti Winery, Ltd. tax violations2024ATTTB$54,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2014CT-SEC$53,800
Secondmarket, Inc. investor protection violation2016SEC$53,755
Industry City Distillery Inc. tax violations2019ATTTB$53,668
The Coastal Bank banking violation2012FDIC$53,550
Kestra Investment Services LLC investor protection violation2016NH-BSR$53,463
HERITAGE FINANCIAL SYSTEMS, & investor protection violation2013VA-SEC$53,335
Oasis of Wealth, Inc. investor protection violation2009AZ-CC$53,315
Hartquist & Noblet, LLC investor protection violation2019VA-SEC$53,220
ATC Investment Group, LLC investor protection violation2010DE-SEC$53,158
THEODORE J. HOGAN & ASSOCIATES investor protection violation2007VA-SEC$53,117
Natoli Engineering Company, Inc. economic sanction violation2012OFAC$52,920
Pioneer Community Bank banking violation2017FDIC$52,750
Investment Professionals, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2009MO-SEC$52,500
Genery Wealth Management, LLC investor protection violation2019NH-BSR$52,500
Manhattan Transfer Registrar Company investor protection violation2018SEC$52,493
Thomas Weisel Partners LLCStifel Financialfinancial servicesinvestor protection violation2006CT-SEC$52,480
Coral Reef Media, LLC investor protection violation2015SEC$52,395
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020PA-BKG$52,372
Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesinvestor protection violation2009MO-SEC$52,300
First Wall Street Corp. investor protection violation2006ID-SEC$52,221
Lockwood Advisors, Inc. investor protection violation2019SEC$52,187
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020CA-DFPI$52,047
M & W Charitable Foundation et al. investor protection violation2008WA-FIN$52,000
Green Clinic, LLC investor protection violation2021MO-SEC$52,000
Acacia Financial Group Inc. investor protection violation2024SEC$52,000
Envoy Advisory, Inc. investor protection violation2017SEC$51,892
Mutual of Omaha BankFirst Citizens BancSharesfinancial servicesbanking violation2013OCC$51,765
RBC Capital Markets Corp.Royal Bank of Canadafinancial servicesinvestor protection violation2010NJ-AG$51,724
Lunar Corporation economic sanction violation2005OFAC$51,700
Progressive Energy Partners LLC et al. investor protection violation2009WA-FIN$51,500
Capital Preservation Management, LLC investor protection violation2024WA-SEC$51,500
J.P. Morgan SecuritiesJPMorgan Chasefinancial servicesinvestor protection violation2014DE-AG$51,400
DLL CPAS, LLC investor protection violation2019SEC$51,387
Gundacker/Jordan American Holdings, Inc. investor protection violation2015MO-SEC$51,230
All-Star Staffing, LLC investor protection violation2021ID-SEC$51,210
Wells Fargo Bank, National AssociationWells Fargofinancial servicesbanking violation2009OCC$51,205
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020CT-SEC$51,136
J.P. Morgan Securities, LLCJPMorgan Chasefinancial servicesinvestor protection violation2014AK-DBS$51,120
First Security Investor Services, Inc. and Van Kasper LLC investor protection violation2005ID-SEC$51,000
PSA Brewery, LLC tax violations2024ATTTB$50,797
J.P. Morgan Securities, LLCJPMorgan Chasefinancial servicesinvestor protection violation2014NJ-AG$50,460
Continental Broker-Dealer Corp. investor protection violation2004MO-SEC$50,400
Buttonwood Tree Management, LLC investor protection violation2018CA-DFPI$50,223
JH Darbie & Co. accounting fraud or deficiencies2018SEC$50,113
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.