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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
RBS Securities Inc.NatWest Group PLCfinancial servicestoxic securities abuses2017USAO$44,000,000
Value Line Inc. investor protection violation2009SEC$43,705,765
Silvergate Capital Corporation anti-money-laundering deficiencies2024FED$43,000,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinafinancial servicesinvestor protection violation2019SEC$42,700,000
Super Absorbent Co., Synchronized Funding, LLC investor protection violation2010CA-DFPI$42,650,000
Hon Hai Precision Industry Company Ltd. And E-Star Inc.Foxconn Technology Group (Hon Hai Precision Industry Company)electrical and electronic equipmenttax violations2007USAO$42,000,000
Merrill Lynch, Pierce, Fenner & SmithBank of Americafinancial servicesinvestor protection violation2018SEC$42,000,000
Bank of America Merrill LynchBank of Americafinancial servicesinvestor protection violation2018NY-AG$42,000,000
RBS Financial ProductsNatWest Group PLCfinancial servicestoxic securities abuses2012NV-AG$42,000,000
Oriental New Investments, Ltd. and Orienstar Finance, Ltd. investor protection violation2008SEC$41,774,923
Shreveport Wireless Cable Television Partnership, Complete Communications Corporation, Champion Communications Corporation, B.R. Cable Communications investor protection violation2001SEC$41,727,403
Banque Cantonale Vaudoise tax violations2015DOJ_TAX$41,677,000
Trigon Group LLC investor protection violation2010CFTC$41,200,000
ChinaMedia Express Holdings investor protection violation2013SEC$41,144,082
Axcess Automation LLC and Axcess Fund Management LLC investor protection violation2012CFTC$41,000,000
Deutsche Bank AGDeutsche Bankfinancial servicesanti-money-laundering deficiencies2017FED$41,000,000
Aurora Loan Services, LLC toxic securities abuses2018USAO$41,000,000
Tether Holdings Limited et al. investor protection violation2021CFTC$41,000,000
Barki LLC investor protection violation2011CFTC$40,904,000
Tycoon Trading, LLC et al. investor protection violation2023AK-DBS$40,684,525
Putnam Investment Management, LLCFranklin Resourcesfinancial servicesinvestor protection violation2005SEC$40,000,001
Ernst & YoungErnst & Youngbusiness servicesbanking violation2004FDIC$40,000,000
ABN AMRO Bank, N.V.ABN AMROfinancial serviceseconomic sanction violation2006OFAC$40,000,000
Evergreen Investment Management Company LLCWells Fargofinancial servicesinvestor protection violation2009SEC$40,000,000
Fred Alger Management, Inc.Alger Associatesfinancial servicesinvestor protection violation2007SEC$40,000,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2005SEC$40,000,000
Morgan Stanley & Co.Morgan Stanleyfinancial servicesinvestor protection violation2005SEC$40,000,000
Harbert Management CorporationHarbert Managementdiversifiedtax violations2017NY-AG$40,000,000
Ritchie Capital Management, L.L.C. and Ritchie Capital Global Trading, Ltd., investor protection violation2008NY-AG$40,000,000
Fiat Chrysler Automobiles N.V.Stellantismotor vehiclesaccounting fraud or deficiencies2019SEC$40,000,000
G.B. Enterprises Inc. tax violations2004USAO$40,000,000
Mashreqbank PSC anti-money-laundering deficiencies2018NY-DFS$40,000,000
BNY Mellon Securities CorporationBank of New York Mellonfinancial servicesinvestor protection violation2024SEC$40,000,000
Cassava Sciences, Inc. investor protection violation2024SEC$40,000,000
BMO Capital Markets Corp.Bank of Montrealfinancial servicesinvestor protection violation2025SEC$40,000,000
Ritchie Multi-Strategy Global Trading Ltd. and Ritchie Capital Management LLC investor protection violation2008SEC$39,900,000
VALIC Financial Advisors Inc.American International Groupfinancial servicesinvestor protection violation2020SEC$39,900,000
Trade, LLC investor protection violation2013CFTC$39,800,000
First Eagle Investment Management and FEF Distributors investor protection violation2015SEC$39,748,260
Sidley Austin LLPSidley Austinbusiness servicestax violations2007IRS$39,400,000
Blackstone GroupBlackstoneprivate equity (including portfolio companies)investor protection violation2015SEC$39,000,000
Akazoo S.A. investor protection violation2021SEC$38,800,000
Citibank N.A.Citigroupfinancial servicesinvestor protection violation2018SEC$38,700,000
Protege Financial & Insurance Service, Inc. et al. investor protection violation2014CA-DFPI$38,200,000
InovaTrade, Inc. investor protection violation2013CFTC$38,000,000
The Bank of New YorkBank of New York Mellonfinancial servicesanti-money-laundering deficiencies2005USAO$38,000,000
Monex Deposit Company et al. investor protection violation2022CFTC$38,000,000
BMO Harris Financial Advisors Inc. and BMO Asset Management Corp.Bank of Montrealfinancial servicesinvestor protection violation2019SEC$37,980,000
TD Bank, National AssociationToronto-Dominion Bankfinancial servicesbanking violation2013OCC$37,500,000
U.S. BankU.S. Bancorpfinancial servicesbanking violation2022CFPB$37,500,000
Navellier & Associates, Inc. investor protection violation2020SEC$37,478,190
Bio Defense Corp. investor protection violation2019SEC$37,475,717
Bank Hapoalim B.M,Bank Hapoalimfinancial servicestax violations2020FED$37,350,000
UniCredit S.p.A.UniCreditfinancial serviceseconomic sanction violation2019OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $37,316,322
EverbankTIAAfinancial servicesbanking violation2013OCC$37,000,000
Wachovia CorporationWells Fargofinancial servicesinvestor protection violation2004SEC$37,000,000
Symbol Technologies, Inc.Zebra Technologieselectrical and electronic equipmentaccounting fraud or deficiencies2004SEC$37,000,000
Deutsche Bank Securities, Inc.Deutsche Bankfinancial servicesinvestor protection violation2016NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $37,000,000
Goldman Sachs GroupGoldman Sachsfinancial servicesbanking violation2016FED$36,300,000
Veras Capital Master Fund, VEY Partners Master Fund and Veras Investment Partners, LLC investor protection violation2005SEC$36,200,488
Veras Capital Master Fund and VEY Partners Master Funds investor protection violation2005NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $36,200,488
Barclays Bank PLCBarclaysfinancial servicestoxic securities abuses2013MA-AG$36,100,000
G.B. Enterprises Inc. tax violations2004USAO$36,005,649
Hercules IncorporatedAshland Inc.chemicalstax violations2004IRS$36,000,000
IB Capital FX, LLC investor protection violation2016CFTC$35,420,000
State Street Bank and Trust CompanyState Street Corp.financial servicesinvestor protection violation2017SEC$35,300,000
Banca IMI Securities Corp.Intesa Sanpaolofinancial servicesinvestor protection violation2017SEC$35,300,000
FedEx Ground Package System, Inc.FedExfreight and logisticstax violations2019NY-AG$35,300,000
Advanta Bank Corporation banking violation2009FDIC$35,150,000
National City Bank and its successor PNC BankPNC Financial Servicesfinancial servicesbanking violation2013CFPB$35,000,000
HSBC Bank USA, National AssociationHSBCfinancial servicesbanking violation2016OCC$35,000,000
Citibank, N.A.Citigroupfinancial servicesbanking violation2015OCC$35,000,000
Capital One Bank (USA), National AssociationCapital One Financialfinancial servicesbanking violation2012OCC$35,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasefinancial servicesbanking violation2011OCC$35,000,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2016SEC$35,000,000
OppenheimerFunds Inc.Invescofinancial servicesinvestor protection violation2012SEC$35,000,000
Royal Bank of CanadaRoyal Bank of Canadafinancial servicesinvestor protection violation2014CFTC$35,000,000
F-Squared Investments investor protection violation2014SEC$35,000,000
AmeriFirst Management LLC investor protection violation2014CFTC$35,000,000
Wells Fargo BankWells Fargofinancial servicesbanking violation2016OCC$35,000,000
Nortel Networks Corporation accounting fraud or deficiencies2007SEC$35,000,000
Cardinal Health, Inc.Cardinal Healthwholesalersaccounting fraud or deficiencies2007SEC$35,000,000
Altaba Inc. investor protection violation2018SEC$35,000,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2016NY-AG$35,000,000
UBS Financial Services, Inc. and UBS Securities LLCUBSfinancial servicestoxic securities abuses2008MA-AG$35,000,000
Wells Fargo Clearing Services and Wells Fargo Advisors Financial NetworkWells Fargofinancial servicesinvestor protection violation2020SEC$35,000,000
International Investment Group, LLC investor protection violation2020SEC$35,000,000
Industrial Bank of KoreaIndustrial Bank of Koreafinancial servicesanti-money-laundering deficiencies2020NY-DFS$35,000,000
Morgan StanleyMorgan Stanleyfinancial 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. $35,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2020SEC$35,000,000
National Bank of Pakistan anti-money-laundering deficiencies2022NY-DFS$35,000,000
National Bank of Pakistan anti-money-laundering deficiencies2022NY-DFS$35,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2022SEC$35,000,000
Sparkster Ltd investor protection violation2022SEC$35,000,000
Activision Blizzard Inc.Microsoftinformation technologyinvestor protection violation2023SEC$35,000,000
Bank of MontrealBank of Montrealfinancial servicesinvestor protection violation2023CFTC$35,000,000
BNP Paribas Securities Corp.BNP Paribasfinancial servicesinvestor protection violation2023SEC$35,000,000
SG Americas Securities, LLCSociete Generalefinancial servicesinvestor protection violation2023SEC$35,000,000
Wells Fargo Clearing Services LLCWells Fargofinancial servicesinvestor protection violation2023SEC$35,000,000
Interactive Brokers Corp.Interactive Brokers Groupfinancial servicesinvestor protection violation2023SEC$35,000,000
Nordea Bank AbpNordea Bankfinancial servicesanti-money-laundering deficiencies2024NY-DFS$35,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.