Basic Search  |  Summaries  |  Advanced Search

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearAgencyPenalty Amount sort icon
Parallel Products of Kentucky, Inc. tax violations2005ATTTB$45,000
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2003CFTC$45,000
Axon Corporation economic sanction violation2003OFAC$45,000
Hercules Canada economic sanction violation2003OFAC$45,000
Adams Capital Management investor protection violation2017SEC$45,000
VisionPoint Advisory Group, LLC investor protection violation2017SEC$45,000
Interstate Helicopters, Inc. investor protection violation2018USAO$45,000
Groh Asset Management, Inc. investor protection violation2004SEC$45,000
Brut, LLCNasdaq Inc.financial servicesinvestor protection violation2003SEC$45,000
Delta Equity Services Corporation investor protection violation2002SEC$45,000
VALLEY BANK banking violation2011FDIC$45,000
Prudential Equity Group, Inc.Prudential Financialfinancial servicesinvestor protection violation2005AL-SEC$45,000
Whitcraft Capital Management, Inc. investor protection violation2006CA-DFPI$45,000
Graybar Electric Company, Inc.Graybar Electricwholesalersinvestor protection violation2006CA-DFPI$45,000
Lighthouse Real Estate Consulting, LLC et al. investor protection violation2013CA-DFPI$45,000
Bird Rock Management, LLC et al. investor protection violation2016CA-DFPI$45,000
Beryl Capital Management, LLC investor protection violation2016CA-DFPI$45,000
Cuppy's Coffee & More, Inc. investor protection violation2010CT-SEC$45,000
Itradedirect.com Corp. investor protection violation2010CT-SEC$45,000
Sunset Capital Assets, Inc. investor protection violation2020KY-FIN$45,000
LendingClub CorporationLendingClub Corp.financial servicesinvestor protection violation2013ME-SEC$45,000
Aegis Capital LLC investor protection violation2013NH-BSR$45,000
Buy Car Notes.com Inc. et al. investor protection violation2012OK-SEC$45,000
Wolf Creek Exploration, Ltd. investor protection violation2004VA-SEC$45,000
BLOOP FROZEN YOGURT, LLC investor protection violation2018VA-SEC$45,000
Lombard Advisers, Inc. investor protection violation2019VA-SEC$45,000
Financial & Estate Strategies, Inc. investor protection violation2005WA-FIN$45,000
Askar Corporation investor protection violation2011FINRA$45,000
Fox & Company Investments Inc. investor protection violation2009FINRA$45,000
Sunshine 61 Trust LLC investor protection violation2021NJ-BOS$45,000
Verus Capital Partners, LLC investor protection violation2021SEC$45,000
Tannin Capital, LLC investor protection violation2021NC-SEC$45,000
Charles Winn, LLC investor protection violation2021WA-SEC$45,000
Asset Management Group of Bank of Hawaii investor protection violation2022SEC$45,000
Capital Energy Resources, LLC et al. investor protection violation2023PA-BKG$45,000
RH CPA accounting fraud or deficiencies2023PCAOB$45,000
UHY LLP accounting fraud or deficiencies2023PCAOB$45,000
Wilson Insight investor protection violation2023PA-BKG$45,000
Bruce A. Kraig Associates investor protection violation2024PA-BKG$45,000
TransChemical, Inc. tax violations2024ATTTB$45,000
Ernst & Young AGErnst & Youngbusiness servicesaccounting fraud or deficiencies2024PCAOB$45,000
TALANTA Investment Group, LLC investor protection violation2024SEC$45,000
Downey Savings and Loan economic sanction violation2006OFAC$44,898
Indam International, Inc. economic sanction violation2014OFAC$44,850
Excel Industries, Inc. tax violations2023ATTTB$44,527
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2013AK-DBS$44,370
Ebara International Corp.Ebaraindustrial equipmenteconomic sanction violation2004OFAC$44,000
NetApp, Inc.NetAppelectrical and electronic equipmenttax violations2015CT-AG$43,965
Koch Foods, L.L.C.Koch Foodsfood productseconomic sanction violation2006OFAC$43,947
Presidential Bank, FSB banking violation2012OCC$43,890
Gil Tours Travel, Inc. economic sanction violation2015OFAC$43,875
Tung Tai Group economic sanction violation2013OFAC$43,875
HILLS BANK AND TRUST COMPANY banking violation2004FDIC$43,700
BANK OF THE CASCADESFirst Interstate Bancsystemfinancial servicesbanking violation2008FDIC$43,550
Investment Partners Ltd. investor protection violation2019SEC$43,384
Priority Management, LLC investor protection violation2023MO-SEC$43,250
World Class Technology Corporation economic sanction violation2016OFAC$43,200
1st Financial Bank U.S.A.1st Financial Bank USAfinancial servicesbanking violation2005WI-AG$43,142
FNB Bank, National Association banking violation2013OCC$43,120
Virtual Mining Corp. and Active Mining Corp. investor protection violation2015MO-SEC$43,115
Private Portfolio, Inc. investor protection violation2019SEC$43,061
Raymond Lawrence Lent, (dba the Putney Financial Group and Registered Investment Advisors) investor protection violation2019SEC$43,034
UMB Financial Services, Inc. investor protection violation2008MO-SEC$43,000
Bunsunad, LLC investor protection violation2023OR-FIN$43,000
Bison Investment Advisors LLC investor protection violation2023TX-INS$42,994
Hardwick Capital Management, LLC investor protection violation2018IN-SEC$42,984
Ruffin Company economic sanction violation2003OFAC$42,964
Mowery Capital Management LLC investor protection violation2016TX-SEC$42,930
Wells Fargo BankWells Fargofinancial serviceseconomic sanction violation2005OFAC$42,833
Sands Brothers Asset Management LLC investor protection violation2009CT-SEC$42,500
Equity Associates LLC investor protection violation2013OK-SEC$42,500
Mutual Modeling Associates, Inc. investor protection violation2012SC-SEC$42,500
YOUNG AMERICA CAPITAL, LLC investor protection violation2024AL-SEC$42,500
RRIM Asset Strategies, LLC investor protection violation2023AZ-CC$42,430
John Thomas Financial, Inc. investor protection violation2012AR-SEC$42,421
Financial Network Investment Corp. investor protection violation2011MO-SEC$42,260
Cobble Creek Homes, LLC investor protection violation2008MO-SEC$42,200
NYMagic, Inc. on behalf of Mutual Marine Office, Inc. economic sanction violation2005OFAC$42,196
Unity Oil & Gas investor protection violation2018MO-SEC$42,135
National Marine Consultants, Inc. economic sanction violation2009OFAC$42,075
D. H. Hill Securities LLLP investor protection violation2024TX-SEC$42,000
cfX Inc. investor protection violation2024SEC$42,000
Cordoba Music Group economic sanction violation2024OFAC$41,591
Moloney Securities Co., Inc. investor protection violation2016SEC$41,500
Customers Bank banking violation2022FED$41,500
Fleet Bank economic sanction violation2003OFAC$41,050
The Park Bank banking violation2012FDIC$41,000
Great Western BankFirst Interstate Bancsystemfinancial servicesbanking violation2013FDIC$40,810
Edward D. Jones & Co. L.P.Jones Financialfinancial servicesinvestor protection violation2010MO-SEC$40,500
Oriental Bank banking violation2021FDIC$40,500
Washington Federal Bank, National AssociationWashington Federal Inc.financial servicesbanking violation2021OCC$40,500
SunTrust BankTruist Financialfinancial serviceseconomic sanction violation2005OFAC$40,423
Cubasphere Inc. economic sanction violation2019OFAC$40,320
Casa de Cambio Delgado, Inc. economic sanction violation2009OFAC$40,146
First United Security Bank banking violation2014FDIC$40,000
Smith Hayes Financial Services Corporation investor protection violation2015SEC$40,000
TSB Bank banking violation2016FDIC$40,000
Johnson Brothers Liquor Company of Illinois tax violations2009ATTTB$40,000
Consolidated Rectifying, Inc. tax violations2006ATTTB$40,000
Maersk Inc.Maerskfreight and logisticseconomic sanction violation2003OFAC$40,000
Financial Fiduciaries, LLC investor protection violation2018SEC$40,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.