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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
RIVER CITY BANK, INC. banking violation2007FDIC$39,515
World Fuel Services CorporationWorld Kinect Corporationwholesalerseconomic sanction violation2013OFAC$39,501
Wachovia Securities, LLC.Wells Fargofinancial servicesinvestor protection violation2004FINRA$39,486
PLANTERS BANK & TRUST COMPANY banking violation2007FDIC$39,400
Goldline International, Inc. investor protection violation2006MO-SEC$39,370
First Financial Planners, Inc. et al. investor protection violation2000FL-OFR$39,232
Hanjin Shipping Co., Ltd. economic sanction violation2003OFAC$39,160
ESPN, Inc.Walt Disneyentertainmenteconomic sanction violation2003OFAC$39,050
Michael R. Roeser and Associates, Inc. investor protection violation2012IL-SEC$39,000
Northwest Best Direct, Inc. investor protection violation2004WA-FIN$39,000
Unity Bank banking violation2022FDIC$39,000
Until Tomorrow Drivetrains, LLC investor protection violation2024MO-SEC$39,000
Syndicated Capital, Inc. investor protection violation2019SEC$38,991
Barracuda Networks, Inc.KKR & Co.private equity (including portfolio companies)economic sanction violation2015OFAC$38,930
Synvest, Inc. investor protection violation2005MD-SEC$38,924
John Hancock Assignment Co.Manulife Financialfinancial servicestax violations2014CT-AG$38,910
U.S. Wind Farming, Inc. investor protection violation2006SEC$38,487
HCC Insurance Holdings, Inc. economic sanction violation2011OFAC$38,448
State Wide Financial Services and Statewide Financial Services Inc. investor protection violation2016MO-SEC$38,436
Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2004FINRA$38,312
Royal Crown Co. economic sanction violation2003OFAC$38,200
North American Resource Group, Inc. investor protection violation2006WA-FIN$38,175
Fugro Seafloor Surveys, Inc economic sanction violation2005OFAC$38,035
DORAL BANK banking violation2009FDIC$38,030
Pyramid Screening Technology, Inc. investor protection violation2019CA-DFPI$38,000
TMTE, Inc., a/k/a Chase Metals, LLC investor protection violation2020MO-SEC$38,000
The Spaghetti Shop of Mid-America, Inc. investor protection violation2006VA-SEC$38,000
Paramount Financial Services, Inc. dba Live Abundant investor protection violation2022ID-INS$38,000
Paramount Financial Services, Inc. dba Live Abundant investor protection violation2022ID-SEC$38,000
Wohl Capital Investment Group, LLC investor protection violation2017AZ-CC$37,918
TAK Consulting LLC investor protection violation2014CA-DFPI$37,905
Brown & Brown Insurance of Arizona, Inc.Brown & Brownfinancial servicestax violations2014CT-AG$37,650
LPL Financial Corp.LPL Financialfinancial servicesinvestor protection violation2010MO-SEC$37,540
MYANNS Corporation banking violation2011FED$37,500
Fairfield Chemical Carriers Inc. economic sanction violation2007OFAC$37,500
Solutions Planning Group, Inc. investor protection violation2005MD-SEC$37,500
Addison Securities, Inc. investor protection violation2000FINRA$37,500
The Legal Funding Group of Georgia, LLC investor protection violation2022SEC$37,500
Lofty Ai, Inc. investor protection violation2022CA-DFPI$37,500
Marosi Designs LLC tax violations2023ATTTB$37,500
Advanced Planning Concepts, LLC investor protection violation2018AZ-CC$37,435
Robbins Instruments, Inc. economic sanction violation2011OFAC$37,070
Rosenberg Rich Baker Berman & Company investor protection violation2013SEC$37,000
First State Bank Nebraska banking violation2019FED$37,000
Pentultimate Associates, LLC and Family Values Financial Services investor protection violation2014CA-DFPI$37,000
Kabarec Financial Advisors, Ltd. investor protection violation2011IL-SEC$37,000
Southwest Securities, Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2004FINRA$36,971
PANHANDLE STATE BANK banking violation2007FDIC$36,970
Cotterman-Wilson CPAs, Inc investor protection violation2015SEC$36,897
Regal Securities, Inc. investor protection violation2017AR-SEC$36,879
Henley & Company Wealth Management LLC investor protection violation2019SEC$36,866
KP Financials, LLC investor protection violation2022TX-SEC$36,760
Hulen Holdings, Inc. investor protection violation2014CO-SEC$36,650
The Real Estate LLC and Safety Solutions USA, LLC investor protection violation2011MO-SEC$36,595
Matthews Estate LLC tax violations2009ATTTB$36,500
Alden State Bank banking violation2020FED$36,500
Financial Network Specialists, LLC investor protection violation2018CO-SEC$36,500
FARMERS & MERCHANTS STATE BANK banking violation2006FDIC$36,290
Kadee, LLC and Crossroads Investments, LLC investor protection violation2021SC-SEC$36,267
Pam's Sea Store tax violations2008ATTTB$36,000
Brookline Bank banking violation2019FED$36,000
Aon International Energy, Inc. economic sanction violation2011OFAC$36,000
RANCHERS BANKS banking violation2001FDIC$35,950
AMS Sales, LLC tax violations2015CT-AG$35,745
BFK FRANCHISE COMPANY, LLC investor protection violation2016VA-SEC$35,500
Blue Owl Technology Income Corp. fka Owl Rock Technology Income Corp. investor protection violation2023MO-SEC$35,400
Carlson Marketing Group, Inc. economic sanction violation2004OFAC$35,350
Settlers Bank banking violation2014FED$35,310
Client One Securities, LLC investor protection violation2019SEC$35,275
Dearborn Investment Fund, L.C. investor protection violation2015MO-SEC$35,250
Ventura Foods, LLCVentura Foodsfood productstax violations2013CT-AG$35,235
Liberty International Holdings Inc. economic sanction violation2009OFAC$35,211
VBIT Technologies Corp. and Advanced Mining Group et al. investor protection violation2024MT-FIN$35,182
Millington Savings Bank banking violation2014FDIC$35,000
Valero Renewable Fuels CompanyValero Energyoil and gastax violations2016ATTTB$35,000
Willamette Valley Vineyards tax violations2008ATTTB$35,000
Paramount Distillery, Inc. tax violations2005ATTTB$35,000
Glazer's Wholesale Drug Co., Inc. tax violations2004ATTTB$35,000
Armajaro Trading Limited investor protection violation2005CFTC$35,000
Liberty Capital Group, Inc. investor protection violation2000SEC$35,000
Alta Communications investor protection violation2017SEC$35,000
Cypress Advisors investor protection violation2017SEC$35,000
First FS & LA banking violation2017OCC$35,000
TRH Financial LLC investor protection violation2017SEC$35,000
Jim Poe and Associates, Inc. investor protection violation2013SEC$35,000
Consultiva Internacional, Inc. investor protection violation2012SEC$35,000
CytoDyn Inc. accounting fraud or deficiencies2019SEC$35,000
Midfirst BankMidFirst Bankfinancial servicesbanking violation2019OCC$35,000
Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesinvestor protection violation2011NJ-AG$35,000
EAST BOSTON SAVINGS BANK banking violation2011FDIC$35,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2015AK-DBS$35,000
Wealth Creator Private Equity, LLC investor protection violation2019AZ-CC$35,000
Rama Capital Partners, LLC investor protection violation2013CA-DFPI$35,000
The Social Equity Group, Inc. investor protection violation2014CA-DFPI$35,000
Piara Pizza, LLC investor protection violation2020CA-DFPI$35,000
GRAnderson Wealth Management Group Inc. investor protection violation2017CO-SEC$35,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2015CT-SEC$35,000
Silver Oak Securities, Inc. investor protection violation2016CT-SEC$35,000
Olde Discount Corp. investor protection violation2001FL-OFR$35,000
Fintegra, LLC investor protection violation2012ID-SEC$35,000
Infinity Financial Investment Corp. and Wallstreet-Analysis Investments investor protection violation2006MD-SEC$35,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.