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
DRY CLEANING & MARGO SLOAN investor protection violation2004VA-SEC$25,900
ABN AMRO Bank, IncABN AMROfinancial serviceseconomic sanction violation2004OFAC$25,847
FIRST BANK FINANCIAL CENTRE banking violation2007FDIC$25,690
Clear Scope Advisors, Inc. investor protection violation2019SEC$25,678
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2017MO-SEC$25,672
American Registrar & Transfer Company investor protection violation2016SEC$25,649
Marshall & Swift/Boeckh, LLC tax violations2014CT-AG$25,560
N2y LLC tax violations2016CT-AG$25,545
SENATH STATE BANK banking violation2003FDIC$25,500
Bluegrass Capital Advisors, LLC investor protection violation2022KY-FIN$25,500
Daedalus Capital, LLC investor protection violation2009MO-SEC$25,350
C & C Market Research, Inc. tax violations2014CT-AG$25,320
Edward JonesJones Financialfinancial servicesinvestor protection violation2004FINRA$25,181
First Intercontinental Bank banking violation2013FDIC$25,000
Alma Exchange Bank and Trust banking violation2013FDIC$25,000
Sun National BankOceanFirst Financialfinancial servicesbanking violation2016OCC$25,000
Eurobank anti-money-laundering deficiencies2010FINCEN$25,000
Kent-Gamebore Corporation tax violations2012ATTTB$25,000
Hornady Manufacturing Co. tax violations2011ATTTB$25,000
United Beverage of NEPA, LLC tax violations2010ATTTB$25,000
APT MotoVox Group Inc. investor protection violation2014SEC$25,000
CoroWare Inc. investor protection violation2014SEC$25,000
MineralRite Corporation investor protection violation2014SEC$25,000
Monster Arts Inc. investor protection violation2014SEC$25,000
Red Giant Entertainment Inc. investor protection violation2014SEC$25,000
Worthington Energy Inc. investor protection violation2014SEC$25,000
The Boston Beer CompanyBoston Beer Co.beveragestax violations2009ATTTB$25,000
Central Coast Wine Services tax violations2008ATTTB$25,000
Cacciatore Fine Wines & Olive Oil Corp. tax violations2004ATTTB$25,000
Republic Beverage Co. tax violations2003ATTTB$25,000
Ridge Vineyards, Inc. tax violations2003ATTTB$25,000
BNP Paribas Commodity Futures, Ltd.BNP Paribasfinancial servicesinvestor protection violation2008CFTC$25,000
Pioneer Futures Inc. investor protection violation2007CFTC$25,000
Rosenthal Collins Group investor protection violation2007CFTC$25,000
Warenhandelsgesellschaft Corinth, m.b.H. investor protection violation2005CFTC$25,000
Credit Lyonnais Rouse LimitedCredit Agricolefinancial servicesinvestor protection violation2004CFTC$25,000
Fimat International Banque SA investor protection violation2004CFTC$25,000
Refco Overseas Limited investor protection violation2004CFTC$25,000
Barry Callebaut Sourcing AGBarry Callebautfood productsinvestor protection violation2004CFTC$25,000
STATE BANK OF KANSAS, THE banking violation2009FDIC$25,000
CORNERSTONE COMMUNITY BANK banking violation2009FDIC$25,000
DHL Express (USA), Inc.DHL Groupfreight and logisticseconomic sanction violation2005OFAC$25,000
Dolphin Lagoon, Inc. dba Dolphin Fantaseas, Inc. economic sanction violation2004OFAC$25,000
First National Bank of OmahaFirst National of Nebraskafinancial servicesbanking violation2006OCC$25,000
Guaranty National Bank of Tallahassee banking violation2003OCC$25,000
VeriFone Holdings, Inc.Francisco Partnersprivate equity (including portfolio companies)accounting fraud or deficiencies2009SEC$25,000
Financial Asset Management, Inc. accounting fraud or deficiencies2002SEC$25,000
Deprez?s Quality Jewelry and Loans, Inc. anti-money-laundering deficiencies2006FINCEN$25,000
Newman & Ullman Inc. tax violations2017ATTTB$25,000
Loop Capital Markets, LLC investor protection violation2017SEC$25,000
Jaypee International, Inc. investor protection violation2017SEC$25,000
Berman & Company, P.A. investor protection violation2017SEC$25,000
Dupree Financial Group, LLC investor protection violation2016SEC$25,000
Bluefire Renewables, Inc. investor protection violation2016SEC$25,000
Messineo & Co., CPAs, LLC investor protection violation2015SEC$25,000
New Line Capital, LLC investor protection violation2015SEC$25,000
Alexander Valley Cellars LLC tax violations2018ATTTB$25,000
Eureeca Capital SPC investor protection violation2014SEC$25,000
Colorado Financial Service Corporation investor protection violation2014SEC$25,000
Revolutionary Concepts, Inc. investor protection violation2018SEC$25,000
Pinnacle Capital Markets LLC investor protection violation2010SEC$25,000
United Global Securities, Inc. investor protection violation2009SEC$25,000
Wolfe & Hurst Bond Brokers, Inc investor protection violation2009SEC$25,000
Cardiff Lexington Corporation investor protection violation2018SEC$25,000
Terressentia Corporation tax violations2018ATTTB$25,000
Milkie/Ferguson Investments, Inc. investor protection violation2008SEC$25,000
FCA Corp. investor protection violation2006SEC$25,000
Freedom Financial, Inc. investor protection violation2004SEC$25,000
Mid-Ohio Securities Corp. investor protection violation2003SEC$25,000
Harvest Financial Corporation investor protection violation2003SEC$25,000
Hawthorne Associates, Inc. investor protection violation2001SEC$25,000
CGI Capital, Inc. investor protection violation2000SEC$25,000
First Colonial Securities Group, Inc. investor protection violation2000SEC$25,000
Investment Street Company and Dynamic Trading of Miami, Inc. investor protection violation2000SEC$25,000
Frontier Oilfield Services, Inc. investor protection violation2018SEC$25,000
Smokes & Such, LLC tax violations2019ATTTB$25,000
Still Smokin LLC tax violations2019ATTTB$25,000
Dale Scott & Company, Inc. investor protection violation2019SEC$25,000
GATEWAY BUSINESS BANK banking violation2011FDIC$25,000
BANTERRA BANK banking violation2010FDIC$25,000
EUROBANK banking violation2010FDIC$25,000
HOME BANKING COMPANY banking violation2009FDIC$25,000
Yokozuna Pearls & Gems, Inc. economic sanction violation2010OFAC$25,000
Price Waterhouse & Co. S.R.L.PricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2017PCAOB$25,000
Index Analysis Pool, LP and Index Analysis Services investor protection violation2006AK-DBS$25,000
Fortune Oil & Gas, Ltd. investor protection violation2014AK-DBS$25,000
Global Arena Capital Corp. investor protection violation2015AK-DBS$25,000
Garden State Securities, Inc. investor protection violation2016AK-DBS$25,000
Stephens Inc. investor protection violation2013AR-SEC$25,000
St. Bernard Financial Services, Inc. investor protection violation2015AR-SEC$25,000
Investment Planners of America, Inc. investor protection violation2001AZ-CC$25,000
RYM Technology Holdings, L.L.C. investor protection violation2007AZ-CC$25,000
Diamond Bay Investments, Inc. investor protection violation2008AZ-CC$25,000
CoolTrade, Inc. investor protection violation2012AZ-CC$25,000
SDC Montana Consulting, LLC investor protection violation2013AZ-CC$25,000
Wesleyan Investment Foundation, Inc. investor protection violation2018AZ-CC$25,000
The Credit Engineers, Inc. investor protection violation2019AZ-CC$25,000
TransCoastal Partners, LLC investor protection violation2007CA-DFPI$25,000
Diamond S Oil, Inc., Masada Petroleum LLC investor protection violation2008CA-DFPI$25,000
Service Team, Inc. investor protection violation2014CO-SEC$25,000
Talking Water, LLC et al. investor protection violation2014CO-SEC$25,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.