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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
Nordea Bank AbpNordea Bankfinancial servicesanti-money-laundering deficiencies2024NY-DFS$35,000,000
Stifel, Nicolaus & Company, Inc.Stifel Financialfinancial servicesinvestor protection violation2024SEC$35,000,000
Invesco Distributors, Inc.Invescofinancial servicesinvestor protection violation2024SEC$35,000,000
WEX Bank and Higher One, Inc.WEX Inc.financial servicesbanking violation2015FDIC$34,980,000
Empires Consulting Corp. investor protection violation2023SEC$34,839,951
Wells Fargo Bank, National AssociationWells Fargofinancial servicesbanking violation2011OCC$34,500,000
Walgreens Boots Alliance Inc.Walgreens Boots Allianceretailinginvestor protection violation2018SEC$34,500,000
BDO USA, LLPBDO Internationalbusiness servicestax violations2012IRS$34,400,000
Navient Solutions, Inc.Navientfinancial servicesbanking violation2014FDIC$33,300,000
Beaulieu GroupEngineered Floorsbuilding materialstax violations2007USAO$33,184,364
Woodforest National BankWoodforest National Bankfinancial servicesbanking violation2010OCC$33,000,000
Royal Bank of Scotland PLCNatWest Group PLCfinancial serviceseconomic sanction violation2013OFAC$33,000,000
Bank of America CorporationBank of Americafinancial servicesinvestor protection violation2009SEC$33,000,000
Robertson Stephens Inc. investor protection violation2003SEC$33,000,000
INGVoya Financialfinancial servicesinvestor protection violation2006MULTI-AG$33,000,000
MUFG Bank Ltd.U.S. Bancorpfinancial servicesbanking violation2019NY-DFS$33,000,000
Hudson City Savings BankM&T Bankfinancial servicesbanking violation2015CFPB$32,750,000
Prudential Financial Inc.Prudential Financialfinancial servicesinvestor protection violation2019SEC$32,600,000
Evergreen Investment Management CompanyWells Fargofinancial servicesinvestor protection violation2007SEC$32,500,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2003SEC$32,500,000
HSBC Bank USA, National AssociationHSBCfinancial servicesbanking violation2017OCC$32,500,000
Deutsche BankDeutsche Bankfinancial servicesinvestor protection violation2012private lawsuit-federal$32,500,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2014FINRA$32,400,000
Circle Society, Corp. investor protection violation2021CFTC$32,141,375
Lehman Brothers, Inc. investor protection violation2014WA-AG$31,300,000
Kikit & Mess Investments, LLC investor protection violation2024CFTC$31,235,410
Deutsche Bank (Suisse) SADeutsche Bankfinancial servicestax violations2015DOJ_TAX$31,026,000
Executive Management Advisors L.L.C. investor protection violation2015CFTC$31,000,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2010MULTI-AG$31,000,000
RBC Capital Markets LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2011SEC$30,400,000
City National Rochdale, LLC investor protection violation2022SEC$30,361,803
Bank Hapoalim B.M.Bank Hapoalimfinancial servicesanti-money-laundering deficiencies2020DOJ_CRIMINAL$30,063,317
JPMorgan Chase Bank, National AssociationJPMorgan Chasefinancial servicesbanking violation2015OCC$30,000,000
Bank of America, National AssociationBank of Americafinancial servicesbanking violation2015OCC$30,000,000
ArthroCare CorporationSmith & Nephewmedical equipment and suppliesaccounting fraud or deficiencies2014DOJ_CRIMINAL$30,000,000
Kohlberg Kravis Roberts & Co.KKR & Co.private equity (including portfolio companies)investor protection violation2015SEC$30,000,000
Coral Energy Resources, L.P. investor protection violation2004CFTC$30,000,000
W.P. Carey & Co.W.P. Carey Inc.real estateaccounting fraud or deficiencies2008SEC$30,000,000
Ameriprise Financial, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2005SEC$30,000,000
Deutsche Bank AG and Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2018CFTC$30,000,000
Credit Suisse SecuritiesUBSfinancial servicesinvestor protection violation2016NY-AG$30,000,000
Harbinger Capital Partners Offshore Manager LLC tax violations2018NY-AG$30,000,000
Riverstone Holdings LLCRiverstone Holdingsprivate equity (including portfolio companies)investor protection violation2009NY-AG$30,000,000
RS Investment Management L.P. investor protection violation2004NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $30,000,000
Citibank, N.A.Citigroupfinancial servicesbanking violation2019OCC$30,000,000
Mylan N.V.Viatrispharmaceuticalsinvestor protection violation2019SEC$30,000,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2013MA-SEC$30,000,000
Robinhood Crypto, LLCRobinhood Marketsfinancial servicesanti-money-laundering deficiencies2022NY-DFS$30,000,000
Jefferies Financial Services, Inc.Jefferies Financial Groupdiversifiedinvestor protection violation2022CFTC$30,000,000
Payward Ventures, Inc. and Payward Trading Ltd. investor protection violation2023SEC$30,000,000
Wells Fargo & Co.Wells Fargofinancial serviceseconomic sanction violation2023OFAC$30,000,000
HSBC Bank PLCHSBCfinancial servicesinvestor protection violation2023CFTC$30,000,000
Goldman Sachs & Co. LLCGoldman Sachsfinancial servicesinvestor protection violation2023CFTC$30,000,000
Industrial and Commercial Bank of China Ltd.Industrial and Commercial Bank of Chinafinancial servicesbanking violation2024NY-DFS$30,000,000
Zymergen Inc. investor protection violation2024SEC$30,000,000
TD Securities (USA) LLCToronto-Dominion Bankfinancial servicesinvestor protection violation2024SEC$30,000,000
Canadian Imperial Bank of CommerceCanadian Imperial Bank of Commercefinancial servicesinvestor protection violation2024CFTC$30,000,000
EFG Bank European Financial Group SA, Geneva and EFG Bank AG tax violations2015DOJ_TAX$29,988,000
BitClave PTE Ltd investor protection violation2020SEC$29,744,197
BAYERISCHE HYPO- UND VEREINSBANK AG tax violations2006USAO$29,635,125
CTI Group LLC and Cooper Trading investor protection violation2014CFTC$29,000,000
Mega International Commercial Bank Co., Ltd. anti-money-laundering deficiencies2018FED$29,000,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2005MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $28,750,000
Vuuzle Media Corp. et al. investor protection violation2023SEC$28,599,662
Levecke Corporation tax violations2021ATTTB$28,578,944
Option One Mortgage CorporationOcwen Financialfinancial servicestoxic securities abuses2012SEC$28,200,000
Morgan Stanley Mortgage Capital HoldingsMorgan Stanleyfinancial servicestoxic securities abuses2011NV-AG$28,200,000
Pequot Capital Management, Inc. investor protection violation2010SEC$28,000,000
Mercury Interactive, LLC accounting fraud or deficiencies2007SEC$28,000,000
Baton Holdings LLCRed Venturesbusiness servicesinvestor protection violation2019DOJ_CRIMINAL$28,000,000
Bank of New York MellonBank of New York Mellonfinancial servicesinvestor protection violation2013FL-AG$28,000,000
CBS Corp.Paramount Globalmediainvestor protection violation2022NY-AG$28,000,000
Rio Tinto PLCRio Tintomining and mineralsinvestor protection violation2023SEC$28,000,000
Coutts & Co Ltd.Union Bancaire Priveefinancial servicestax violations2019DOJ_TAX$27,900,000
AZ Investment Property Experts, LLC and Sandy Beach Esmeralda Development, LLC investor protection violation2019AZ-CC$27,801,783
Yellowstone Capital et al. investor protection violation2023NJ-AG$27,375,000
ClearPath Wealth Management, LLC investor protection violation2024SEC$27,130,905
Princeton Global Management Ltd. and Princeton Economics International Ltd. investor protection violation2009CFTC$27,000,000
A.C.L.N. Ltd. and Scandinavian Car Carriers investor protection violation2004SEC$27,000,000
Banco Bilbao Vizcaya Argentaria, S.A.Banco Bilbao Vizcaya Argentariafinancial servicesbanking violation2016FED$27,000,000
Lumber Liquidators Holdings Inc.LL Flooring Holdingshousewares and home furnishingsinvestor protection violation2019DOJ_CRIMINAL$27,000,000
Bank of LouisvilleTruist Financialfinancial servicesinvestor protection violation2002KY-INS$27,000,000
UBS Financial Services Inc. of Puerto RicoUBSfinancial servicesinvestor protection violation2012SEC$26,600,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2010MULTI-FIN$26,563,094
Stiefel Laboratories Inc. investor protection violation2020SEC$26,510,000
Nomura Securities International Inc.Nomurafinancial servicesinvestor protection violation2019SEC$26,400,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2020NH-BSR$26,250,000
PaineWebber IncorporatedUBSfinancial servicesinvestor protection violation2000SEC$26,200,000
Success Trade, Inc. and Success Trade Securities, Inc. investor protection violation2015SEC$26,158,214
North Hills Management LLC investor protection violation2015CFTC$26,000,000
Prestige Ventures Corporation and Federated Management Group, Inc. investor protection violation2010CFTC$26,000,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2018MULTI-FIN$26,000,000
Merrill Lynch Pierce Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2012IL-SEC$25,930,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2019MULTI-AG$25,848,000
CRE Capital Corp. investor protection violation2010CFTC$25,700,000
Lordstown Motors Corp.Lordstown Motorsmotor vehiclesinvestor protection violation2024SEC$25,500,000
Bank of America, National AssociationBank of Americafinancial servicesbanking violation2014OCC$25,000,000
Jefferies LLCJefferies Financial Groupdiversifiedinvestor protection violation2014SEC$25,000,000
Diebold, Inc.Diebold Nixdorfmiscellaneous manufacturingaccounting fraud or deficiencies2010SEC$25,000,000
Moore Capital Management, LP investor protection violation2010CFTC$25,000,000
Safevest LLC investor protection violation2009CFTC$25,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.