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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
Seascape Management Co., LLC investor protection violation2007ID-SEC$23,000
Quad City Investment Advisors, LLC investor protection violation2011IL-SEC$23,000
Rise, Inc. investor protection violation2004KY-FIN$23,000
Redwood Trust investor protection violation2007OR-FIN$23,000
Bountiful LLC investor protection violation2007OR-FIN$23,000
MR. OIL SAVER, LLC investor protection violation2014VA-SEC$23,000
Armadillo Energy, Inc. investor protection violation2014WA-FIN$23,000
Horicon Bank banking violation2023FDIC$23,000
Dancker, Sellew & Douglas, Inc. tax violations2016CT-AG$22,928
Merrill Lynch, Pierce, Fenner & Smith, IncBank of Americafinancial serviceseconomic sanction violation2004OFAC$22,904
Bax Global IncDeutsche Bahnfreight and logisticseconomic sanction violation2005OFAC$22,815
Ascend Management Innovations LLCMaximusmiscellaneous servicestax violations2016CT-AG$22,800
Eco, Inc. investor protection violation2024WA-SEC$22,800
Baltic Fund investor protection violation2018MO-SEC$22,760
Intermarc Marketing and Cashflows investor protection violation2002AZ-CC$22,750
Thrive Learning Institute investor protection violation2009IL-SEC$22,734
BANGOR SAVINGS BANK banking violation2007FDIC$22,715
Kroger Prescription Plans, Inc.Krogerretailingtax violations2014CT-AG$22,590
Onspot of North America, Inc. tax violations2014CT-AG$22,590
Professional Asset Management Inc. investor protection violation2004TN-SEC$22,550
The Heritage Store, Inc. tax violations2002ATTTB$22,500
Aldrich Chemical Company LLCMerck KGaA (EMD)pharmaceuticalstax violations2017ATTTB$22,500
SAN Corporation economic sanction violation2013OFAC$22,500
Metropolitan Life Insurance CompanyMetLifefinancial serviceseconomic sanction violation2011OFAC$22,500
QA3 Financial Corporation investor protection violation2010NE-DBF$22,500
Cruden Bay Capital Partners GP, LP investor protection violation2008TX-SEC$22,500
FIRST GEORGETOWN SECURITIES INC. investor protection violation2007VA-SEC$22,500
TMA Franchise Systems, Inc. d/b/a The Mosquito Authority investor protection violation2015VA-SEC$22,500
People's Securities Inc. investor protection violation2017VT-FIN$22,500
T&H Northwest, LLC investor protection violation2012WA-FIN$22,500
PrimeFX Pro investor protection violation2022WA-SEC$22,500
Dreos Financial Services investor protection violation2004AZ-CC$22,425
Hologram USA Networks Inc. investor protection violation2020SEC$22,419
OMNI BANK banking violation2006FDIC$22,330
Irwin Union Bank banking violation2005FED$22,300
Circle International, Inc economic sanction violation2004OFAC$22,285
Deloitte Investment Advisors, LLC tax violations2009CT-AG$22,275
FIRST AMERICAN BANK banking violation2011FDIC$22,200
Providence Journal Co. tax violations2011CT-AG$22,193
SkyGeek Logistics, Inc. economic sanction violation2024OFAC$22,172
BRAZELTON LOAN PARTNERS investor protection violation2013VA-SEC$22,168
Royal Bank of CanadaRoyal Bank of Canadafinancial servicesinvestor protection violation2009DE-AG$22,156
Tennessee State Bank banking violation2014FED$22,155
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020GA-SEC$22,104
Rope Corp. dba First Choice Marine Supply tax violations2013ATTTB$22,102
USA Tax & Insurance Services, Inc. investor protection violation2012IL-SEC$22,100
Amdocs IT Services, LLC tax violations2013CT-AG$22,005
The Stoney Creek Brewing Company tax violations2006ATTTB$22,000
REPUBLIC BANK & TRUST COMPANYRepublic Bancorpfinancial servicesbanking violation2009FDIC$22,000
SK Global America, Inc. economic sanction violation2005OFAC$22,000
Linker Equipment Corporation economic sanction violation2003OFAC$22,000
State Street Bank & Trust CoState Street Corp.financial serviceseconomic sanction violation2003OFAC$22,000
VALLEY BANK banking violation2010FDIC$22,000
MAINSOURCE BANKFirst Financial Bancorp.financial servicesbanking violation2010FDIC$22,000
CITIGROUP GLOBAL MARKETSCitigroupfinancial servicesinvestor protection violation2008VA-SEC$22,000
ELITE SPORTS ENTERPRISES, INC. investor protection violation2015VA-SEC$22,000
EXPANSION INDUSTRIES, LLC investor protection violation2017VA-SEC$22,000
Thomson Financial Advisors LLC investor protection violation2019WA-FIN$22,000
Wesleyan Investment Foundation, Inc. investor protection violation2022NE-DBF$22,000
Bricker Financial Planning, LLC investor protection violation2023PA-BKG$22,000
RS Import Export Trading LLC investor protection violation2024WA-SEC$22,000
Kraft Power Corp. tax violations2015CT-AG$21,952
Cecil Bank banking violation2010FED$21,945
GREAT SOUTHERN BANKGreat Southern Bancorpfinancial servicesbanking violation2011FDIC$21,935
Bank of Kampsville banking violation2016FDIC$21,819
Perot Systems CorporationNippon Telegraph & Telephonetelecommunicationseconomic sanction violation2005OFAC$21,776
Capital Planning Alliance, Inc. investor protection violation2010IL-SEC$21,701
First State Bank of Burnet banking violation2019FDIC$21,700
LD Telecommunications, Inc. economic sanction violation2010OFAC$21,671
EMIGRANT BANK banking violation2011FDIC$21,650
Zenith Solutions, Inc. investor protection violation2024NJ-BOS$21,645
Patriot Tobacco Co. tax violations2004ATTTB$21,585
KENNEBUNK SAVINGS BANK banking violation2009FDIC$21,525
Basic Investors Inc. investor protection violation2008CT-SEC$21,500
Eagle Strategies LLC investor protection violation2011IL-SEC$21,500
Couch Oil & Gas, Inc. investor protection violation2016WA-FIN$21,500
I. P. Holding, L.L.C. investor protection violation2010MO-SEC$21,470
Tofasco of America, Inc. economic sanction violation2014OFAC$21,375
SF Investments Inc. investor protection violation2005TN-SEC$21,325
Allstate Financial Services, LLCAllstatefinancial servicesinvestor protection violation2002FL-OFR$21,300
CARROLLTON BANK banking violation2007FDIC$21,250
Stocktradefxt investor protection violation2022WA-SEC$21,250
Great Nation Investment Corp. investor protection violation2008AR-SEC$21,112
San Luis Spirits, Inc. tax violations2009ATTTB$21,000
First Northern Bank of Dixon banking violation2017FDIC$21,000
Tops Markets, Inc.Tops Marketsretailingtax violations2000NY-AG$21,000
Sunset Financial Services, Inc. investor protection violation2002FL-OFR$21,000
Community Bank banking violation2008OR-FIN$21,000
Basin Oil and Gas Corporation investor protection violation2001TN-SEC$21,000
REGAL NAILS, LLC investor protection violation2007VA-SEC$21,000
DAVI NAILS SALON AND SPA, LLC investor protection violation2018VA-SEC$21,000
Moe Investment Management, LLC investor protection violation2015WA-FIN$21,000
Westwood Holdings, Inc. investor protection violation2005WA-FIN$21,000
24XploitTrade investor protection violation2021WA-SEC$21,000
E&H Investment Services, LLC investor protection violation2021SC-INS$20,975
Lactalis USA, Inc.Lactalisfood productseconomic sanction violation2009OFAC$20,950
Brookstreet Securities Corp. investor protection violation2007MO-SEC$20,950
Corporate Architects, Inc. investor protection violation2004AZ-CC$20,925
Global Med Technologies, Inc. tax violations2011CT-AG$20,910
Tecan U.S., Inc. tax violations2013CT-AG$20,895
Harris Environmental Systems, Inc. tax violations2011CT-AG$20,843
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.