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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
Harris Environmental Systems, Inc. tax violations2011CT-AG$20,843
Maritech Commercial Inc. economic sanction violation2013OFAC$20,800
PureInvestor.com, Inc. and PIPS Inc. and PIC Trust Ltd. investor protection violation2005MO-SEC$20,800
Prudential Investments, LLC investor protection violation2009MD-SEC$20,712
FIRST SECURITY BANK banking violation2005FDIC$20,700
B & T Field Merchandising LLC tax violations2016CT-AG$20,700
Superior Technical Resources, Inc. tax violations2011CT-AG$20,685
Gibraltar Precious Metals Corp. investor protection violation2011OK-SEC$20,573
Sweetwater Brewing Company tax violations2012ATTTB$20,567
COMMERCIAL STATE BANK banking violation2009FDIC$20,535
First Command Advisory Services, Inc. investor protection violation2021VA-SEC$20,500
Safe Harbour LLC investor protection violation2019CT-SEC$20,450
Sierra Pacific Mortgage Company Inc. investor protection violation2002OR-FIN$20,360
Hold Brothers Online Investment Services LLC investor protection violation2010RI-FIN$20,300
AllianceBernstein L.P.Equitable Holdingsfinancial servicesinvestor protection violation2013CO-SEC$20,232
Numara Software, Inc. tax violations2013CT-AG$20,145
William Gallagher Associates Insurance Brokers, Inc. tax violations2015CT-AG$20,130
McMahan Securities Co. L.P. investor protection violation2010CT-SEC$20,130
AIG Aerospace Adjustment Services, Inc. tax violations2014CT-AG$20,085
Legacy Bank banking violation2013FDIC$20,000
Bank of Dade banking violation2013FDIC$20,000
PrimeSouth Bank banking violation2014FDIC$20,000
Bank of Coushatta banking violation2013FDIC$20,000
Peoples Bank banking violation2013FDIC$20,000
Finck Cigar Company, LP tax violations2014ATTTB$20,000
B.G.A. International USA Inc. tax violations2012ATTTB$20,000
U.S. Flue-Cured Tobacco Growers, Inc. tax violations2011ATTTB$20,000
Robert Talbott Inc. d/b/a Robert Talbott Vineyards & Winery tax violations2010ATTTB$20,000
Sand Hill Exchange investor protection violation2015SEC$20,000
Greater Wenatchee Regional Events Center Public Facilities District investor protection violation2013SEC$20,000
Tiger Mountain Transport, Ltd. tax violations2009ATTTB$20,000
SSC International, Inc. tax violations2008ATTTB$20,000
CNS Enterprises, Inc. (Four Seasons Trading Co.) tax violations2004ATTTB$20,000
Nan Yang Trading Co. Inc. tax violations2000ATTTB$20,000
Nexgen Software Systems, Inc. investor protection violation2006CFTC$20,000
United Energy, Inc. investor protection violation2004CFTC$20,000
Olam International LimitedOlam Groupagribusinessinvestor protection violation2004CFTC$20,000
FIRST SECURITY STATE BANK banking violation2006FDIC$20,000
Buehler Ltd.Illinois Tool Worksindustrial equipmenteconomic sanction violation2008OFAC$20,000
SKE Midwestern, Inc. economic sanction violation2007OFAC$20,000
Colt International, Inc economic sanction violation2004OFAC$20,000
Santander Bank & Trust (Bahamas) LtdBanco Santanderfinancial serviceseconomic sanction violation2004OFAC$20,000
Dow Agrosciences, LLCCortevaagribusinesseconomic sanction violation2003OFAC$20,000
Voices in the Wilderness economic sanction violation2003OFAC$20,000
The First National Bank of Brewster banking violation2006OCC$20,000
First National Bank of OmahaFirst National of Nebraskafinancial servicesbanking violation2005OCC$20,000
EquityAlert.com, Inc. investor protection violation2000SEC$20,000
JW Charles Financial Services, Inc. investor protection violation2000SEC$20,000
New Concepts, L.L.C. investor protection violation2000SEC$20,000
Free Spirit Social Club, Inc. tax violations2016ATTTB$20,000
V.O.S. Selections, Inc. tax violations2016ATTTB$20,000
Delaney Equity Group LLC investor protection violation2016SEC$20,000
Mitsubishi UFJ Securities (USA), Inc.Mitsubishi UFJ Financial Groupfinancial servicesinvestor protection violation2016SEC$20,000
Fifth Third Securities, Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2015SEC$20,000
Joseph Yafeh CPA, Inc. accounting fraud or deficiencies2014SEC$20,000
EM Capital Management, LLC? investor protection violation2012SEC$20,000
Asset Advisors, LLC investor protection violation2011SEC$20,000
LACE Financial Corp. investor protection violation2010SEC$20,000
Cigar City Brewing LLC tax violations2018ATTTB$20,000
Consulting Services Group, LLC investor protection violation2007SEC$20,000
Fahnestock & Co., Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2000SEC$20,000
Gold Asset Management, Inc. investor protection violation2000SEC$20,000
Heritage Tobacco LLC tax violations2019ATTTB$20,000
Boston Communications Co., Inc. tax violations2006MA-AG$20,000
First Ipswich Bank banking violation2019FED$20,000
Outreach Associates, Inc. accounting fraud or deficiencies2010KY-AG$20,000
Vinifera Wine Company LLC tax violations2019ATTTB$20,000
Colorado East Bank & Trust banking violation2012FDIC$20,000
Aegis Electronic Group, Inc. economic sanction violation2011OFAC$20,000
PMB Helin Donovan, LLP accounting fraud or deficiencies2019PCAOB$20,000
Weld Asia Associates accounting fraud or deficiencies2017PCAOB$20,000
Seale and Beers CPAs, LLC accounting fraud or deficiencies2017PCAOB$20,000
Fulvio & Associates, L.L.P. accounting fraud or deficiencies2017PCAOB$20,000
BDO Hungary Audit, Ltd.BDO Internationalbusiness servicesaccounting fraud or deficiencies2017PCAOB$20,000
Canuswa Accounting & Tax Services Inc. accounting fraud or deficiencies2017PCAOB$20,000
Cutler & Co., LLC accounting fraud or deficiencies2017PCAOB$20,000
Roth & Company, P.C. accounting fraud or deficiencies2016PCAOB$20,000
Goracke & Associates, P.C. accounting fraud or deficiencies2015PCAOB$20,000
Mistretta Associates accounting fraud or deficiencies2015PCAOB$20,000
Morrill & Associates, LLC accounting fraud or deficiencies2015PCAOB$20,000
Brock, Schechter & Polakoff, LLP accounting fraud or deficiencies2012PCAOB$20,000
Caruba International, LLC investor protection violation2005AL-SEC$20,000
Morgan Keegan & Co.Raymond James Financialfinancial servicesinvestor protection violation2017AL-SEC$20,000
Nationwide Mortgage Concepts, LLC investor protection violation2010AR-SEC$20,000
W.R Starkey Mortgage, LLP investor protection violation2010AR-SEC$20,000
Krisell Oil Company, Inc. investor protection violation2011AR-SEC$20,000
National Financial Group and World Wide Business Opportunities, LLC investor protection violation2000AZ-CC$20,000
Global Harvest Corp. investor protection violation2001AZ-CC$20,000
Parklane International Corp. investor protection violation2006AZ-CC$20,000
Reserve Oil & Gas, Inc. investor protection violation2008AZ-CC$20,000
Mountain State Power, Inc. investor protection violation2012AZ-CC$20,000
JMR Capital Management, Inc. investor protection violation2018CA-DFPI$20,000
Digital Entertainment Corp. investor protection violation2006CT-SEC$20,000
International Vacations, Ltd. investor protection violation2006CT-SEC$20,000
The Private Mortgage Fund, LLC investor protection violation2007CT-SEC$20,000
Argyle Capital, LLC investor protection violation2007CT-SEC$20,000
Oxford Micro Devices, Inc. investor protection violation2008CT-SEC$20,000
Woodstock Financial Group, Inc. investor protection violation2010CT-SEC$20,000
Vining Sparks IBG, L.P. investor protection violation2010CT-SEC$20,000
Andrew Garrett Inc. investor protection violation2010CT-SEC$20,000
A&F Financial Securities, Inc. investor protection violation2011CT-SEC$20,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.