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
Badger Bank banking violation2019FDIC$19,600
Cornerstone Asset Management, Inc. investor protection violation2020VA-SEC$19,500
Gary Goldberg & Co., Inc investor protection violation2009FINRA$19,500
Independent Financial Planning, LLC investor protection violation2022VA-SEC$19,500
Smart for Life, Inc. investor protection violation2024SEC$19,500
Redfin Network Inc. accounting fraud or deficiencies2014SEC$19,480
Helena National Bank banking violation2014OCC$19,450
Edifecs, Inc. tax violations2015CT-AG$19,425
Panda Trucking LLC investor protection violation2015ND-SEC$19,400
AZ REl School, LLC and SFG Real Estate Holdings, LLC investor protection violation2022AZ-CC$19,371
First National Bank economic sanction violation2004OFAC$19,200
Branch Banking & Trust Co.Truist Financialfinancial serviceseconomic sanction violation2014OFAC$19,125
Compass BankPNC Financial Servicesfinancial serviceseconomic sanction violation2013OFAC$19,125
Engineering Planning and Management, Inc. tax violations2014CT-AG$19,065
Hawkins Wealth Advisory LLC investor protection violation2017AZ-CC$19,028
Q4X, LLC tax violations2010ATTTB$19,000
Integra Bank National Association banking violation2009OCC$19,000
Captal Guardian, Inc. investor protection violation2010IL-SEC$19,000
B&B Energy of New Orleans Inc. investor protection violation2017MS-SEC$19,000
KLINE FRANCHISING, INC. investor protection violation2017VA-SEC$19,000
Aegis Capital Corp. investor protection violation2001FINRA$19,000
Kuehne & Nagel, Inc.Kuehne & Nagelfreight and logisticseconomic sanction violation2005OFAC$18,957
New System Associates LLC tax violations2016CT-AG$18,938
WEST BANK banking violation2009FDIC$18,920
Brasseler USA economic sanction violation2012OFAC$18,900
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020AL-SEC$18,874
BANK OF CLOVIS, THE banking violation2010FDIC$18,825
Bank of Bluffs banking violation2019FDIC$18,812
Air Jamaica Ltd. economic sanction violation2004OFAC$18,750
Norton Lilly International economic sanction violation2011OFAC$18,750
Independent Financial Group, LLC investor protection violation2020SD-SEC$18,750
First Union BankWells Fargofinancial serviceseconomic sanction violation2004OFAC$18,740
UniBank Fiscal Advisory Systems, Inc. tax violations2015CT-AG$18,675
Virginia Commercial Capital Corp. investor protection violation2012IL-SEC$18,500
2946033 CANADA, Inc. dba The Mad Science Group investor protection violation2013MD-SEC$18,500
Ultimate Business Solutions, LLC investor protection violation2015MO-SEC$18,500
Renegade Investment Properties, Inc. investor protection violation2017MO-SEC$18,500
Wisconsin River Bank banking violation2020FDIC$18,500
Intuitive Surgical, Inc.Intuitive Surgicalmedical equipment and suppliestax violations2012CT-AG$18,435
Pinnacle Plus Capital LLC investor protection violation2020ID-SEC$18,423
American ExpressAmerican Expressfinancial serviceseconomic sanction violation2004OFAC$18,391
PRN Medical Services, LLC tax violations2014CT-AG$18,270
Seven Brides Brewing Company tax violations2019ATTTB$18,230
Jem-R, Inc. tax violations2013CT-AG$18,172
National Bank of Ohio banking violation2013OCC$18,160
The McGraw Co. tax violations2015CT-AG$18,120
Riverside National Bank of Florida banking violation2007OCC$18,100
POLK COUNTY BANK banking violation2011FDIC$18,095
THE BANK OF WAYNESBORO banking violation2011FDIC$18,095
JP Morgan Chase BankJPMorgan Chasefinancial serviceseconomic sanction violation2004OFAC$18,094
Ohnward Bank & Trust banking violation2013FDIC$18,040
Northern Trust, IBCNorthern Trustfinancial serviceseconomic sanction violation2003OFAC$18,027
Liberty Savings Bank, FSB banking violation2013OCC$18,000
Stoller Wholesale Wine & Spirits, Inc. tax violations2009ATTTB$18,000
Caterpillar, Inc.Caterpillar Inc.heavy equipmenteconomic sanction violation2003OFAC$18,000
World Courier Management, Inc. economic sanction violation2003OFAC$18,000
Target Capital Management, LLC investor protection violation2017FL-OFR$18,000
Krystal Energy Corp. investor protection violation2006MO-SEC$18,000
Genshare Acquisition, Inc. investor protection violation2012MO-SEC$18,000
Moloney Securities Co., Inc. investor protection violation2016MO-SEC$18,000
Westpark Capital, Inc. investor protection violation2017MO-SEC$18,000
Sunset Financial Services, Inc. investor protection violation2007MS-SEC$18,000
NEXT FINANCIAL GROUP, INC.Atria Wealth Solutionsfinancial servicesinvestor protection violation2015VA-SEC$18,000
37th Parallel Properties Investment Group, LLC investor protection violation2018VA-SEC$18,000
Strix Leviathan I, LLC investor protection violation2019WA-FIN$18,000
Upstream Solutions, LLC investor protection violation2015WA-FIN$18,000
Herzog, Heine, Geduld, Inc. investor protection violation2001FINRA$18,000
Savage Arms, Inc. tax violations2015CT-AG$17,963
Cejka Search, Inc. tax violations2014CT-AG$17,925
THE PEOPLES BANK & TRUST COMPANY banking violation2004FDIC$17,900
The BABCO Group, LLC investor protection violation2007ID-SEC$17,877
Citizens Security Bank & Trust economic sanction violation2005OFAC$17,831
Texas Energy Investment Solutions, inc. investor protection violation2007MO-SEC$17,831
Redbird Management Group investor protection violation2011IN-SEC$17,800
Telecom Infrastructure Corp. tax violations2014CT-AG$17,715
CATHAY BANKCathay General Bancorpfinancial servicesbanking violation2011FDIC$17,710
FirstBank Puerto RicoFirst Bancorp (Puerto Rico)financial servicesbanking violation2019FDIC$17,700
Rothschild Investment Corp. investor protection violation2008AL-SEC$17,646
Marine Bank & Trust Company banking violation2021FDIC$17,625
Harvest Financial Corp. investor protection violation2006IL-SEC$17,600
K Vintners, LLC tax violations2011ATTTB$17,500
Olay LLCProcter & Gamblehousehold and personal care productstax violations2010ATTTB$17,500
Burritt & Son, Inc. tax violations2008ATTTB$17,500
Aban Offshore Limited economic sanction violation2017OFAC$17,500
Secured Financial Services, Inc. investor protection violation2005MD-SEC$17,500
DGF Investment Advisers, Inc. investor protection violation2005MD-SEC$17,500
Great American Investors, Inc. investor protection violation2007MO-SEC$17,500
Bruce Fund, Inc. investor protection violation2006NE-DBF$17,500
Spartan Capital Securities LLC investor protection violation2012NH-BSR$17,500
Granite Associates Inc. investor protection violation2005TN-SEC$17,500
EDI Financial Inc. investor protection violation2008TX-SEC$17,500
EASTCORP BUSINESS SERVICES investor protection violation2009VA-SEC$17,500
THE SENIOR'S CHOICE INC. investor protection violation2010VA-SEC$17,500
Thome Financial Management, LLC investor protection violation2012WA-FIN$17,500
MKT Investments, LLC investor protection violation2021NH-BSR$17,500
Donnelly & Co., Inc. investor protection violation2000FINRA$17,500
Roots Real Estate Investment Community I, LLC investor protection violation2024TX-SEC$17,500
Knight Industries and Associates, Inc. economic sanction violation2008OFAC$17,469
SBG Forever, Inc. et al. investor protection violation2013IN-SEC$17,465
Communications Test Design, Inc. tax violations2012CT-AG$17,460
Overtime Franchise LLC investor protection violation2023VA-SEC$17,400
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.