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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
Overtime Franchise LLC investor protection violation2023VA-SEC$17,400
Newbridge Securities Corp. investor protection violation2013AR-SEC$17,377
CROSS KEYS BANK banking violation2009FDIC$17,335
REGIONAL MISSOURI BANK banking violation2010FDIC$17,325
Prudential Equity Group, LLCPrudential Financialfinancial servicesinvestor protection violation2004FINRA$17,306
JP Morgan Chase & Co.JPMorgan Chasefinancial serviceseconomic sanction violation2004OFAC$17,303
DOUGLAS AQUATICS, INC. investor protection violation2010VA-SEC$17,300
Cape Bank banking violation2012FDIC$17,250
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2006ND-SEC$17,204
Open Link Financial, Inc. tax violations2013CT-AG$17,190
First Bank banking violation2003FED$17,150
CSIR Group, LLC investor protection violation2018SEC$17,142
ACE SUSHI & ASIANA investor protection violation2006VA-SEC$17,100
Rudox Engine and Equipment Co. tax violations2015CT-AG$17,035
FIRST GUARANTY BANK banking violation2009FDIC$17,000
FIDELITY SAVINGS BANK banking violation2009FDIC$17,000
CITIZENS STATE BANK banking violation2007FDIC$17,000
FLANAGAN STATE BANK banking violation2012FDIC$17,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2004ND-SEC$17,000
Eaton Vance Income Fund of BostonMorgan Stanleyfinancial servicesinvestor protection violation2006NE-DBF$17,000
NAI BLUESTONE REAL ESTATE investor protection violation2011VA-SEC$17,000
Dental Fix Rx, LLC investor protection violation2019VA-SEC$17,000
Gulftex Operating, Inc. and Frenchtown Acres, LLC investor protection violation2014WA-FIN$17,000
Milestone Life Settlement Fund, LLC et al. investor protection violation2014WA-FIN$17,000
Heritage Bank banking violation2021FDIC$17,000
Easthampton Savings Bank banking violation2022FED$17,000
WealthWise Inc. investor protection violation2023TN-SEC$17,000
Starnet Commercial Flooring, Inc. tax violations2014CT-AG$16,943
Safe Harbor Financial LLC investor protection violation2009MO-SEC$16,920
Garlock Sealing Tech, LLCEnPro Industriesmiscellaneous manufacturingeconomic sanction violation2010OFAC$16,875
Alfa Laval Inc.Alfa Lavalindustrial equipmenteconomic sanction violation2021OFAC$16,875
Frank Crystal & Co., Inc. tax violations2013CT-AG$16,853
Guaranteed Investigations, Inc. investor protection violation2019SEC$16,846
Tax Technologies, Inc. tax violations2014CT-AG$16,830
Bank of Lake Mills banking violation2017FDIC$16,802
Pike Financial Group, LLC investor protection violation2016MO-SEC$16,800
Glacier BankGlacier Bancorpfinancial servicesbanking violation2020FDIC$16,750
WEST STREET FINANCIAL SERVICES LLC investor protection violation2023FL-OFR$16,750
Amory Federal Savings & Loan Association banking violation2015OCC$16,700
Umbrella Research, LLC investor protection violation2017SEC$16,676
Newmark Building Services, LLC tax violations2015CT-AG$16,665
Montgomery Watson Harza Engineering Co economic sanction violation2004OFAC$16,627
American Express Travel Related Services Co., Inc.American Expressfinancial serviceseconomic sanction violation2007OFAC$16,625
Freeman Audio Visual, Inc. tax violations2015CT-AG$16,605
BRI Inc./Bellwether Resources International, Inc economic sanction violation2003OFAC$16,601
Cubic Pye Capital Management Inc. investor protection violation2023ME-SEC$16,548
CITIZENS FIRST BANK banking violation2009FDIC$16,535
SGIA LLC tax violations2016CT-AG$16,530
Sustainable Growth Advisers, LP tax violations2016CT-AG$16,530
THE PRAIRIE STATE BANK banking violation2005FDIC$16,500
Stolt-Nielsen Transportation Group economic sanction violation2005OFAC$16,500
Conoco Middle East Ltd.ConocoPhillipsoil and gaseconomic sanction violation2004OFAC$16,500
Conoco, IncConocoPhillipsoil and gaseconomic sanction violation2004OFAC$16,500
Lee Bank economic sanction violation2004OFAC$16,500
Seacoast National BankSeacoast Banking Corporation of Floridafinancial servicesbanking violation2006OCC$16,500
Brooklyn Ventures LLC tax violations2016CT-AG$16,500
First Federal Savings Bank of Elizabethtown banking violation2012FDIC$16,500
JUSTIN STATE BANK banking violation2011FDIC$16,500
Chandy Enterprises, LLC investor protection violation2017MD-SEC$16,500
Trine Labeling Systems Inc. economic sanction violation2005OFAC$16,498
Warren & Massey Asset Management Ltd., Inc. investor protection violation2009MO-SEC$16,430
WEST GATE BANK banking violation2003FDIC$16,400
B&B Worm Farm investor protection violation2002OK-SEC$16,400
United Bank banking violation2006FED$16,350
FIRST STATE BANK banking violation2010FDIC$16,300
Citigroup, N. A.Citigroupfinancial serviceseconomic sanction violation2008OFAC$16,250
Myers Industries, Inc.Myers Industriesmiscellaneous manufacturingeconomic sanction violation2008OFAC$16,250
Blue Grass Savings Bank banking violation2022FDIC$16,250
Chemical Bank banking violation2007FED$16,245
East West BankEast West Bancorpfinancial servicesbanking violation2007FED$16,245
Joseph M. Chapman, Inc. tax violations2013CT-AG$16,223
CITIZENS BUSINESS BANKCVB Financialfinancial servicesbanking violation2009FDIC$16,200
COMMONWEATLH BANK AND TRUST COMPANY banking violation2010FDIC$16,170
L & J Associates, Inc. tax violations2013CT-AG$16,140
The RWS Group, Inc. investor protection violation2004MO-SEC$16,120
Trapeze Software Group, Inc. tax violations2012CT-AG$16,118
PEOPLES STATE BANK banking violation2006FDIC$16,100
Rafferty Capital Markets, LLC investor protection violation2015CT-SEC$16,050
Finstate Investment LLC investor protection violation2024NH-BSR$16,026
FIRST COMMUNITY BANK OF BATESVILLE banking violation2005FDIC$16,000
The Bank of Currituck banking violation2003FED$16,000
Eastern National Bank banking violation2008OCC$16,000
Bank of New York MellonBank of New York Mellonfinancial servicesbanking violation2018FED$16,000
Silver Oak Securities, Inc. investor protection violation2010KY-FIN$16,000
Flyline Management L.P. investor protection violation2004TX-SEC$16,000
Flyline Genpar L.P. investor protection violation2004TX-SEC$16,000
bVisual, S.A. and bVisual Group, Ltd. investor protection violation2010WA-FIN$16,000
Scottrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2004FINRA$16,000
PeoplesBank, a Codorus Valley Company banking violation2023FDIC$16,000
Pylon Finance aka $PYLON investor protection violation2023CA-DFPI$16,000
Reign Wealth Logic, LLC investor protection violation2024OR-FIN$16,000
Bowen Development Co. tax violations2013CT-AG$15,960
WEST POINTE BANK banking violation2009FDIC$15,950
Charter Realty and Development Corp. tax violations2015CT-AG$15,930
G.D. Van Wagenen Financial Services, Inc. tax violations2009CT-AG$15,930
Dowling Financial Services, Inc. tax violations2014CT-AG$15,905
SUN SECURITY BANK banking violation2009FDIC$15,900
Ecopool, Inc. tax violations2016CT-AG$15,833
Park Bank banking violation2014FDIC$15,800
STATE BANK banking violation2014FED$15,785
Sunbelt Securities, Inc. investor protection violation2011KY-FIN$15,770
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.