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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
Sunbelt Securities, Inc. investor protection violation2011KY-FIN$15,770
Agricola Associates, LLC investor protection violation2015MO-SEC$15,755
First Interstate BankFirst Interstate Bancsystemfinancial servicesbanking violation2005FED$15,750
Trustees of Tufts College tax violations2015CT-AG$15,750
BTS Securities Corporation investor protection violation2008RI-FIN$15,694
Clinical Computer Systems, Inc. tax violations2012CT-AG$15,645
NORTHWEST GEORGIA BANK banking violation2007FDIC$15,600
THE DICKINSON COUNTY BANK banking violation2005FDIC$15,600
Eurofins Lancaster Laboratories, Inc.Eurofins Scientifichealthcare servicestax violations2013CT-AG$15,600
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020IN-SEC$15,575
CPP, Inc. tax violations2014CT-AG$15,525
Transpo Electronics, Inc. economic sanction violation2003OFAC$15,500
Citizens Bank banking violation2019FDIC$15,500
WEST BANK banking violation2010FDIC$15,500
Adam Dean, Inc. dba Kelly's Jr. #2 anti-money-laundering deficiencies2014FL-OFR$15,500
SKRIMP SHACK, LLC investor protection violation2016VA-SEC$15,500
LARADA SCIENCES, INC. investor protection violation2018VA-SEC$15,500
Ziff Brothers Investments, LLC tax violations2012CT-AG$15,480
Ironwood Wealth Management, LLC investor protection violation2020TX-SEC$15,442
Alliance Healthcare Services, Inc. tax violations2009CT-AG$15,427
Simmesport State Bank banking violation2013FDIC$15,400
CENTRAL CO-OPERATIVE BANK banking violation2011FDIC$15,400
MTS Packaging Systems, Inc. tax violations2012CT-AG$15,375
Fortifi Bank banking violation2020FDIC$15,375
Liberty Ammunition Inc. tax violations2018ATTTB$15,367
Pearl Carrol & Associates, LLC tax violations2012CT-AG$15,315
Swiss America Trading Corp. investor protection violation2021MN-FIN$15,292
Winter Equipment Company, Inc. tax violations2013CT-AG$15,269
AFS Technologies, Inc. tax violations2012CT-AG$15,240
Autogenomics, Inc. tax violations2016CT-AG$15,240
International Systems Management, Inc. economic sanction violation2005OFAC$15,227
Radiation Safety & Control Services, Inc. tax violations2012CT-AG$15,225
Primary Financial Services, LLC tax violations2014CT-AG$15,204
Blue Water Communications Group, LLC tax violations2013CT-AG$15,135
Bancroft State Bank banking violation2014FDIC$15,065
SEATTLE BANK banking violation2009FDIC$15,050
Great River Soy Processing Cooperative investor protection violation2006MO-SEC$15,037
THE CITIZENS BANK OF PHILADELPHIA, MISSISSIPPI banking violation2011FDIC$15,030
LaPlante Construction, Inc. tax violations2014CT-AG$15,015
The Jaffe Financial Group Inc. investor protection violation2019FL-OFR$15,001
United Citizens Bank of Southern Kentucky banking violation2013FDIC$15,000
Decatur County Bank banking violation2014FDIC$15,000
Citizens State Bank banking violation2013FDIC$15,000
Ancient Peak, Inc. tax violations2014ATTTB$15,000
Cedar Knoll Vineyards, Inc. tax violations2012ATTTB$15,000
Old Cuban Cigar Factory, Inc. tax violations2012ATTTB$15,000
Zarif Companies tax violations2012ATTTB$15,000
California Wine Transport Inc. tax violations2010ATTTB$15,000
Opolo Wines, LP tax violations2010ATTTB$15,000
BKD LLP accounting fraud or deficiencies2014SEC$15,000
Berman & Co. P.A. accounting fraud or deficiencies2014SEC$15,000
Adler Fels Winery tax violations2009ATTTB$15,000
Levecke Corporation tax violations2007ATTTB$15,000
Union Carbide Corporation (for World Ethanol Company)Dow Inc.chemicalstax violations2006ATTTB$15,000
Winebid.com, Inc. tax violations2005ATTTB$15,000
Frank-Lin Distillers Products, Ltd. tax violations2005ATTTB$15,000
Central Coast Wine Co. dba The Henry Wine Group tax violations2001ATTTB$15,000
CITIZENS STATE BANK banking violation2007FDIC$15,000
HILLS BANK AND TRUST COMPANY banking violation2004FDIC$15,000
Center for Cross Cultural Study, Inc. economic sanction violation2008OFAC$15,000
HBA Advisors, LLC investor protection violation2018SEC$15,000
Romano Brothers & Company investor protection violation2018SEC$15,000
Verbatim, LLC tax violations2018ATTTB$15,000
The First State Bank of Dongola banking violation2018FED$15,000
D.M. Keck & Company, Inc. investor protection violation2007SEC$15,000
Gemisys Corporation investor protection violation2002SEC$15,000
BB's Corner and Nitecap Entertainment tax violations2012NY-AG$15,000
Blue Slate Solutions, LLCExlService Holdingsbusiness servicestax violations2015CT-AG$15,000
German American BancorpGerman American Bancorpfinancial servicesbanking violation2012FDIC$15,000
Bank of Wolcott banking violation2012FDIC$15,000
Wisconsin Community Bank banking violation2012FDIC$15,000
Mid-Wisconsin Bank banking violation2012FDIC$15,000
Benchmark Bank banking violation2012FDIC$15,000
SIGNATURE BANK banking violation2011FDIC$15,000
AMBANK banking violation2011FDIC$15,000
CITIZENS SAVINGS BANK AND TRUST COMPANY banking violation2010FDIC$15,000
EVABANK banking violation2010FDIC$15,000
Wilson Tool International, Inc. economic sanction violation2011OFAC$15,000
Gregory & Associates, LLC accounting fraud or deficiencies2019PCAOB$15,000
Thayer O'Neal Company, LLC accounting fraud or deficiencies2019PCAOB$15,000
Raich Ende Malter & Co. LLP accounting fraud or deficiencies2019PCAOB$15,000
Bharat Parikh & Associates Chartered Accountants accounting fraud or deficiencies2019PCAOB$15,000
Deloitte & Touche Ltda.Deloittebusiness servicesaccounting fraud or deficiencies2019PCAOB$15,000
Zhang Hongling CPA, P.C. accounting fraud or deficiencies2018PCAOB$15,000
Frazier & Deeter, LLC accounting fraud or deficiencies2018PCAOB$15,000
Tarvaran Askelson & Company, LLP accounting fraud or deficiencies2018PCAOB$15,000
KPMG Auditores IndependentesKPMGbusiness servicesaccounting fraud or deficiencies2017PCAOB$15,000
PricewaterhouseCoopers Auditores, S.L.PricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2017PCAOB$15,000
Thomas J. Trumeter accounting fraud or deficiencies2017PCAOB$15,000
Scrudato & Co., PA accounting fraud or deficiencies2016PCAOB$15,000
Berkow, Schechter & Company LLP accounting fraud or deficiencies2016PCAOB$15,000
Goldman Kurland and Mohidin, LLP accounting fraud or deficiencies2016PCAOB$15,000
Harris & Gillespie CPA's, PLLC accounting fraud or deficiencies2015PCAOB$15,000
Morgan Keegan & Co.Raymond James Financialfinancial servicesinvestor protection violation2010AL-SEC$15,000
Corporate Property Associates 15 Inc. investor protection violation2010AL-SEC$15,000
Gateway Mortgage Group, LLC investor protection violation2009AR-SEC$15,000
Merrill Lynch & Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2010AR-SEC$15,000
McDonald Partners LLC investor protection violation2016AR-SEC$15,000
Alexander Capital, L.P. investor protection violation2019AR-SEC$15,000
Estate Services II, Inc. investor protection violation2000AZ-CC$15,000
Delta FX Trade investor protection violation2018AZ-CC$15,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.