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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
Safevest LLC investor protection violation2009CFTC$25,000,000
American International Group, Inc.American International Groupfinancial servicesaccounting fraud or deficiencies2006DOJ_CRIMINAL$25,000,000
Riggs Bank National AssociationPNC Financial Servicesfinancial servicesanti-money-laundering deficiencies2004OCC$25,000,000
ICAP plcCME Groupfinancial servicesinvestor protection violation2009SEC$25,000,000
Zurich Financial ServicesZurich Insurancefinancial servicesaccounting fraud or deficiencies2008SEC$25,000,000
The BISYS GroupCitigroupfinancial servicesaccounting fraud or deficiencies2007SEC$25,000,000
Motorola Inc.Motorola Solutionstelecommunicationsaccounting fraud or deficiencies2007SEC$25,000,000
Doral Financial Corporation accounting fraud or deficiencies2006SEC$25,000,000
RS Investment Management L.P. investor protection violation2004SEC$25,000,000
Lucent Technologies Inc.Nokiatelecommunicationsaccounting fraud or deficiencies2004SEC$25,000,000
J.P. Morgan Securities Inc.JPMorgan Chasefinancial servicesinvestor protection violation2003SEC$25,000,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2017CFTC$25,000,000
Jefferies LLCJefferies Financial Groupdiversifiedtoxic securities abuses2014USAO$25,000,000
Citibank, N.A.Citigroupfinancial servicesbanking violation2019OCC$25,000,000
AOLApollo Global Managementprivate equity (including portfolio companies)accounting fraud or deficiencies2006AK-AG$25,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2010FL-AG$25,000,000
MBIA, Inc.MBIAfinancial servicesinvestor protection violation2007NY-AG$25,000,000
Time Warner accounting fraud or deficiencies2006AK-AG$25,000,000
Wachovia Capital Markets LLCWells Fargofinancial servicesinvestor protection violation2006MULTI-AG$25,000,000
National Oilwell VarcoNOV Inc.oilfield services and supplieseconomic sanction violation2016USAO$25,000,000
Citigroup, Inc.Citigroupfinancial servicesaccounting fraud or deficiencies2003NY-MANDA$25,000,000
J.P. Morgan Chase & Co.JPMorgan Chasefinancial servicesaccounting fraud or deficiencies2003NY-MANDA$25,000,000
PricewaterhouseCoopersPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2014NY-DFS$25,000,000
Bear, Stearns & Co. Inc.JPMorgan Chasefinancial servicesinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
J.P. Morgan Securities Inc.JPMorgan Chasefinancial servicesinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
JPMorgan Chase & Co.JPMorgan Chasefinancial servicesinvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
Lehman Brothers Inc. investor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
Morgan Stanley & Co.Morgan Stanleyfinancial servicesinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
UBS Warburg and UBS PaineWebberUBSfinancial servicesinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
MetLife Securities, Inc.MetLifefinancial servicesinvestor protection violation2016FINRA$25,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2022SEC$25,000,000
Grand River Enterprises Six Nations, Ltd. tax violations2022NY-AG$25,000,000
Native Wholesale Supply Company, Inc. tax violations2022NY-AG$25,000,000
BMO Capital Markets CorpBank of Montrealfinancial servicesinvestor protection violation2023SEC$25,000,000
Mizuho Securities USA LLCMizuho Financialfinancial servicesinvestor protection violation2023SEC$25,000,000
DWS Investment Management Americas Inc.Deutsche Bankfinancial servicesinvestor protection violation2023SEC$25,000,000
Charter Communications Inc.Charter Communicationstelecommunicationsaccounting fraud or deficiencies2023SEC$25,000,000
KPMG Accountants N.V.KPMGbusiness servicesaccounting fraud or deficiencies2024PCAOB$25,000,000
Merrill Lynch Commodities, Inc.Bank of Americafinancial servicesinvestor protection violation2019CFTC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $24,900,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2006NJ-AG$24,750,000
Wachovia Capital Markets LLCWells Fargofinancial servicesinvestor protection violation2007MULTI-FIN$24,650,000
General Reinsurance CorporationBerkshire Hathawaydiversifiedaccounting fraud or deficiencies2010DOJ_CRIMINAL$24,500,000
Stifel, Nicolaus & Co., Inc.Stifel Financialfinancial servicesinvestor protection violation2016SEC$24,500,000
Tyco International Ltd., Tyco Electronics Ltd., and Covidien Ltd.Johnson Controlsautomotive partsinvestor protection violation2009MI-AG$24,500,000
ITG investor protection violation2017SEC$24,400,000
Bittrex, Inc. economic sanction violation2022OFAC$24,280,829
Crowd Machine, Inc. and Metavine, Inc. investor protection violation2024SEC$24,234,548
Dreyfus Sons & Co Ltd, Banquiers tax violations2015DOJ_TAX$24,161,000
AK Equity Group LLC and Xapphire LLC investor protection violation2023CFTC$24,080,325
BNY Mellon Securities LLCBank of New York Mellonfinancial servicesinvestor protection violation2011SEC$24,045,447
Queen Shoals, LLC, Queen Shoals II, LLC, and Select Fund, LLC investor protection violation2011CFTC$24,000,000
Arab Bank PLC anti-money-laundering deficiencies2005OCC$24,000,000
Block.one investor protection violation2019SEC$24,000,000
Bittrex Inc. et al. investor protection violation2023SEC$24,000,000
Bittrex Inc. investor protection violation2023SEC$24,000,000
BofA Securities, Inc.Bank of Americafinancial servicesinvestor protection violation2023FINRA$24,000,000
Maerki Baumann & Co. AG tax violations2015DOJ_TAX$23,920,000
Executive Commodity Corp. investor protection violation2008CFTC$23,910,000
Liechtensteinische Landesbank AG tax violations2013USAO$23,800,000
Silver Star FX LLC dba Silver Star Live and Silver Star Live Software LLC investor protection violation2021CFTC$23,506,392
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2017NY-AG$23,500,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2007NY-AG$23,300,000
Summitcrest Capital, Inc. investor protection violation2023SEC$23,181,761
Phaetra Capital GP LLC, Phaetra Capital Management LP, and Argenta Group LLC investor protection violation2018CFTC$23,117,551
Commercial Express, LLC and Progressive Financial, Inc. investor protection violation2002SEC$23,032,869
Complete Developments, LLC and Investment International Inc. investor protection violation2013CFTC$23,000,000
Time Warner Inc. et al. accounting fraud or deficiencies2006PA-AG$23,000,000
Fabio Bretas de Freitas and Phy Capital Investments LLC investor protection violation2019CFTC$22,986,190
Voya Financial Advisors, Inc.Voya Financialfinancial servicesinvestor protection violation2020SEC$22,919,155
Zilmil, Inc. investor protection violation2019CFTC$22,854,289
Trader's International Return Network investor protection violation2013CFTC$22,800,000
eAdGear Inc. accounting fraud or deficiencies2016SEC$22,640,000
Calvert Investment Distributors, Inc. and Calvert Investment Management, Inc. investor protection violation2017SEC$22,614,534
Citadel Securities LLC investor protection violation2017SEC$22,600,000
Dinar Corp., Inc. and My Monex, Inc. investor protection violation2020CFTC$22,600,000
Century Maxim Fund and AJR Capital investor protection violation2007CFTC$22,500,000
Morgan StanleyMorgan Stanleyfinancial servicestoxic securities abuses2016IL-AG$22,500,000
Goldman SachsGoldman Sachsfinancial servicesinvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $22,500,000
Nexo Capital, Inc. investor protection violation2023MULTI-FIN$22,500,000
Nexo Capital Inc. investor protection violation2023SEC$22,500,000
KuCoin securities issuance or trading violation2023NY-AG$22,066,642
Citigroup Inc.Citigroupfinancial servicesbanking violation2012FED$22,000,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2012SEC$22,000,000
Risk Capital Trading Group, Inc investor protection violation2006CFTC$22,000,000
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2005SEC$22,000,000
Rahn + Bodmer Co. tax violations2021USAO$22,000,000
Nasdaq Futures, Inc.Nasdaq Inc.financial servicesinvestor protection violation2024CFTC$22,000,000
Commodity Investment Group Inc., International Commodity Clearing LLC and National Commodities Corporation Inc. investor protection violation2007CFTC$21,819,785
Union Bank of California, N.A.U.S. Bancorpfinancial servicesanti-money-laundering deficiencies2007DOJ_CRIMINAL$21,600,000
Banco Popular de Puerto RicoPopular Inc.financial servicesanti-money-laundering deficiencies2003DOJ_CRIMINAL$21,600,000
Level Global Investors LP investor protection violation2013SEC$21,514,274
Taberna Capital Management investor protection violation2015SEC$21,500,000
SmartWear Technologies, Inc. investor protection violation2012CA-DFPI$21,420,639
BISYS Fund Services, Inc. investor protection violation2006SEC$21,400,000
Tyche Asset Management LLC et al. investor protection violation2023CFTC$21,308,692
SunTrust Mortgage Inc.Truist Financialfinancial servicesbanking violation2012DOJ_RIGHTS$21,000,000
D.H. Blair & Co. accounting fraud or deficiencies2002NY-MANDA$21,000,000
Genesis Global Capital, LLC investor protection violation2024SEC$21,000,000
Wellesley Holdings Limited et al. investor protection violation2024SEC$21,000,000
CSK Auto CorporationO'Reilly Automotiveretailingaccounting fraud or deficiencies2011DOJ_CRIMINAL$20,900,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.