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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
Access Securities, Inc. investor protection violation2001FINRA$14,000
Torrey Pines Securities, Inc. investor protection violation2001FINRA$14,000
Prosper MarketplaceProsper Marketplacefinancial servicesinvestor protection violation2015IN-SEC$13,957
The U.S./Cuba Labor Exchange economic sanction violation2006OFAC$13,950
Northwest Financial Group investor protection violation2007WA-FIN$13,950
North American Banking Company banking violation2022FED$13,950
Sea & Shore Contracting, Inc. tax violations2016CT-AG$13,818
Central Bank Illinois banking violation2013FDIC$13,800
Fresh Direct, LLCAhold Delhaizeretailingtax violations2014CT-AG$13,800
Star2Star Communications, LLC tax violations2014CT-AG$13,800
Renew Data Corp. tax violations2015CT-AG$13,755
The Reliable Automatic Sprinkler Co. Inc. tax violations2015CT-AG$13,755
LITTLE RIVER BANK banking violation2006FDIC$13,750
Archer Daniels Midland CompanyArcher Daniels Midlandagribusinesseconomic sanction violation2005OFAC$13,750
Alto Products Corp. economic sanction violation2004OFAC$13,750
Dewey Ballantine LLP economic sanction violation2003OFAC$13,750
Disarm Education Fund economic sanction violation2003OFAC$13,750
InterAudi Bank economic sanction violation2003OFAC$13,750
Power Plant Management Services, LLC tax violations2013CT-AG$13,740
Teddy Bear Pools, Inc. tax violations2015CT-AG$13,725
Cooper Industries, IncEatonindustrial equipmenteconomic sanction violation2003OFAC$13,658
O.T. Logistics, Inc. (dba Oregon Transfer Co.) tax violations2004ATTTB$13,647
National Engineering Service Corp. tax violations2015CT-AG$13,628
Cash Flow Capital, LLC investor protection violation2012MD-SEC$13,610
MarketsTheWorld Limited investor protection violation2017MO-SEC$13,600
Bank of AmericaBank of Americafinancial serviceseconomic sanction violation2004OFAC$13,573
Euro Fence, Inc. tax violations2016CT-AG$13,554
Rockland Trust Company banking violation2012FDIC$13,550
Earn Like a Pro, LLC investor protection violation2014MO-SEC$13,534
Fleetwood Corp. tax violations2015CT-AG$13,530
UNITED SOUTHERN BANK banking violation2001FDIC$13,500
GRABILL BANK banking violation2012FDIC$13,500
MAINSOURCE BANK, SUCCESSOR IN INTEREST TO MAINSOURCE BANK OF ILLINOIS, KANKAKEE, IL banking violation2010FDIC$13,500
Lanier Marine Liquidators economic sanction violation2011OFAC$13,500
Darel Baer Investment Advisory LLC investor protection violation2014CA-DFPI$13,500
Branch Banco, Inc. investor protection violation2007FL-OFR$13,500
MK Investments, LLC investor protection violation2016IN-SEC$13,500
Wesleyan Investment Foundation, Inc. investor protection violation2019OR-FIN$13,500
Digital Access, LLC investor protection violation2022AL-SEC$13,500
American National Bank banking violation2010OCC$13,450
Primavera Systems, Inc. economic sanction violation2007OFAC$13,430
Greenell Corp. tax violations2014CT-AG$13,416
CFC Investment Co. tax violations2012CT-AG$13,410
Wealth Management Institute, Ltd. investor protection violation2005MD-SEC$13,406
Bonded Filter Co. tax violations2014CT-AG$13,395
Kollmorgen Corporation economic sanction violation2019OFAC$13,381
Mecanex USA, Inc. tax violations2013CT-AG$13,373
Pacific Rim Energy, Inc. investor protection violation2019WA-FIN$13,350
3SI Security Systems, Inc. tax violations2014CT-AG$13,343
Fremont Bank banking violation2014FDIC$13,320
3D Money, LLC et al. investor protection violation2020WA-FIN$13,312
COMMUNITY BANK banking violation2008FDIC$13,310
COMMUNITY BANK banking violation2008FDIC$13,310
THE HOME BANK banking violation2006FDIC$13,300
Securities Compliance Department investor protection violation2005MO-SEC$13,298
Hill's Pet Nutrition Sales, Inc.Colgate-Palmolivehousehold and personal care productstax violations2016CT-AG$13,283
Bank of the Southwest banking violation2013FDIC$13,240
The Investment Advisory Group, L.L.C. investor protection violation2011AZ-CC$13,200
Nagarro, Inc. tax violations2015CT-AG$13,170
The Huntington Investment Co. investor protection violation2006CT-SEC$13,150
First Central Savings Bank banking violation2012FDIC$13,120
Eric J. Smith, Architect, P.C. tax violations2015CT-AG$13,100
Eric J. Smith, Architect, P.C. tax violations2014CT-AG$13,100
WAUMANDEE STATE BANK banking violation2009FDIC$13,090
WOOD & HUSTON BANK banking violation2010FDIC$13,090
COUNTRY BANK banking violation2010FDIC$13,090
FIRST STATE COMMUNITY BANK banking violation2011FDIC$13,035
Billy Ray Holt and Carolyn Holt tax violations2010ATTTB$13,000
Carrier Access Corp. economic sanction violation2003OFAC$13,000
HIGHLAND BANK banking violation2010FDIC$13,000
Valiant Industries Inc. et al. investor protection violation2016IN-SEC$13,000
National Securities Corp. investor protection violation2004MO-SEC$13,000
Wesleyan Investment Foundation Inc. investor protection violation2018TN-SEC$13,000
EWC FRANCHISE, LLC investor protection violation2013VA-SEC$13,000
McLawhorn Financial Advisors, Inc. investor protection violation2019VA-SEC$13,000
Best Western International, Inc. investor protection violation2020VA-SEC$13,000
Olympic Coast Investment, Inc. investor protection violation2010WA-FIN$13,000
LaSalle St. Securities, L.L.C. investor protection violation2000FINRA$13,000
Freedom Capital Advisors Inc. investor protection violation2021WA-SEC$13,000
First Fed Bank banking violation2023FDIC$13,000
CNB Bank banking violation2024FDIC$13,000
Approved Storage and Waste Hauling Inc. tax violations2014CT-AG$12,995
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020TN-SEC$12,994
L & R Distributors, Inc. tax violations2016CT-AG$12,983
Dennison Lubricants, Inc. tax violations2015CT-AG$12,953
Terre Haute First National Bank banking violation2003OCC$12,950
ALPINE BANK banking violation2009FDIC$12,925
Draeger Safety Diagnostics, Inc. tax violations2012CT-AG$12,855
Park Bank banking violation2020FDIC$12,841
Ameri-Kleen Inc. tax violations2014CT-AG$12,840
Global Physics Solutions, Inc. tax violations2014CT-AG$12,840
Heritage Bank of Florida banking violation2012FDIC$12,825
South American Trading, Inc. investor protection violation2010IN-SEC$12,772
AMERICAN HERITAGE BANK banking violation2010FDIC$12,750
Harbor Financial Services, LLC investor protection violation2006CT-SEC$12,750
Liquid Equities Corp. investor protection violation2015MO-SEC$12,733
Bamco, Inc. tax violations2015CT-AG$12,713
The Citizens Bank banking violation2012FDIC$12,705
CHARTER BANK EAU CLAIRE banking violation2010FDIC$12,700
INTEGRITY BANK banking violation2011FDIC$12,610
Prosper Marketplace, Inc.Prosper Marketplacefinancial servicesinvestor protection violation2009CT-SEC$12,602
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.