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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
Prosper Marketplace, Inc.Prosper Marketplacefinancial servicesinvestor protection violation2009CT-SEC$12,602
Solium Transcentive LLC tax violations2014CT-AG$12,600
VALLEY BUSINESS BANK banking violation2011FDIC$12,600
FAHS Construction Group, Inc. tax violations2014CT-AG$12,595
Bridge Energy Group, Inc. tax violations2015CT-AG$12,555
Toad Hollow Vineyards, Inc. tax violations2014ATTTB$12,500
Frontier Bank banking violation2005FED$12,500
FRP Services & Co. (America), Inc. economic sanction violation2008OFAC$12,500
Medtronic MiniMed, IncMedtronicmedical equipment and supplieseconomic sanction violation2004OFAC$12,500
Old National BankOld National Bancorpfinancial servicesbanking violation2004OCC$12,500
Joel R. Mogy Investment Counsel, Inc.? investor protection violation2001SEC$12,500
Preferred Care, Inc. tax violations2013CT-AG$12,500
The Boston Home, Inc. accounting fraud or deficiencies2001MA-AG$12,500
First Trust & Savings Bank banking violation2013FDIC$12,500
Casey State Bank banking violation2012FDIC$12,500
AbbyBank banking violation2012FDIC$12,500
Trans Pacific National Bank economic sanction violation2011OFAC$12,500
L.L. Bradford & Company, LLC accounting fraud or deficiencies2015PCAOB$12,500
First Kentucky Securities Corp. investor protection violation2016AL-SEC$12,500
Realty Mortgage Corp. investor protection violation2007AR-SEC$12,500
United Fidelity Funding Corp. investor protection violation2010AR-SEC$12,500
Wilshire-Pennington Group, Inc. investor protection violation2019AR-SEC$12,500
Viatical Center, Inc. investor protection violation2002AZ-CC$12,500
Salomon Whitney LLC investor protection violation2011CT-SEC$12,500
Meyers Associates, L.P. investor protection violation2011CT-SEC$12,500
Horter Investment Management, LLC investor protection violation2019CT-SEC$12,500
WCM Investment Management investor protection violation2005IL-SEC$12,500
Members Capital Advisors, Inc. investor protection violation2008IL-SEC$12,500
Pencrest Corp. investor protection violation2010IL-SEC$12,500
Morgan Keegan & Company, Inc.Raymond James Financialfinancial servicesinvestor protection violation2007MS-SEC$12,500
Malachi Financial, LLC investor protection violation2012MS-SEC$12,500
Pruco Securities, LLCPrudential Financialfinancial servicesinvestor protection violation2006NE-DBF$12,500
Rasmusson Financial Group, Inc. investor protection violation2011NE-DBF$12,500
Team Resources Inc. and School Creek Production and Development Fund I investor protection violation2012NH-BSR$12,500
Ensconce Data Technology Inc. investor protection violation2014NH-BSR$12,500
Collaborative Med LLC investor protection violation2012SC-SEC$12,500
East Coast Investments investor protection violation2013SC-SEC$12,500
Woodbury Financial Services Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2004TX-SEC$12,500
Integrity RIA, LLC investor protection violation2019TX-SEC$12,500
CHANELLO'S INTERNATIONAL, INC. investor protection violation2013VA-SEC$12,500
FOODNET FRANCHISING, INC. & investor protection violation2013VA-SEC$12,500
New Wave Innovations Ltd. investor protection violation2019WA-FIN$12,500
VI Capital Management, LLC investor protection violation2018WA-FIN$12,500
InvestingCI, LLC investor protection violation2017WA-FIN$12,500
TVDeeBee, Inc. investor protection violation2015WA-FIN$12,500
Mongolia Holdings, Inc. investor protection violation2015WA-FIN$12,500
BlueRay Technologies, LLC et al. investor protection violation2012WA-FIN$12,500
Private Lender Funding, Inc. and The Moyer Company investor protection violation2003WA-FIN$12,500
PrimeFund, Inc. dba WealthFlex investor protection violation2020WA-SEC$12,500
Doyle, Miles & Co., L.L.C. investor protection violation2004FINRA$12,500
Quantlab Securities, L.P. investor protection violation2004FINRA$12,500
New Vision Properties, LLC investor protection violation2021WA-SEC$12,500
Wealth Plus of the Dakotas Inc. investor protection violation2022SD-SEC$12,500
UC Asset LP investor protection violation2023WA-SEC$12,500
Calloway Laboratories, Inc. tax violations2016CT-AG$12,488
Union State Bank of West Salem banking violation2017FDIC$12,450
Waterfront Beer and Wine, Inc economic sanction violation2003OFAC$12,440
Levitan & Associates, Inc. tax violations2015CT-AG$12,435
Prairie State Bank and Trust banking violation2018FDIC$12,416
MONROE BANK & TRUST banking violation2009FDIC$12,400
BANK OF MINGO banking violation2002FDIC$12,400
The Union Bank banking violation2019FDIC$12,400
Plutus Financial Inc. DBA Abra investor protection violation2024KY-FIN$12,392
Bluepoint Solutions, Inc. tax violations2015CT-AG$12,383
Elliot & Associates Wealth Management Inc. investor protection violation2013FL-OFR$12,375
Dream Dinners, Inc. investor protection violation2012WA-FIN$12,375
Ross, Jeffrey & Antle LLC tax violations2016CT-AG$12,345
China Shipping (North America) Holding Co., Ltd economic sanction violation2004OFAC$12,340
Superior Manufacturing, Inc. investor protection violation2008MO-SEC$12,330
Donovan Marine, Inc. tax violations2014CT-AG$12,315
Berthel Fisher and Company Financial Services Inc.Berthel Fisherfinancial servicesinvestor protection violation2003ND-SEC$12,303
Encuity Research, LLC tax violations2016CT-AG$12,300
Navin, Haffty & Associates, LLC tax violations2014CT-AG$12,300
Truckers B2B, LLC tax violations2015CT-AG$12,300
Fidelity National Information ServicesFidelity National Information Servicesinformation technologyeconomic sanction violation2008OFAC$12,260
Pioneer Credit Recovery, Inc.Navientfinancial servicestax violations2013CT-AG$12,255
Wi-Lan Technologies Inc. tax violations2015CT-AG$12,255
THE COTTONPORT BANK banking violation2001FDIC$12,250
Priceline.com, IncorporatedBooking Holdingsmiscellaneous serviceseconomic sanction violation2008OFAC$12,250
First Nevada Marketing, Inc. investor protection violation2007MO-SEC$12,165
RF Technologies, Inc. tax violations2013CT-AG$12,150
Park Strategies, LLC economic sanction violation2020OFAC$12,150
FoodShouldTasteGood, Inc. tax violations2012CT-AG$12,120
STATE BANK & TRUST banking violation2007FDIC$12,050
King Mail & Wireless Inc. anti-money-laundering deficiencies2015FINCEN$12,000
Baltic Financial Services, Inc. anti-money-laundering deficiencies2010FINCEN$12,000
Mountain Valley Vineyards, Inc. tax violations2014ATTTB$12,000
Fine Vines, LLC tax violations2009ATTTB$12,000
D. & J.F. Cellars, Inc. tax violations2003ATTTB$12,000
B. Fernandez and Hermanos, Inc. tax violations2001ATTTB$12,000
MARION CENTER BANK banking violation2009FDIC$12,000
VALLEY BANK banking violation2008FDIC$12,000
DORAL BANK banking violation2007FDIC$12,000
FIRST BANKFirst Bancorp (North Carolina)financial servicesbanking violation2004FDIC$12,000
THE COULEE STATE BANK banking violation2004FDIC$12,000
UNICO BANK banking violation2001FDIC$12,000
Concord Camera Corp. economic sanction violation2008OFAC$12,000
Javad Position Systems economic sanction violation2003OFAC$12,000
Union Bank of CAU.S. Bancorpfinancial serviceseconomic sanction violation2003OFAC$12,000
First National Bank banking violation2006OCC$12,000
Bank of Fayette County banking violation2018FED$12,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.