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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
Bank of Fayette County banking violation2018FED$12,000
Security Engineering, Inc. tax violations2015CT-AG$12,000
RELIANCE SAVINGS BANK banking violation2011FDIC$12,000
WESTERN BANK banking violation2011FDIC$12,000
NORSTATES BANK banking violation2011FDIC$12,000
EXCEL BANK banking violation2011FDIC$12,000
FIRST BANKFirst Bancorp (North Carolina)financial servicesbanking violation2004FDIC$12,000
American Heritage Church Finance, Inc. investor protection violation2007AL-SEC$12,000
VTR Capital, Inc. nka Fairchild Financial Group, Inc. investor protection violation2000FL-OFR$12,000
Anderson-David & Associates, Inc. investor protection violation2002ID-SEC$12,000
Puritan Securities Inc. investor protection violation2008MN-FIN$12,000
Friedman, Schnaier & Associates investor protection violation2009MN-FIN$12,000
EK Marketing, Inc. investor protection violation2012MO-SEC$12,000
Ernst & Associates, LLC investor protection violation2016MO-SEC$12,000
Central States Capital Markets, LLC investor protection violation2016MO-SEC$12,000
Trader's Way investor protection violation2017MO-SEC$12,000
MetLife SecuritiesMetLifefinancial servicesinvestor protection violation2005OR-FIN$12,000
Anderson Heights Development LLC investor protection violation2014OR-FIN$12,000
Dunes Securities Corporation investor protection violation2017SC-SEC$12,000
New Millennium Investment Company investor protection violation2005TN-SEC$12,000
Milkie/Ferguson Investments Inc. investor protection violation2004TX-SEC$12,000
Mariner Investment Group investor protection violation2009TX-SEC$12,000
Halter Global Opportunity Fund Management LLC investor protection violation2010TX-SEC$12,000
ALL ABOUT HONEYMOONS FRANCHISE investor protection violation2013VA-SEC$12,000
HOCOA Franchising Co., LLC investor protection violation2015VA-SEC$12,000
Goldberg Financial, LLC investor protection violation2015VA-SEC$12,000
HRC Wealth Management LLC investor protection violation2019WA-FIN$12,000
Binary Banc investor protection violation2016WA-FIN$12,000
MiniHYA Corp. investor protection violation2016WA-FIN$12,000
Dystopia Rising, LLC investor protection violation2016WA-FIN$12,000
Pangean Energy, LLC investor protection violation2013WA-FIN$12,000
Dorothy of Oz, LLC investor protection violation2010WA-FIN$12,000
City Escrow, Inc. investor protection violation2004WA-FIN$12,000
Farmers Bank & Trust Company banking violation2020FED$12,000
BNY Brokerage, Inc. investor protection violation2004FINRA$12,000
Schwab Capital MarketsUBSfinancial servicesinvestor protection violation2001FINRA$12,000
First Chatham Bank banking violation2022FDIC$12,000
Seattle Cider Company, LLC tax violations2023ATTTB$12,000
3C Electrical Co, Inc. tax violations2014CT-AG$11,975
Icom America Inc. tax violations2015CT-AG$11,955
PatientKeeper, Inc. tax violations2015CT-AG$11,955
Manarin Securities Corp. investor protection violation2005IL-SEC$11,952
Great Plains National Bank banking violation2013OCC$11,925
Blackwood Medical, Inc. tax violations2014CT-AG$11,925
RCL Capital Management investor protection violation2024PA-BKG$11,900
AFG Capital management, Inc. investor protection violation2007MO-SEC$11,870
J. Bass & Son, Inc. tax violations2015CT-AG$11,800
Surge Resources, Inc. tax violations2012CT-AG$11,798
Financial Assets Corp. investor protection violation2010MT-FIN$11,794
First Financial Bank, National AssociationFirst Financial Bancorp.financial servicesbanking violation2015OCC$11,700
Competitive Resources, inc. tax violations2015CT-AG$11,700
Eugene Artisan Foods, LLC and Red Wagon Foods, Inc. investor protection violation2022OR-FIN$11,700
Macsea Ltd. tax violations2015CT-AG$11,670
Corporate Technologies, Inc. tax violations2014CT-AG$11,655
Hess Retail Services, Inc.Marathon Petroleumoil and gastax violations2015CT-AG$11,655
First Secure Bank and Trust Co. banking violation2022FDIC$11,625
McGivney & Kluger, P.C. tax violations2014CT-AG$11,603
BANK OF LUXEMBURG banking violation2009FDIC$11,600
BANK OF NEW MADRID banking violation2003FDIC$11,600
Butler, Wick & Co., Inc. investor protection violation2004MO-SEC$11,600
R.C. Transport, LLC investor protection violation2008MO-SEC$11,563
Cheyenne State Bank banking violation2012FDIC$11,550
Eye International, L.L.C. and American International Beneficial Association, Inc. investor protection violation2000AZ-CC$11,500
Octagon Financial Services, Inc. investor protection violation2004IL-SEC$11,500
Savant Capital Management, Inc. investor protection violation2008IL-SEC$11,500
Hinsdale Associates, Inc. investor protection violation2009IL-SEC$11,500
Sequoia Group, Inc. investor protection violation2011IL-SEC$11,500
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2016VA-SEC$11,500
Brisk Management, LLC investor protection violation2018WA-FIN$11,500
Fairfield Energy Inc. et al. investor protection violation2011WA-FIN$11,500
Wesleyan Investment Foundation investor protection violation2021WA-SEC$11,500
American Customer Care, Inc. tax violations2016CT-AG$11,458
Scantron Corp. tax violations2012CT-AG$11,430
OneCommand, Inc. tax violations2015CT-AG$11,423
PSL Operation Services America, LLC tax violations2015CT-AG$11,400
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020IL-SEC$11,385
Ocean & Coastwise Educational Services, Inc. tax violations2015CT-AG$11,370
MID PENN BANK banking violation2011FDIC$11,300
BankOrion banking violation2014FDIC$11,285
Truxton Trust Company banking violation2015FED$11,285
SUMMIT BANK banking violation2010FDIC$11,280
BANK OF KAMPSVILLE banking violation2010FDIC$11,280
Wilmington Capital Securities, LLC investor protection violation2020CT-BKG$11,275
Wilmington Capital Securities, LLC investor protection violation2020CT-SEC$11,275
First National Bank of Picayune banking violation2013OCC$11,250
Wesleyan Investment Foundation, Inc. investor protection violation2019KY-FIN$11,250
Winthrop Investment Management Co. investor protection violation2020VT-FIN$11,250
Blue Gold co LC investor protection violation2020WA-SEC$11,250
Genilogix, LLC tax violations2013CT-AG$11,243
First National Bank of Wahoo banking violation2013OCC$11,240
Renaud & Company, LLC investor protection violation2012MO-SEC$11,226
J. Lauritzen (U.S.A.), Inc. tax violations2016CT-AG$11,205
ANDERSON BROTHERS BANK banking violation2008FDIC$11,200
Upper Cumberland Media Group Inc. investor protection violation2004TN-SEC$11,200
Trinity Asset Partners, LLC investor protection violation2021SC-INS$11,200
Finance Factors, Ltd. banking violation2014FDIC$11,165
Texas International Resources, L.L.C. investor protection violation2016MO-SEC$11,165
CareCore National, LLCCignahealthcare servicestax violations2014CT-AG$11,160
DEWITT BANK & TRUST COMPANY banking violation2005FDIC$11,150
Asset & Financial Planning, Ltd. investor protection violation2010CT-SEC$11,150
THE RICHLAND TRUST COMPANYPark National Corp.financial servicesbanking violation2006FDIC$11,100
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.