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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
THE RICHLAND TRUST COMPANYPark National Corp.financial servicesbanking violation2006FDIC$11,100
Tremco Inc. of CT tax violations2015CT-AG$11,070
Medstar Surgical & Breathing Equipment, Inc. tax violations2015CT-AG$11,055
Richmar Controls & Service Co., Inc. tax violations2014CT-AG$11,055
Skip's Outdoor Accents, Inc. tax violations2016CT-AG$11,055
Vonberg Valve, Inc. economic sanction violation2009OFAC$11,049
CoreFunds, Inc. investor protection violation2006MO-SEC$11,040
Securities America, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2011IN-SEC$11,018
Cannabis Plus Missouri, L.L.C. and Can Plus Mo Investments investor protection violation2020MO-SEC$11,016
REPUBLIC BANK OF CHICAGO banking violation2005FDIC$11,000
Golden Escrow, Inc. economic sanction violation2009OFAC$11,000
Wachovia BankWells Fargofinancial serviceseconomic sanction violation2007OFAC$11,000
Bank of ChinaBank of Chinafinancial serviceseconomic sanction violation2005OFAC$11,000
United National Bank economic sanction violation2005OFAC$11,000
BEF Corporation economic sanction violation2004OFAC$11,000
Wachovia BankWells Fargofinancial serviceseconomic sanction violation2004OFAC$11,000
Harris Bank International economic sanction violation2003OFAC$11,000
HSBC Bank USAHSBCfinancial serviceseconomic sanction violation2003OFAC$11,000
Samsung International, IncSamsung Electronicselectrical and electronic equipmenteconomic sanction violation2003OFAC$11,000
Societe GeneraleSociete Generalefinancial serviceseconomic sanction violation2003OFAC$11,000
Triangle Wholesale economic sanction violation2003OFAC$11,000
Universal Services economic sanction violation2003OFAC$11,000
Bank of Star City, banking violation2017FED$11,000
The Delaware County Bank and Trust Company banking violation2012FDIC$11,000
Bank of Sun Prairie banking violation2012FDIC$11,000
Community State Bank banking violation2012FDIC$11,000
MONROE BANK & TRUST banking violation2011FDIC$11,000
MID PENN BANK banking violation2011FDIC$11,000
MURPHY BANK banking violation2011FDIC$11,000
GEICO General Insurance CompanyBerkshire Hathawaydiversifiedeconomic sanction violation2010OFAC$11,000
Edward D. Jones and Co.,LPJones Financialfinancial servicesinvestor protection violation2003AK-DBS$11,000
Alpha Capital Partners, LLC investor protection violation2012CA-DFPI$11,000
Phoenix Asset Group, LLC investor protection violation2019MN-FIN$11,000
george DEAN LLC investor protection violation2019MN-FIN$11,000
Pathway Advisors Group investor protection violation2020MO-SEC$11,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyfinancial servicesinvestor protection violation2008NE-DBF$11,000
Roran Enterprises investor protection violation2017NM-SEC$11,000
Smith, Brown & Groover Inc. investor protection violation2000TN-SEC$11,000
FORTUNATO AND COMPANY, INC. investor protection violation2006VA-SEC$11,000
The New Dimension Group, LLC investor protection violation2012VA-SEC$11,000
Katana Capital, LLC investor protection violation2016WA-FIN$11,000
Global Asset Research and Recovery investor protection violation2014WA-FIN$11,000
Market4Cast Hedge Fund, LP investor protection violation2011WA-FIN$11,000
Iron Horse Petroleum, Inc. investor protection violation2010WA-FIN$11,000
Cherokee Gas Systems, Inc. investor protection violation2010WA-FIN$11,000
Spellbinder Funding LLC investor protection violation2009WA-FIN$11,000
Index Securities, LLC investor protection violation2004FINRA$11,000
BDT & Associates, Inc. investor protection violation2021VA-SEC$11,000
360 Painting, LLC investor protection violation2021VA-SEC$11,000
Dime Community Bank banking violation2021FED$11,000
Pioneer Bank banking violation2021FED$11,000
Debtix Enterprise Ltd. dba Coinchainbtc.com investor protection violation2021WA-SEC$11,000
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2023VA-SEC$11,000
Connolly Financial Advisors, LLC investor protection violation2023VT-FIN$11,000
PNC Investments LLCPNC Financial Servicesfinancial servicesinvestor protection violation2024VA-SEC$11,000
Dacotah Bank banking violation2011FED$10,995
Jamsan Hotel Management, Inc. tax violations2012CT-AG$10,992
Jack V. Butterfield Investment Co. investor protection violation2016IL-SEC$10,957
NextSource, Inc. tax violations2013CT-AG$10,950
Atlanta Army-Navy Supply Co. economic sanction violation2004OFAC$10,909
Black Diamond Research, LLC investor protection violation2006CT-SEC$10,900
FIRST SENTRY BANK, INC. banking violation2006FDIC$10,875
Island Carousel, Inc. tax violations2014CT-AG$10,823
Paso Robles Wine Services tax violations2012ATTTB$10,800
CITIZENS BANK AND TRUST COMPANY banking violation2006FDIC$10,800
Southwest Capital Bank banking violation2018FDIC$10,800
Unirisc, Inc. tax violations2015CT-AG$10,770
Everbridge, Inc. tax violations2016CT-AG$10,733
Skamp Investments LLC et al. investor protection violation2005MO-SEC$10,720
Pryor Learning Solutions, Inc. tax violations2016CT-AG$10,710
Kompass Financial Advisors, Inc. investor protection violation2024NE-DBF$10,700
151 East Post Road Corp. tax violations2014CT-AG$10,665
Educational Foundation of America tax violations2013CT-AG$10,665
Lawson Financial Corp. investor protection violation2013MT-FIN$10,660
Institution for Savings in Newburyport and its Vicinity banking violation2015FDIC$10,650
Integrity Assured Life Settlements, Inc. investor protection violation2001AZ-CC$10,611
Illini Bank banking violation2015FDIC$10,600
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020OR-FIN$10,599
Allsource Financial Management, LLC investor protection violation2015MD-SEC$10,578
Collins Advisors Fund Management, LLC investor protection violation2024SC-SEC$10,550
Bank of Gueydan banking violation2014FED$10,545
Bodell Overcash Anderson & Co., Inc. investor protection violation2005ME-SEC$10,538
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020AK-DBS$10,527
Schupp & Grochmal, LLCSchupp & Grochmalfinancial servicesinvestor protection violation2020CT-BKG$10,510
McIlroy Bank and Trust banking violation2001FED$10,500
Innostar Inc. economic sanction violation2004OFAC$10,500
Alex and Ani, LLC tax violations2016CT-AG$10,500
UNITED BANK banking violation2011FDIC$10,500
CITIZENS STATE BANK banking violation2010FDIC$10,500
CCM Management Group, LLC investor protection violation2014CA-DFPI$10,500
Airlink Markets, LLC investor protection violation2024WA-SEC$10,500
Jacoby & Meyers, LLP tax violations2012CT-AG$10,478
MedVentive, Inc. tax violations2014CT-AG$10,455
Reveal Imaging Technologies, Inc.Leidosinformation technologytax violations2013CT-AG$10,455
Synovis Life Technologies, Inc. tax violations2012CT-AG$10,455
CHOICE FINANCIAL GROUP banking violation2007FDIC$10,430
Internet Escrow Services, Inc. investor protection violation2020AL-SEC$10,422
BANK FORWARD (F/K/A SECURITY STATE BANK OF NORTH DAKOTA) banking violation2007FDIC$10,400
FRANCES SLOCUM BANK AND TRUST COMPANY banking violation2001FDIC$10,400
SIMMESPORT STATE BANK banking violation2001FDIC$10,400
Mellon Bank N.A.Bank of New York Mellonfinancial serviceseconomic sanction violation2004OFAC$10,400
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.