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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
Mellon Bank N.A.Bank of New York Mellonfinancial serviceseconomic sanction violation2004OFAC$10,400
RPM Capital Management, LLC investor protection violation2017CT-SEC$10,400
LAS International Ltd. investor protection violation2007ND-SEC$10,400
MOUNTAIN 1ST BANK & TRUST COMPANY banking violation2010FDIC$10,395
Belmont Savings Bank banking violation2012FDIC$10,360
Investors Capital Management, Inc. tax violations2014CT-AG$10,350
American Power Conversion Corporation economic sanction violation2009OFAC$10,341
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2022NH-BSR$10,307
Uphold HQ Inc. investor protection violation2021MN-FIN$10,270
CENTURY BANK banking violation2008FDIC$10,255
Societe Generale Financial CorporationSociete Generalefinancial servicesbanking violation2020CA-DFPI$10,250
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2006RI-FIN$10,250
Cornerstone Asset Metals, LLC investor protection violation2021MN-FIN$10,225
Langmore Capital, LLC investor protection violation2021MN-FIN$10,225
First American Securities, Inc. investor protection violation2017MN-FIN$10,200
Community Bank of Central Wisconsin banking violation2012FDIC$10,185
Richardson Company tax violations2014CT-AG$10,170
Capital Funding Management, Inc. investor protection violation2007MO-SEC$10,165
Banco do BrasilBanco do Brasilfinancial serviceseconomic sanction violation2004OFAC$10,162
TerraTherm, Inc. tax violations2015CT-AG$10,155
AMERICREST BANK banking violation2002FDIC$10,150
Solium Financial Services, LLCMorgan Stanleyfinancial servicesinvestor protection violation2020IA-INS$10,147
Aztec Capital, LLC investor protection violation2013CA-DFPI$10,125
Martin, Fletcher Locums, Inc. tax violations2015CT-AG$10,110
Barclays Bank PLCBarclaysfinancial serviceseconomic sanction violation2003OFAC$10,107
SunTrust BankTruist Financialfinancial servicesbanking violation2005WI-AG$10,107
Crest Savings Bank banking violation2018FDIC$10,100
Infinex Investments, Inc. investor protection violation2007IL-SEC$10,100
District Capital Management LLC investor protection violation2022DC-DISB$10,090
Cycle Computing, LLC tax violations2015CT-AG$10,071
Piramal Critical Care, Inc. tax violations2016CT-AG$10,050
NEW MILLENNIUM BANK banking violation2010FDIC$10,045
AMERICAN CITY BANK OF TULLAHOMA banking violation2012FDIC$10,010
SIGNATURE BANK banking violation2011FDIC$10,010
Glennville Bank banking violation2013FDIC$10,000
Citizens State Bank banking violation2013FDIC$10,000
Bank of Camilla banking violation2014FDIC$10,000
First Covenant Bank banking violation2014FDIC$10,000
The First National Bank of McConnelsville banking violation2012OCC$10,000
First Niagara Bank, National AssociationKeyCorpfinancial servicesbanking violation2011OCC$10,000
Thriftway Food Mart anti-money-laundering deficiencies2016FINCEN$10,000
New Milenium Cash Exchange, Inc anti-money-laundering deficiencies2014FINCEN$10,000
Gun Smoke Enterprises, Inc. tax violations2012ATTTB$10,000
Biagi Bros., Inc. tax violations2011ATTTB$10,000
Firefly Distillery, LLC tax violations2011ATTTB$10,000
Robledo Family Winery, Inc. tax violations2011ATTTB$10,000
Opolo Wines, LP tax violations2010ATTTB$10,000
Baton Rouge, LLC tax violations2010ATTTB$10,000
OUM & Co. accounting fraud or deficiencies2014SEC$10,000
Black Walnut Vineyards, LLC tax violations2009ATTTB$10,000
Cana's Feast Winery, LLC tax violations2008ATTTB$10,000
Greenfield Wine Company, dba Cartlidge & Brown Winery tax violations2008ATTTB$10,000
Dogfish Head Craft Brewery, Inc. tax violations2008ATTTB$10,000
Campagna, LLC tax violations2008ATTTB$10,000
Shaw-Ross International Importers tax violations2008ATTTB$10,000
Cordier Estates, Inc. tax violations2004ATTTB$10,000
Cedar Mountain Winery tax violations2003ATTTB$10,000
Boston Trading Advisors, LLC investor protection violation2003CFTC$10,000
FIRSTRUST SAVINGS BANK banking violation2009FDIC$10,000
GRABILL BANK banking violation2009FDIC$10,000
ORIENTAL BANK AND TRUST banking violation2009FDIC$10,000
SECURITY FIRST BANK banking violation2007FDIC$10,000
BRIMFIELD BANK banking violation2007FDIC$10,000
ORIENTAL BANK AND TRUST banking violation2005FDIC$10,000
AMERICAN STATE BANK banking violation2005FDIC$10,000
FAR WEST BANK banking violation2004FDIC$10,000
THE PROVIDENT BANK banking violation2003FDIC$10,000
HUDSON UNITED BANK banking violation2003FDIC$10,000
SOUTHWEST BANK OF ST. LOUIS banking violation2002FDIC$10,000
THE PEOPLES STATE BANK banking violation2001FDIC$10,000
Five Points Bank banking violation2004FED$10,000
BB&TTruist Financialfinancial serviceseconomic sanction violation2007OFAC$10,000
Nozzle Manufacturing Company economic sanction violation2005OFAC$10,000
API International, Inc. economic sanction violation2004OFAC$10,000
Bank of ChinaBank of Chinafinancial serviceseconomic sanction violation2004OFAC$10,000
Metso MineralsMetso Outotecindustrial equipmenteconomic sanction violation2003OFAC$10,000
U.S. Volleyball Association economic sanction violation2003OFAC$10,000
Frosty Food Mart anti-money-laundering deficiencies2006FINCEN$10,000
Alliance for Responsible Cuba Policy Foundation economic sanction violation2017OFAC$10,000
Stoney Marine International, Limited tax violations2017ATTTB$10,000
Windsor Street Capital, L.P. fka Meyers Associates investor protection violation2017SEC$10,000
Wyoming Investment Management Services, LLC investor protection violation2015SEC$10,000
Lally & Co., LLC accounting fraud or deficiencies2014SEC$10,000
Securities Transfer Corporation investor protection violation2011SEC$10,000
Aberdeen Energy, LLC tax violations2018ATTTB$10,000
Lone Star Transfer, Inc. investor protection violation2002SEC$10,000
ND Money Management, Inc. investor protection violation2002SEC$10,000
RansonCapital Corporation investor protection violation2002SEC$10,000
Stan D. Kiefer & Associates investor protection violation2002SEC$10,000
United Stock Transfer Inc. investor protection violation2001SEC$10,000
Focus Tech Investments, Inc. investor protection violation2000SEC$10,000
Adar International investor protection violation2000SEC$10,000
Longman & Associates, Inc. investor protection violation2000SEC$10,000
Kading Companies, S.A. and Joning Corp. investor protection violation2000SEC$10,000
Alpha Tech Stock Transfer Trust investor protection violation2000SEC$10,000
Mutual Coin Fund LLC investor protection violation2019SEC$10,000
Concessions, Ltd. tax violations2002NH-AG$10,000
Regal Securities investor protection violation2010NJ-AG$10,000
School Services of California, Inc. investor protection violation2019SEC$10,000
TriStar Bank banking violation2012FDIC$10,000
First United Bank banking violation2012FDIC$10,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.