Continuously updated · Primary sources only

Compliance violation case library

3,071 documented enforcement actions across 73 regulated industries

Industry
EntityLocationYearIndustryPenaltyDeaths
Third Individual , NC 2025 Community Banks / Credit Unions $1.1M
FORMER PACE RESIDENT , FL 2025 Community Banks / Credit Unions $1.1M
First Bank of Delaware WILMINGTON, DE 2008 Community Banks / Credit Unions $1.1M
American Advisors Group , 2021 Community Banks / Credit Unions $1.1M
Merrick Bank South Jordan, UT 2014 Community Banks / Credit Unions $1.1M
Cottonwood Financial, Ltd., d/b/a Cash Store , 2020 Community Banks / Credit Unions $1.1M
Barton Solvents Enters into , IA 2015 Community Banks / Credit Unions $1.1M
Conduent Business Services, LLC , 2017 Community Banks / Credit Unions $1.1M
OCEAN BANK MIAMI, FL 2011 Community Banks / Credit Unions $1.1M
Raytheon Company , CA 2019 Community Banks / Credit Unions $1.1M
Second Southern Colorado Funeral Home Operator Sentenced To 18 Years In Federal Prison After , CO 2026 Community Banks / Credit Unions $1.1M
Salt Lake City Residential Mortgage Lender Enters Into , UT 2015 Community Banks / Credit Unions $1M
Couple , NC 2026 Community Banks / Credit Unions $1M
Comenity Bank WILMINGTON, DE 2024 Community Banks / Credit Unions $1M
Driver Loan, LLC, and Angelo Jose Sarjeant , 2020 Community Banks / Credit Unions $1M
Schroder & Co. Bank AG Reaches Resolution under Justice Department's Swiss Bank Program and , 2015 Community Banks / Credit Unions $1M
Comenity Capital Bank DRAPER, UT 2024 Community Banks / Credit Unions $1M
$1 Million , TX 2013 Community Banks / Credit Unions $1M
Former Suffolk County Corrections Officer , 2025 Community Banks / Credit Unions $1M
Bronx man , CT 2026 Community Banks / Credit Unions $1M
Arizona Man Charged With Conspiracy To Commit Bank Fraud And Theft Of $1 Million In Federal Grants For HIV Programs , AZ 2026 Community Banks / Credit Unions $1M
Buffalo man , NY 2025 Community Banks / Credit Unions $1M
Romanian Illegal Alien , CA 2025 Community Banks / Credit Unions $1M
Bozeman woman , 2026 Community Banks / Credit Unions $1M
World's Foremost Bank Sidney, NE 2014 Community Banks / Credit Unions $1M
Former Milford Resident , CT 2026 Community Banks / Credit Unions $1M
Bangor Woman , ME 2026 Community Banks / Credit Unions $1M
Bank Insider , NJ 2026 Community Banks / Credit Unions $1M
Boston Woman , CT 2026 Community Banks / Credit Unions $1M
Georgia Woman Sentenced for $1 Million Wire Fraud , GA 2026 Community Banks / Credit Unions $1M
Morris County Attorney and , NJ 2021 Community Banks / Credit Unions $1M
Former Robeson County Sheriff’s Deputy and Family , NC 2026 Community Banks / Credit Unions $1M
Edfinancial Services , 2022 Community Banks / Credit Unions $1M
New York Man , ME 2025 Community Banks / Credit Unions $1M
Boston Man , NY 2025 Community Banks / Credit Unions $1M
Former Philadelphia Deputy Sheriff , PA 2025 Community Banks / Credit Unions $1M
RMK Financial Corp. d/b/a Majestic Home Loan or MHL , 2023 Community Banks / Credit Unions $1M
Former , NJ 2017 Community Banks / Credit Unions $1M
New York Men , ME 2026 Community Banks / Credit Unions $1M
Brookfield Counselor Sentenced To 30 Months In Federal Prison For Defrauding Medicaid Of More Than $1 Million , CT 2026 Community Banks / Credit Unions $1M
Bank Fraud Co-Conspirator , IN 2025 Community Banks / Credit Unions $1M
Pembroke Man , NH 2025 Community Banks / Credit Unions $1M
Western Benefits Group, LLC , 2024 Community Banks / Credit Unions $974,590
LendUp Loans, LLC , 2020 Community Banks / Credit Unions $950,000
Choice Money Transfer, Inc. d/b/a Small World Money Transfer , 2022 Community Banks / Credit Unions $950,000
Climb Credit, Inc.; Climb Investco, LLC; Climb GS Loan Fund 2018-1, LLC; 1/0 Holdco LLC; and 1/0 Capital LLC , 2024 Community Banks / Credit Unions $950,000
Independence Bank EAST GREENWICH, RI 2023 Community Banks / Credit Unions $928,000
Former OU Football Player Sentenced to the Maximum Penalty for Defrauding Investors of Nearly $900,000 , OK 2018 Community Banks / Credit Unions $900,000
Former Non-Profit Executive Director and City Development Official , MI 2025 Community Banks / Credit Unions $900,000
National Consumer Bankruptcy Law Firm , MT 2021 Community Banks / Credit Unions $900,000
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