Compliance Radar
Who was sanctioned, and for what?
Fines, court rulings and incidents from Europe and North America: 756 cases from 32 jurisdictions, each with an official source and checked against that source before publication. Filter by country, area of law and sector. Click a chart to drill down one level.
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Where?
by authority- Financial Crimes Enforcement Network (FinCEN) €178.4m 61 % · 3 cases
- Board of Governors of the Federal Reserve System €113m 38 % · 1 case
- U.S. Department of Justice €3.36m 1 % · 1 case
What for?
by topicWho?
by sectorAll sectors
When?
per quarter, by date of decision| Period | Cases | Total |
|---|---|---|
| Q3 2023 | 0 | — |
| Q4 2023 | 0 | — |
| Q1 2024 | 0 | — |
| Q2 2024 | 0 | — |
| Q3 2024 | 0 | — |
| Q4 2024 | 2 | €113.8m |
| Q1 2025 | 0 | — |
| Q2 2025 | 0 | — |
| Q3 2025 | 0 | — |
| Q4 2025 | 0 | — |
| Q1 2026 | 2 | €72.6m |
| Q2 2026 | 0 | — |
| Q3 2026 | 1 | €108.4m |
5 cases
3 Aug 2026 UBS Financial Services Inc.FinCEN: 125 million USD against UBS Financial Services as a repeat offender €108.4m
The US Financial Crimes Enforcement Network (FinCEN) imposed 125 million USD on the broker-dealer – the highest BSA penalty against a broker-dealer to date. UBSFS admitted wilful infringements: the AML programme was inadequate, more than 50,000 foreign currency transfers totalling more than 10 billion USD were not adequately monitored and suspicious activity reports were not filed; it is already the second enforcement action after 2018.
Monitoring gaps left unremedied after an earlier enforcement action lead, the second time round, to a multiple of the original penalty.
- Authority / court
- Financial Crimes Enforcement Network (FinCEN)
- Area of law
- Money laundering and terrorist financing · Internal controls
- Legal basis
- Bank Secrecy Act (BSA)
- Action
- Fine
- Status of proceedings
- final
- Sector
- Financial services and insurance
- Employees
- 10,000 or more
- Culpability
- intentional
- Repeat case
- yes
- Mitigating circumstances
- Up to 15 million USD (remaining amount due by 31 May 2028) may be waived to the extent that UBSFS bears the costs of the independent review of its AML programme and implements its recommendations
- Published
- 3 Aug 2026
Original amount 125,000,000 USD, converted at the ECB reference rate of 3 Aug 2026.
- FinCEN Assesses Historic $125 Million Penalty Against UBS Financial Services Inc. for Recidivist BSA Violations Press release of an authority
- FinCEN Consent Order Imposing Civil Money Penalty – UBS Financial Services Inc. (Number 2026-02) Decision of an authority
- FinCEN Enforcement Actions Enforcement database of an authority
Checked against the official source on 25 Sep 2026 · Direct link
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6 Mar 2026 Canaccord Genuity LLCFinCEN: 80 million USD against Canaccord Genuity over AML and correspondent banking deficiencies €69.2m
The US Financial Crimes Enforcement Network (FinCEN) imposed 80 million USD on the broker-dealer, which admitted wilful BSA infringements: no effective AML programme, no due diligence on correspondent accounts of foreign financial institutions and failure to file suspicious activity reports in connection with securities fraud. Remedial measures that had been promised were not implemented for years.
Implement remedial measures promised in writing to the supervisory authority genuinely and swiftly – years of delay aggravate the later sanction.
- Authority / court
- Financial Crimes Enforcement Network (FinCEN)
- Area of law
- Money laundering and terrorist financing · Customer due diligence
- Legal basis
- Bank Secrecy Act (BSA)
- Action
- Fine
- Status of proceedings
- final
- Sector
- Financial services and insurance
- Culpability
- intentional
- Published
- 6 Mar 2026
Original amount 80,000,000 USD, converted at the ECB reference rate of 6 Mar 2026.
Checked against the official source on 25 Sep 2026 · Direct link
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10 Feb 2026 Paxful Holdings Inc.Crypto platform Paxful: 4 million USD penalty after guilty plea to BSA infringements €3.36m
Following a guilty plea to charges including conspiracy to operate an unlicensed money transmitting business and to violate the AML obligations of the Bank Secrecy Act, the peer-to-peer crypto platform was sentenced to a penalty of 4 million USD. 112.5 million USD would have been appropriate, but the US Department of Justice (DOJ) found an inability to pay; in December 2025, FinCEN had additionally imposed a civil penalty of 3.5 million USD.
Crypto platforms without registration and KYC face criminal liability – up to the limit of their ability to pay.
- Authority / court
- U.S. Department of Justice
- Area of law
- Money laundering and terrorist financing · Internal controls
- Legal basis
- Travel Act; Verschwörung zum Betrieb eines nicht lizenzierten Geldtransfergeschäfts und zur Verletzung der AML-Pflichten des Bank Secrecy Act
- Action
- Fine
- Status of proceedings
- final
- Sector
- Financial services and insurance
- Culpability
- intentional
- Mitigating circumstances
- Penalty limited from 112.5 million to 4 million USD because of proven inability to pay
- Published
- 11 Feb 2026
Original amount 4,000,000 USD, converted at the ECB reference rate of 10 Feb 2026.
- Virtual Asset Trading Platform Sentenced for Violating the Travel Act and Other Federal Criminal Charges Press release of an authority
- FinCEN Assesses $3.5 Million Penalty Against Paxful for Facilitating Suspicious Activity Involving Illicit Actors Press release of an authority
- FinCEN Consent Order Imposing Civil Money Penalty – Paxful, Inc. and Paxful USA, Inc. (Number 2025-02) Decision of an authority
Checked against the official source on 25 Sep 2026 · Direct link
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22 Oct 2024 Sahara Dunes Casino, LP (Lake Elsinore Hotel and Casino)FinCEN: 900,000 USD against Lake Elsinore card club over missing reports €831,716
The US Financial Crimes Enforcement Network (FinCEN) imposed 900,000 USD on the Californian card club, which admitted wilful infringements over more than four and a half years: no effective AML programme, missing currency transaction reports (CTR) and suspicious activity reports (SAR), and record-keeping deficiencies. The infringements stemmed from decisions by management.
Even small casinos and card clubs must file currency transaction reports and suspicious activity reports without gaps – management decisions to the contrary are considered wilful.
Currency transaction and suspicious activity reports in gambling operations
- Authority / court
- Financial Crimes Enforcement Network (FinCEN)
- Area of law
- Money laundering and terrorist financing · Suspicious activity reports
- Legal basis
- Bank Secrecy Act (BSA) und Durchführungsbestimmungen
- Action
- Fine
- Status of proceedings
- final
- Sector
- Other
- Culpability
- intentional
- Liability of senior managers
- According to FinCEN, the infringements were based on decisions by management
- Published
- 23 Oct 2024
Original amount 900,000 USD, converted at the ECB reference rate of 22 Oct 2024.
- FinCEN Assesses $900,000 Civil Money Penalty Against Lake Elsinore Hotel and Casino for Violations of the Bank Secrecy Act Press release of an authority
- FinCEN Consent Order – Sahara Dunes Casino, LP d/b/a Lake Elsinore Hotel and Casino (Number 2024-03) Decision of an authority
- FinCEN Enforcement Actions Enforcement database of an authority
Checked against the official source on 25 Sep 2026 · Direct link
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10 Oct 2024 The Toronto-Dominion BankFederal Reserve: 123.5 million USD against Toronto-Dominion Bank over AML oversight failure €113m
The Board of Governors of the Federal Reserve System imposed 123.5 million USD on the Canadian parent company because it neglected risk management and oversight of its US retail business, so that a US subsidiary was used to launder hundreds of millions of dollars. TD must move the AML programme to the US and commission an independent review of the board and management; the sanctions of all authorities involved (DOJ, FinCEN, OCC) add up to around 3.09 billion USD.
Parent companies are responsible for effective AML oversight of their foreign business – failures there can lead to sanctions running into billions.
- Authority / court
- Board of Governors of the Federal Reserve System
- Area of law
- Money laundering and terrorist financing · Internal controls
- Legal basis
- US-Anti-Geldwäschegesetze (laut Federal Reserve)
- Action
- Fine
- Status of proceedings
- final
- Sector
- Financial services and insurance
- Employees
- 10,000 or more
- Liability of senior managers
- Independent review of board and management ordered
- Published
- 10 Oct 2024
Original amount 123,500,000 USD, converted at the ECB reference rate of 10 Oct 2024.
- Federal Reserve Board fines Toronto-Dominion Bank $123.5 million for violations related to anti-money laundering laws Press release of an authority
Checked against the official source on 25 Sep 2026 · Direct link