Exception Tracking Spreadsheet (TicklerTrax™)
Downloaded by more than 1,000 bankers. Free Excel spreadsheet to help you track missing and expiring documents for credit and loans, deposits, trusts, and more. Visualize your exception data in interactive charts and graphs. Provided by bank technology vendor, AccuSystems. Download TicklerTrax for free.
FinCEN updates BOI FAQs
FinCEN has posted additions and updates to its FAQ page on the Beneficial Ownership Information Reporting requirements. Updated and added questions are dated October 3, 2024.
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From the NewsWire
Penalties View All
$447,125
Oriental Bank pays $447,125 for flood insurance violations
Issued by FDIC
$1,500
Spring Valley Bank pays $1,500 for flood insurance rules violations
Issued by FDIC
$13,000
CNB Bank pays $13,000 for flood insurance rules violations
Issued by FDIC
$80,500
Guaranty Bank and Trust pays $80,500 flood insurance penalty
Issued by FDIC
$2,000
Collins State Bank pays $2,000 for flood insurance violations
Issued by FDIC
$31,000
Opportunity Bank of Montana pays $31,000 for flood insurance violations
Issued by FRB
$70,000
First Interstate Bank pays $70,000 flood insurance penalty
Issued by FRB
$4,800
North Shore Bank of Commerce pays $4,800 for flood insurance violations
Issued by FRB
$9,600
Select Bank pays $9,600 for flood insurance violations
Issued by FRB
$2,945,500
Regions Bank pays $2.95M for flood insurance violations
Issued by FRB
$2,614,456
PNC Bank, NA, pays $2.6M for flood insurance violations
Issued by OCC
$3,620,000
Michigan bank pays $3.6 million for flood insurance penalties
Issued by OCC
$40,500
Washington Federal pays flood penalty
Issued by OCC
$193,105.50
The Federal Savings Bank pays $193K flood penalty
Issued by OCC
$382,500
USAA FSB pays $382,500 flood insurance penalty
Issued by OCC
$100,000
Former credit union BSA officer fined $100K for multiple BSA violations
Issued by FinCEN
$25 million
Shinhan Bank America fined $25M by FDIC, FinCEN, and NYSDFS
Issued by FDIC, FinCEN, State Agency
$15 million
Puerto Rican IBE pays $15M for willful BSA violations
Issued by FinCEN
$1,500,000
Kingdom Trust Company pays $1.5M BSA penalty
Issued by FinCEN
$5,000,000 (net)
Bittrex, Inc., fined $5M for BSA Act violations
Issued by FinCEN
$600,000
Bank of Morton ordered to pay $600,000 for BSA violations
Issued by FDIC
$25 million
Shinhan Bank America fined $25M by FDIC, FinCEN, and NYSDFS
Issued by FDIC, FinCEN, State Agency
$7,500,000
Bancorp Bank pays BSA/AML penalty
Issued by FDIC
$225,000
California Pacific Bank to pay BSA/AML penalty
Issued by FDIC
$1,250,000
Alma Bank - BSA/AML penalty
Issued by FDIC
$29,478,676
Metropolitan Commercial Bank fined $29.5M for CIP and vendor risk deficiencies
Issued by FRB, State Agency
$55.4 million
National Bank of Pakistan pays $55.4M for AML violations
Issued by FRB, State Agency
$15 million
U.S. Bancorp pays $15M for BSA/AML failures
Issued by FRB
$29 million
Mega International Commercial Bank pays $29M BSA penalty
Issued by FRB, State Agency
$41 million
Deutsche Bank AG to pay $41M penalty for AML deficiencies
Issued by FRB
$6,000,000
Sterling Bank and Trust FSB pays $6 million for failings
Issued by OCC
$9 million
CommunityBank of Texas fined for BSA/AML violations
$2,500,000
Washington Federal Bank pays $2.5M BSA/AML penalty
Issued by OCC
$39,000
NJ bank director and BSA officer pay for BSA violations
Issued by OCC
$5,000,000
First Abu Dhabi Bank USA pays BSA/AML penalty
Issued by OCC
$38 million
Interactive Brokers LLC paying $38M for BSA/AML failures
$12,500,000
Bank of China NY Branch gets BSA fine
$1,300,000
Aegis Capital assessed $1.3 million for SAR filing failures
$16.5 million
FINRA fines Credit Suisse Securities $16.5M for AML faults
Issued by FINRA
$300,000
Albert Fried & Company pays for SAR failures
Issued by SEC
$20M plus $7.76M redress
CFPB orders TD Bank, N.A. to pay $27.76 million for credit reporting violations
Issued by CFPB
$7,452,501
State Street settles for $7.5M penalty with OFAC
Issued by OFAC
$6,097.72
Utah bank fined for failure to pay FDIC assessment
Issued by FDIC
$250,000,000
OCC fines JPMorgan Chase Bank, N.A. for inadequate monitoring
Issued by OCC
$98,167,980
Fed fines JPMorgan Chase & Co. $98.2M for inadequate monitoring
Issued by FRB
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