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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
Old National BankOld National Bancorpfinancial servicesbanking violation2004OCC$7,500
3C Advisors & Associates, Inc. investor protection violation2016SEC$7,500
Town Residential investor protection violation2015NY-AG$7,500
West Texas State Bank banking violation2013FDIC$7,500
Bank of Montgomery banking violation2012FDIC$7,500
SERVIS FIRST BANK banking violation2011FDIC$7,500
EXCEL BANK banking violation2011FDIC$7,500
STATE BANK OF SOUTHERN UTAH banking violation2010FDIC$7,500
CST Group, CPAs, P.C. accounting fraud or deficiencies2015PCAOB$7,500
Walker & Armstrong LLP accounting fraud or deficiencies2015PCAOB$7,500
Gulftex Operating, Inc. investor protection violation2007AL-SEC$7,500
BCL, LLC and Sanctus Partners Limited Partnership investor protection violation2012AL-SEC$7,500
Allied Energy, Inc. investor protection violation2015AR-SEC$7,500
Chazel Capital, Inc. and OFIR Mine Project, LP investor protection violation2012AZ-CC$7,500
Denver Energy Exploration, LLC investor protection violation2014AZ-CC$7,500
Trademark INT PTT AB investor protection violation2020CA-DFPI$7,500
ICG Financial, LLC investor protection violation2007CT-SEC$7,500
Euro Pacific Capital, Inc. investor protection violation2009CT-SEC$7,500
Laidlaw & Company (UK) Ltd. investor protection violation2012CT-SEC$7,500
Obsidian Financial Group, LLC investor protection violation2013CT-SEC$7,500
Fundraising Co-Op, Inc. investor protection violation2013CT-SEC$7,500
Southridge Real Estate Partners L.P. and Ridgebury Partners, LLC investor protection violation2015CT-SEC$7,500
Bridgewater Communications Group LLC, The Exchange, LLC investor protection violation2016CT-SEC$7,500
S P Consulting, LLC investor protection violation2018CT-SEC$7,500
Quarve Associates, LLC investor protection violation2019CT-SEC$7,500
Glenn Haven Enterprises investor protection violation2002FL-OFR$7,500
CGF Securities, LLC investor protection violation2003FL-OFR$7,500
21st Century Investing Advisors Corp. investor protection violation2014FL-OFR$7,500
Tatco Private Wealth Management LLC investor protection violation2016FL-OFR$7,500
Gold Mountain Management LLC investor protection violation2010ID-SEC$7,500
Gold Capital Management, Inc. investor protection violation2003IL-SEC$7,500
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2005IL-SEC$7,500
R.J. Aubrey Investment Corp. investor protection violation2005IL-SEC$7,500
America's Best Financial Services, Inc. investor protection violation2011IL-SEC$7,500
Alfaro Oil & Gas, LLC and Pinnacle Partners Financial Corp. investor protection violation2011IL-SEC$7,500
Southwest Securities, Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2012IL-SEC$7,500
IMBB Investment Advisors, Inc. investor protection violation2010IN-SEC$7,500
Premiere Planning, Inc. investor protection violation2010IN-SEC$7,500
Provident Capital Management, Inc. investor protection violation2011IN-SEC$7,500
Fidelity Brokerage Services LLCFidelity Investmentsfinancial servicesinvestor protection violation2011IN-SEC$7,500
National Securities Corp. investor protection violation2013IN-SEC$7,500
Basin Oil and Gas Corp. investor protection violation2004KY-FIN$7,500
Deak Reynolds Co. investor protection violation2014MD-SEC$7,500
Redrhino, Inc. investor protection violation2016MD-SEC$7,500
Freedom Wealth Advisors, LLC investor protection violation2017ME-SEC$7,500
Silacon Corp. investor protection violation2012MN-FIN$7,500
Feltl and Company investor protection violation2012MN-FIN$7,500
Novak & Powell Financial Services, Inc. investor protection violation2014MO-SEC$7,500
Lerona Impex SA investor protection violation2016MO-SEC$7,500
Harmony Health Care Institute, Inc investor protection violation2015NH-BSR$7,500
NYLIFE Securities LLCNew York Life Insurancefinancial servicesinvestor protection violation2017NH-BSR$7,500
GunnAllen Financial Inc. investor protection violation2008OK-SEC$7,500
Lloyds Capital Group LLC investor protection violation2011OK-SEC$7,500
The Rhodes Company investor protection violation2000OR-FIN$7,500
Green Rush Consulting LLC investor protection violation2016OR-FIN$7,500
LVG Holding #1255 LLC investor protection violation2014PA-BKG$7,500
Investors Capital Corp. investor protection violation2016PA-BKG$7,500
Vasari Energy Inc. investor protection violation2017PA-BKG$7,500
Great Nation Financial Corporation investor protection violation2012SC-SEC$7,500
STG Investors LLC investor protection violation2015SC-SEC$7,500
Terra Nova Trading LLC investor protection violation2000TN-SEC$7,500
Burke, Lawton, Brewer & Burke investor protection violation2000TX-SEC$7,500
Select Asset Management LLC investor protection violation2008TX-SEC$7,500
Global Asset Management Group Inc. investor protection violation2019TX-SEC$7,500
MIDATLANTIC IRA, LLC investor protection violation2014VA-SEC$7,500
Megadance USA Corp investor protection violation2017VA-SEC$7,500
WINGS TO GO, INC. investor protection violation2018VA-SEC$7,500
Harvest Financial Group, LLC investor protection violation2019VA-SEC$7,500
Slagel Investment Management investor protection violation2019VA-SEC$7,500
Seattle Business Associates, LLC and Hanbleceya Seattle Real Estate, LLC investor protection violation2013WA-FIN$7,500
Brogan Group Investment Advisors, LLC investor protection violation2020PA-BKG$7,500
Full_Tilton Ventures, LLC investor protection violation2020WA-SEC$7,500
Eagle Alcohol Company LLCAlto Ingredientsmiscellaneous energy products and systemstax violations2020ATTTB$7,500
V Wealth Advisers, LLC investor protection violation2020MO-SEC$7,500
Mascoma Wealth Management LLC investor protection violation2020NH-BSR$7,500
Access Investment, LLC investor protection violation2020NH-BSR$7,500
Fiduciary Investment Funds, LLC investor protection violation2021SD-SEC$7,500
Fiduciary Investment Funds, LLC investor protection violation2021ND-SEC$7,500
Stephen L. Falk & Associates, Inc. investor protection violation2009FINRA$7,500
Schupp & Grochmal, LLCSchupp & Grochmalfinancial servicesinvestor protection violation2020CT-SEC$7,500
Financial Planning Center, LLP investor protection violation2021TN-SEC$7,500
StartEngine Crowdfunding, Inc. investor protection violation2022TX-SEC$7,500
J.A.G. Capital, LLC investor protection violation2023CO-SEC$7,500
J.A.G. Capital, LLC investor protection violation2023CT-SEC$7,500
IBN Financial Services Inc. investor protection violation2023ME-SEC$7,500
Hightower Securities LLC investor protection violation2023ME-SEC$7,500
Pinnacle Investments LLC investor protection violation2023ME-SEC$7,500
Bolton Global Capital investor protection violation2023ME-SEC$7,500
Creativeone Securities LLC investor protection violation2023ME-SEC$7,500
Aequitas Equitas Wealth Management, LLC investor protection violation2023PA-BKG$7,500
Aegis Capital Corp. investor protection violation2024MO-SEC$7,500
DHJH Holdings, LLC investor protection violation2023PA-BKG$7,500
Rudnick Development, LLC and Southeastern Lot Acquisitions, LLC investor protection violation2024SC-SEC$7,500
Motion Capital Advisors LLC, and Motion Business Management LLC investor protection violation2024WA-SEC$7,500
Questback, Inc. tax violations2014CT-AG$7,485
Newbridge Securities Corp. investor protection violation2016KY-FIN$7,476
BUSEY BANKFirst Busey Corp.financial servicesbanking violation2010FDIC$7,445
Varco International, Inc.NOV Inc.oilfield services and supplieseconomic sanction violation2003OFAC$7,428
NORTHWEST SAVINGS BANK banking violation2008FDIC$7,405
SEAWAY COMMUNITY BANK banking violation2011FDIC$7,400
Crescent Brewery LLC tax violations2022ATTTB$7,400
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.