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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
Elite Group Financial, LLC investor protection violation2015IL-SEC$5,000
LT Solutions Corp. investor protection violation2016IL-SEC$5,000
72Vest Level Three, LLC investor protection violation2016IL-SEC$5,000
Elite Group Financial, LLC investor protection violation2016IL-SEC$5,000
Beard Financial Services, Inc. investor protection violation2016IL-SEC$5,000
Resources Planning Group, Inc. investor protection violation2018IL-SEC$5,000
Aggressive Lending Co. investor protection violation2019IL-SEC$5,000
Swift Excelsior Investments, Inc. investor protection violation2009IN-SEC$5,000
Christian Service Foundation, Inc. investor protection violation2010IN-SEC$5,000
Global Wealth Investments, LLC investor protection violation2011IN-SEC$5,000
The McCormick Group, LLC investor protection violation2011IN-SEC$5,000
Genesis Advisors, LLC investor protection violation2011IN-SEC$5,000
Steven W. Songer & Associates, Inc. investor protection violation2012IN-SEC$5,000
Twin Rocks Asset Management, Inc. investor protection violation2013IN-SEC$5,000
5 Star Investment Group, LLC investor protection violation2015IN-SEC$5,000
Kovack Securities Inc. investor protection violation2015IN-SEC$5,000
Legacy Practice Management, LLC investor protection violation2016IN-SEC$5,000
Blue Crab Partners, LLC investor protection violation2017IN-SEC$5,000
RSF Social Investment Fund, Inc. investor protection violation2017IN-SEC$5,000
Martin Financial Management, Inc. investor protection violation2017IN-SEC$5,000
Legacy Wealth Management investor protection violation2018IN-SEC$5,000
DS VI, LLC and DS VII, LLC and DS X, LLC and DS XII, LLC investor protection violation2019IN-SEC$5,000
Kingdom Oil, Inc. investor protection violation2006KY-FIN$5,000
Berry Resources, Inc. investor protection violation2007KY-FIN$5,000
Mammoth Resource Partners, Inc., Mammoth Resource Partners, LLC investor protection violation2007KY-FIN$5,000
Money Concepts Capital Corp. investor protection violation2008KY-FIN$5,000
East Fork Energy Partners, Inc. investor protection violation2010KY-FIN$5,000
Envit Capital Holdings, Inc. investor protection violation2011KY-FIN$5,000
Envit Holdings, Inc. investor protection violation2011KY-FIN$5,000
Envit Capital, LLC investor protection violation2011KY-FIN$5,000
Angel Rose Energy, LLC investor protection violation2012KY-FIN$5,000
Louisa Community Bank, Inc. banking violation2017KY-FIN$5,000
M Holdings Securities, Inc. investor protection violation2018KY-FIN$5,000
Euclid Systems Corp. investor protection violation2004MD-SEC$5,000
Quizno's Franchising LLC and Quizno's Franchising II LLC investor protection violation2006MD-SEC$5,000
JHJ Funding, LLC investor protection violation2009MD-SEC$5,000
Money Management Advisory, Inc. investor protection violation2010MD-SEC$5,000
AFC Asset Management Services, Inc. investor protection violation2010MD-SEC$5,000
Dominion Partners Worldwide, LLC investor protection violation2010MD-SEC$5,000
Vocelli, LLC investor protection violation2013MD-SEC$5,000
First Command Financial Planning, Inc. investor protection violation2013MD-SEC$5,000
1-800-Flowers.com Franchise Co., Inc. investor protection violation2014MD-SEC$5,000
Bambu Desserts and Drinks, Inc. investor protection violation2016MD-SEC$5,000
Balsam Capital Group, LLC and River Source Wealth Management, LLC investor protection violation2017MD-SEC$5,000
Caffebene, Inc. investor protection violation2018MD-SEC$5,000
Prosper Marketplace, Inc.Prosper Marketplacefinancial servicesinvestor protection violation2011ME-SEC$5,000
Tech Financial Group investor protection violation2014ME-SEC$5,000
SF Investments, Inc. investor protection violation2017ME-SEC$5,000
Option Mint investor protection violation2018ME-SEC$5,000
Kensington I.P. Limited investor protection violation2018ME-SEC$5,000
Salem Advisory Group LLC investor protection violation2018ME-SEC$5,000
Real Estate Man LLC investor protection violation2018ME-SEC$5,000
Solium Financial Services, LLCMorgan Stanleyfinancial servicesinvestor protection violation2020ME-SEC$5,000
Rein Construction, LLC investor protection violation2015MI-SEC$5,000
Wedgewood Properties, LLC investor protection violation2016MI-SEC$5,000
Wealth Management Group, Inc. investor protection violation2017MI-SEC$5,000
Manaia Capital Management, Inc. investor protection violation2017MI-SEC$5,000
Legacy Planning & Associates, Inc. investor protection violation2017MI-SEC$5,000
Goldeneye Asset Management, LLC investor protection violation2018MI-SEC$5,000
Royal Securities Co. and Royal Advisers, LLC investor protection violation2018MI-SEC$5,000
ASI Capital, LLC et al. investor protection violation2020MI-SEC$5,000
FSC Securities Corp. investor protection violation2000MN-FIN$5,000
American Express Financial Advisors, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2002MN-FIN$5,000
CGF Securities, LLC investor protection violation2003MN-FIN$5,000
Thomas G. Grace Advisors investor protection violation2008MN-FIN$5,000
Cherokee Gas Systems, Inc. investor protection violation2009MN-FIN$5,000
ING Financial Partners, Inc.Voya Financialfinancial servicesinvestor protection violation2012MN-FIN$5,000
Revelle Resources, Inc. investor protection violation2012MN-FIN$5,000
Strive Financial Group LLC and Wealth Security Firm LLC investor protection violation2013MN-FIN$5,000
Life Organic Holdings, Inc. investor protection violation2017MN-FIN$5,000
Bakken Workforce Housing, L.L.C. investor protection violation2017MN-FIN$5,000
American Blast Systems, Inc. investor protection violation2017MN-FIN$5,000
Vertical Securities, LLC and Vertical Group, LLC investor protection violation2005MO-SEC$5,000
R.M. Duncan Securities, Inc. investor protection violation2005MO-SEC$5,000
Easterday Exploration, Inc. investor protection violation2006MO-SEC$5,000
Omni Media & Entertainment, Inc. investor protection violation2006MO-SEC$5,000
Robert Olsen, P.C. investor protection violation2007MO-SEC$5,000
Strand, Atkinson, Williams & York, Inc. investor protection violation2007MO-SEC$5,000
Aisle 411, Inc. investor protection violation2009MO-SEC$5,000
Boulder Wealth Management, LLC investor protection violation2010MO-SEC$5,000
MFA Incorporated investor protection violation2011MO-SEC$5,000
Capital Management Services, Inc. investor protection violation2011MO-SEC$5,000
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherfinancial servicesinvestor protection violation2011MO-SEC$5,000
Guidepost Financial Limited Liability Company investor protection violation2011MO-SEC$5,000
Blackbay Capital Advisors investor protection violation2012MO-SEC$5,000
Valuepoint Partners, Inc. investor protection violation2012MO-SEC$5,000
WealthCare, LLC investor protection violation2016MO-SEC$5,000
Personal Financial Group investor protection violation2017MO-SEC$5,000
Williamson Poultry Farms, Inc. investor protection violation2002MS-SEC$5,000
American Wealth Management, Inc. investor protection violation2017MS-SEC$5,000
MDM Energy investor protection violation2007MT-FIN$5,000
Royal Alliance Associates, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2007MT-FIN$5,000
Rothschild Investment Corp. investor protection violation2008MT-FIN$5,000
NEXT Financial Group, Inc.Atria Wealth Solutionsfinancial servicesinvestor protection violation2010MT-FIN$5,000
Loveless Wealth management, LLC investor protection violation2011MT-FIN$5,000
Metlife Investors USA Insurance CoMetLifefinancial servicesinvestor protection violation2012MT-FIN$5,000
Delano & Morgenroth Investment Advisors, LLC investor protection violation2013MT-FIN$5,000
Close to My Heart, Inc. investor protection violation2014MT-FIN$5,000
Kannaway, LLC investor protection violation2014MT-FIN$5,000
Seacret Direct, LLC investor protection violation2014MT-FIN$5,000
Nutrie, LLC investor protection violation2014MT-FIN$5,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.