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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 Companies | Total Penalty $ | Number of Records |
| Bank of America | $41,338,642,096 | 158 |
| UBS | $27,713,994,893 | 137 |
| JPMorgan Chase | $27,509,554,167 | 127 |
| Citigroup | $19,885,993,935 | 108 |
| Deutsche Bank | $15,642,617,278 | 69 |
| Goldman Sachs | $13,128,362,841 | 59 |
| NatWest Group PLC | $12,129,162,857 | 23 |
| Wells Fargo | $10,736,630,989 | 131 |
| Morgan Stanley | $9,924,512,956 | 171 |
| BNP Paribas | $9,167,798,000 | 12 |
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.
| Company | Current Parent | Current Parent Industry | Primary Offense Type | Year | Agency | Penalty Amount  |
| Equitas Capital Advisors, LLC | | | investor protection violation | 2023 | VA-SEC | $5,000 |
| Northwestern Mutual Investment Services LLC | Northwestern Mutual | financial services | investor protection violation | 2024 | ME-SEC | $5,000 |
| Robert W. Baird & Co. Incorporated | | | investor protection violation | 2024 | ME-SEC | $5,000 |
| Sovereign Legacy Securities, Inc. | | | investor protection violation | 2024 | OR-FIN | $5,000 |
| Wolff Asset Management, LLC | | | investor protection violation | 2023 | PA-BKG | $5,000 |
| Robbins Capital Management, Inc. | | | investor protection violation | 2024 | TN-SEC | $5,000 |
| Integrated Advisors Network L.L.C. | | | investor protection violation | 2024 | AZ-CC | $5,000 |
| Integrated Advisors Network LLC | | | investor protection violation | 2024 | AZ-CC | $5,000 |
| Abraham & Co., Inc. | | | investor protection violation | 2024 | MO-SEC | $5,000 |
| KROUSE STUREMAN & ASSOCIATES, INC. | | | investor protection violation | 2024 | IN-SEC | $5,000 |
| JMM Financial, LLC | | | investor protection violation | 2024 | PA-BKG | $5,000 |
| Moneypro Wealth Management, L.L.C. | | | investor protection violation | 2024 | TN-SEC | $5,000 |
| Wingo Asset Management, LLC: | | | investor protection violation | 2024 | TX-SEC | $5,000 |
| Frank Dedicated Services, LLC | | | investor protection violation | 2024 | VA-SEC | $5,000 |
| Ravsten Wealth Management, LLC | | | investor protection violation | 2024 | AZ-CC | $5,000 |
| Hodan Global Money Services, Inc | | | anti-money-laundering deficiencies | 2024 | MA-BKG | $5,000 |
| Fast Cash Corp. | | | anti-money-laundering deficiencies | 2024 | MA-BKG | $5,000 |
| Doeren Mayhew Capital Advisors, LLC | | | investor protection violation | 2024 | MI-SEC | $5,000 |
