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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
Baron Capital, Inc. investor protection violation2003SEC$2,000,000
Deloitte Touche Tohmatsu LLCDeloittebusiness servicesaccounting fraud or deficiencies2019SEC$2,000,000
Dreyfus CorporationBank of New York Mellonfinancial servicesinvestor protection violation2000NY-AG$2,000,000
Global Strategy Group investor protection violation2010NY-AG$2,000,000
Pacific Corporate Group Holdings, LLC investor protection violation2009NY-AG$2,000,000
Omgeo Matching Services US, LLC investor protection violation2019SEC$2,000,000
Friedman's Inc. accounting fraud or deficiencies2005USAO$2,000,000
JB Oxford Holdings, Inc. accounting fraud or deficiencies2000USAO$2,000,000
Deloitte & Touche LLPDeloittebusiness servicesaccounting fraud or deficiencies2013PCAOB$2,000,000
Ernst & Young LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2012PCAOB$2,000,000
LPL Financial, LLCLPL Financialfinancial servicesinvestor protection violation2014IL-SEC$2,000,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2012MA-SEC$2,000,000
American Express Financial Advisors, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2005MN-FIN$2,000,000
White Cedar Group, LLC investor protection violation2014NJ-BOS$2,000,000
Cifuentes Fund Management, LLC investor protection violation2016NJ-BOS$2,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2019FINRA$2,000,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2019FINRA$2,000,000
Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesinvestor protection violation2017FINRA$2,000,000
RBS Securities, Inc.NatWest Group PLCfinancial servicesinvestor protection violation2016FINRA$2,000,000
Charles Schwab & Co.Charles Schwab Corp.financial servicesinvestor protection violation2015FINRA$2,000,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2015FINRA$2,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2013FINRA$2,000,000
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2011FINRA$2,000,000
Santander Securities of Puerto RicoBanco Santanderfinancial servicesinvestor protection violation2011FINRA$2,000,000
Citigroup Global MarketsCitigroupfinancial servicesinvestor protection violation2009FINRA$2,000,000
Wachovia Securities LLCWells Fargofinancial servicesinvestor protection violation2007FINRA$2,000,000
Chase Investment ServicesJPMorgan Chasefinancial servicesinvestor protection violation2005FINRA$2,000,000
Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2003FINRA$2,000,000
American Renal Associates Holdings, Inc. investor protection violation2021SEC$2,000,000
Surgalign Holdings, Inc. investor protection violation2022SEC$2,000,000
KPMG LLP(United Kingdom)KPMGbusiness servicesaccounting fraud or deficiencies2022PCAOB$2,000,000
Gaia Inc. investor protection violation2023SEC$2,000,000
BDO USA, P.CBDO Internationalbusiness servicesaccounting fraud or deficiencies2023PCAOB$2,000,000
WithumSmith+Brown, PC accounting fraud or deficiencies2024PCAOB$2,000,000
Great Point Capital, LLC investor protection violation2024SEC$2,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2024MA-SEC$2,000,000
Frank-Lin Distillers Products, Ltd. tax violations2024ATTTB$2,000,000
Piper Sandler Hedging Services LLCPiper Sandlerfinancial servicesinvestor protection violation2024CFTC$2,000,000
Glazer Capital, LLC investor protection violation2024SEC$2,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2024MA-SEC$2,000,000
JPMorgan Chase & Co.JPMorgan Chasefinancial servicesinvestor protection violation2008SEC$1,998,143
Parker Skylar &Associates, LLC investor protection violation2013AZ-CC$1,992,000
Weiss Research, Inc investor protection violation2006SEC$1,991,141
Aargauische Kantonalbank tax violations2015DOJ_TAX$1,983,000
Lazare Industries, Inc. investor protection violation2008SEC$1,975,911
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2023SEC$1,975,000
Assurance Capital Management, LLC investor protection violation2017CFTC$1,969,165
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2015MULTI-FIN$1,965,000
Toller Stern Financial LLC investor protection violation2024SEC$1,959,960
Jonathan Roberts Advisory Group, Inc. d/b/a J.W. Cole Advisors, Inc. investor protection violation2021SEC$1,957,053
First Allied Securities, Inc. investor protection violation2010SEC$1,950,000
BMO Capital Markets Corp.Bank of Montrealfinancial servicesinvestor protection violation2019SEC$1,950,000
Prager Metis CPAs, LLC investor protection violation2024SEC$1,950,000
One Thousand & One Voices Management, LLC investor protection violation2025SEC$1,944,794
Wells Fargo Advisors, LLCWells Fargofinancial servicesinvestor protection violation2012FINRA$1,931,488
Monomoy Capital Management, L.P.Monomoy Capital Partnersprivate equity (including portfolio companies)investor protection violation2020SEC$1,926,579
St. Germain Investment Management, Inc. investor protection violation2021SEC$1,925,250
Jefferies & Company, Inc.Jefferies Financial Groupdiversifiedinvestor protection violation2011FINRA$1,925,000
Park Avenue Country Club tax violations2006NY-MANDA$1,920,136
Deerfield Management Company investor protection violation2013SEC$1,902,224
Ribbon Communications Inc. (fka Sonus Networks)Ribbon Communicationstelecommunicationsinvestor protection violation2018SEC$1,900,000
Massachusetts Financial Services CompanySun Life Financialfinancial servicesinvestor protection violation2018SEC$1,900,000
Banco Espirito Santo, S.A. investor protection violation2011NJ-AG$1,900,000
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2009MULTI-FIN$1,900,000
CohnReznick LLP accounting fraud or deficiencies2022SEC$1,900,000
BGC Derivative Markets, L.P. investor protection violation2022CFTC$1,900,000
YieldStreet Inc. investor protection violation2023SEC$1,900,000
Moors & Cabot, Inc. investor protection violation2023SEC$1,899,456
RLGMAN Corp. and STABLE, LLC investor protection violation2012AZ-CC$1,897,393
Foresight Wealth Management, LLC investor protection violation2023SEC$1,893,486
Banco Comercial Portugues, S.A.Banco Comercial Portugues S.A.financial servicesinvestor protection violation2013SEC$1,892,058
Lunden Forex Partners, LP, Lunden Forex Management, LLC , Black Horse Funds, LLC, Black Horse Management, LLC, and Black Horse Partners, LP investor protection violation2012CFTC$1,890,000
FTN Financial Securities Corp. investor protection violation2011SEC$1,873,636
Stanley Black & Decker, Inc.Stanley Black & Deckermiscellaneous manufacturingeconomic sanction violation2019OFAC$1,869,144
Virtua Capital Management, LLC investor protection violation2022SEC$1,864,089
Xcaliber International Ltd., LLC tax violations2019TN-AG$1,860,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2019SEC$1,852,540
ProEquities, Inc.Dai-ichi Lifefinancial servicesinvestor protection violation2019SEC$1,852,383
Winslow and Evans & Crocker, Inc. investor protection violation2021SEC$1,851,787
North Texas Energy, Inc. investor protection violation2023MD-SEC$1,850,000
Egan-Jones Ratings Company investor protection violation2022SEC$1,846,000
Raskob Kambourian Financial Advisors, Ltd. investor protection violation2024SEC$1,845,581
Ace Payday Plus, LLC investor protection violation2004SEC$1,842,133
Marchant International Resources, Inc. investor protection violation2016AZ-CC$1,841,513
Capital Cove Bancorp LLC investor protection violation2018SEC$1,829,868
First Republic Investment Management, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2022SEC$1,825,953
Moon River Studios, Inc. investor protection violation2018SEC$1,824,368
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2020SEC$1,822,438
Capital Analysts, LLC investor protection violation2018SEC$1,820,349
Flatiron Capital Partners, LLC and Flatiron Systems, LLC investor protection violation2012SEC$1,817,277
Bank Sparhafen Zurich AG tax violations2015DOJ_TAX$1,810,000
Geneos Wealth Management Inc. investor protection violation2018SEC$1,808,121
Falcon Private Bank AG tax violations2015DOJ_TAX$1,806,000
Stone Brewing Co., LLC tax violations2021ATTTB$1,804,430
P-R-E, LLC dba Phoenix Renewable Energy investor protection violation2013AR-SEC$1,804,250
Arjent Capital Markets LLC and Chicago Trading Managers LLC investor protection violation2013CFTC$1,800,000
PMC Strategy, LLC investor protection violation2013CFTC$1,800,000
Forex Capital Trading Group, Forex Capital Trading Partners, and Highland Stone Capital Management investor protection violation2012CFTC$1,800,000
Group One Trading, L.P. investor protection violation2009SEC$1,800,000
Victory Asset investor protection violation2018CFTC$1,800,000
Goldman Sachs Execution & Clearing, L.P.Goldman Sachsfinancial servicesinvestor protection violation2015FINRA$1,800,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.