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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
Goldman Sachs Execution & Clearing, L.P.Goldman Sachsfinancial servicesinvestor protection violation2015FINRA$1,800,000
Banc One Capital Markets, Inc. investor protection violation2001FINRA$1,800,000
Umpqua BankUmpqua Holdingsfinancial servicesbanking violation2021FDIC$1,800,000
Fintech Investment Group Inc. andCompcoin LLC investor protection violation2022CFTC$1,800,000
Sound Point Capital Management LP investor protection violation2024SEC$1,800,000
Armstrong Capital Ltd. and Bay Capital Investment Ltd. investor protection violation2007SEC$1,795,000
Tradition Securities and Derivatives, LLC investor protection violation2021SEC$1,787,459
RWC Group LLC tax violations2023ATTTB$1,776,836
Rossshire Development LLC and Greenstone Ventures LLC and Modern South Development LLC investor protection violation2021NC-SEC$1,771,382
Falcon Labs, Ltd. investor protection violation2024CFTC$1,768,512
BHF-Bank (Schweiz) AG tax violations2015DOJ_TAX$1,768,000
Principal Securities, Inc.Principal Financialfinancial servicesinvestor protection violation2019SEC$1,764,624
Aristeia Capital, LLC investor protection violation2011SEC$1,762,776
Archimedes Foundation Trust investor protection violation2022AZ-CC$1,760,000
Marrone Bio Innovations accounting fraud or deficiencies2016SEC$1,750,000
Saba Software accounting fraud or deficiencies2014SEC$1,750,000
Pacific Western Bank banking violation2017USAO$1,750,000
The Dow Chemical CompanyDow Inc.chemicalsinvestor protection violation2018SEC$1,750,000
Hard Eight Futures, LLC investor protection violation2019CFTC$1,750,000
FuturesFX investor protection violation2020CFTC$1,750,000
Raymond James & Associates, Inc.Raymond James Financialfinancial servicesinvestor protection violation2011MULTI-FIN$1,750,000
VALIC Financial Advisors, Inc.American International Groupfinancial servicesinvestor protection violation2016FINRA$1,750,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2011FINRA$1,750,000
Fifth Third Securities, Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2009FINRA$1,750,000
Thomas Weisel PartnersStifel Financialfinancial servicesinvestor protection violation2005FINRA$1,750,000
Securities America Advisors, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2021SEC$1,750,000
The Bancorp, Inc. investor protection violation2022SEC$1,750,000
Angel Oak Capital Advisors, LLC investor protection violation2022SEC$1,750,000
Van Eck Associates Corporation investor protection violation2024SEC$1,750,000
Arizona Idaho Mining, LLC investor protection violation2005ID-SEC$1,730,000
OM Investment Management accounting fraud or deficiencies2014SEC$1,729,800
Smith & Wesson Sales CompanySmith & Wessonmiscellaneous manufacturingtax violations2021ATTTB$1,729,000
PACCAR Inc.Paccarmotor vehicleseconomic sanction violation2019OFAC$1,709,325
Train, Babcock Advisors LLC investor protection violation2017SEC$1,700,725
Bear Fruit Films, L.L.C. investor protection violation2023AZ-CC$1,700,500
Global Sports Marketing Corp. investor protection violation2010MT-FIN$1,700,242
UBS AGUBSfinancial serviceseconomic sanction violation2015OFAC$1,700,100
First California Bank banking violation2013FDIC$1,700,000
EZTD Inc. investor protection violation2016SEC$1,700,000
Nevis Capital Management, LLC investor protection violation2004SEC$1,700,000
Gilder Gagnon Howe & Co. LLC investor protection violation2020SEC$1,700,000
Power Solutions International Inc. accounting fraud or deficiencies2020SEC$1,700,000
RBC Dain Rauscher, Inc.Royal Bank of Canadafinancial servicesinvestor protection violation2005FINRA$1,700,000
CoinEx investor protection violation2023NY-AG$1,700,000
Oregon Tool, Inc.Platinum Equityprivate equity (including portfolio companies)anti-money-laundering deficiencies2023USAO$1,700,000
Prosper Wealth Management, LLC investor protection violation2022WI-FIN$1,683,727
BlackRock Institutional Trust CompanyBlackRockfinancial servicesinvestor protection violation2014SEC$1,675,350
BOK Financial CorporationBOK Financialfinancial servicesinvestor protection violation2016SEC$1,667,720
SSN Advisory, Inc. investor protection violation2019SEC$1,666,950
Sunrise Technologies and Trading Corporation economic sanction violation2011OFAC$1,661,672
Chadwick & D'Amato, LLC, and Chadwick Consulting, LLC investor protection violation2023VT-FIN$1,652,708
International Currency Exchange, Inc. investor protection violation2007CFTC$1,650,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2002SEC$1,650,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2002SEC$1,650,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2002SEC$1,650,000
Salomon Smith Barney Inc.Morgan Stanleyfinancial servicesinvestor protection violation2002SEC$1,650,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2002SEC$1,650,000
SunTrust Robinson Humphrey, Inc.Truist Financialfinancial servicesinvestor protection violation2008FINRA$1,650,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000
Salomon Smith Barney Inc.Morgan Stanleyfinancial servicesinvestor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000
Future Fintech Group Inc. investor protection violation2023SEC$1,650,000
All Share Inc. investor protection violation2015IN-SEC$1,643,711
Unity Financial, LLC investor protection violation2004AZ-CC$1,642,564
Commonwealth Equity Services, LLC investor protection violation2019SEC$1,637,303
North American Asset Management, LLC investor protection violation2017CFTC$1,626,189
Massachusetts Mutual Life Insurance CompanyMassachusetts Mutual Life Insurancefinancial servicesinvestor protection violation2012SEC$1,625,000
Aladdin Capital Management LLC investor protection violation2012SEC$1,618,831
Cambridge Adult Day Center Washington, LLC et al. investor protection violation2017MO-SEC$1,617,144
Schaffhauser Kantonalbank tax violations2015DOJ_TAX$1,613,000
Golden Genesis, Inc. dba Nuplasma investor protection violation2021MO-SEC$1,610,904
G'ieber Financial, LLC investor protection violation2008AZ-CC$1,609,650
Galileo Trading LLC investor protection violation2016CFTC$1,608,640
Rockwell Capital Management investor protection violation2024SEC$1,602,089
Diamondback Firearms LLC tax violations2015ATTTB$1,600,000
ModusLink Global Solutions Inc.Steel Connect Inc.freight and logisticsaccounting fraud or deficiencies2016SEC$1,600,000
Peak Capital Management Group, Inc. investor protection violation2014CFTC$1,600,000
Yellowstone Partners, Inc. investor protection violation2011CFTC$1,600,000
National Institute Companies of America, Inc. investor protection violation2004SEC$1,600,000
Bank LeumiBank Leumifinancial servicesinvestor protection violation2016SEC$1,600,000
L3 Technologies Inc.L3Harris Technologiesaerospace and military contractingaccounting fraud or deficiencies2017SEC$1,600,000
HSBC Securities (USA) Inc.HSBCfinancial servicesinvestor protection violation2018CFTC$1,600,000
Access Capital Partners investor protection violation2009NY-AG$1,600,000
GKM Newport Generation Capital Services, LLC investor protection violation2010NY-AG$1,600,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2004FINRA$1,600,000
American Infrastructure Funds LLC investor protection violation2023SEC$1,600,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2024FINRA$1,600,000
Hilltop Securities Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2024SEC$1,600,000
Style N'Tile International investor protection violation2010MT-FIN$1,596,750
Hanson Holdings, LLC and IBS Investments, LLC investor protection violation2015MO-SEC$1,588,975
Crown Capital Securities, L.P. investor protection violation2021SEC$1,587,912
Ernst & Young LLPErnst & Youngbusiness servicesinvestor protection violation2007SEC$1,587,170
Plein Enterprises Incorporated dba Tri-Star Realty investor protection violation2011AZ-CC$1,586,182
Genesis Advisory Services Corp. and ABJ Societe Anonyme Corp. investor protection violation2014SEC$1,583,942
Golden State Equity Investors, Inc. investor protection violation2009SEC$1,577,579
Instinet, LLC investor protection violation2018FINRA$1,575,000
FacePrint Global Solutions, Inc. investor protection violation2008SEC$1,573,825
The Yorkshire Group, Inc. investor protection violation2016CFTC$1,569,801
SLIG High-Interest Liquid Savings Company investor protection violation2024SEC$1,564,547
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.