Basic Search  |  Summaries  |  Advanced Search

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearAgencyPenalty Amount sort icon
Canoo Inc.Canoo Inc.motor vehiclesinvestor protection violation2023SEC$1,500,000
Archipelago Trading Services Inc. investor protection violation2023SEC$1,500,000
TradeStation Crypto securities issuance or trading violation2024MULTI-AG$1,500,000
TradeStation Crypto, Inc. investor protection violation2024SEC$1,500,000
Northern Star Investment Corp. II investor protection violation2024SEC$1,500,000
TRADESTATION CRYPTO, INC investor protection violation2024MULTI-FIN$1,500,000
Bank of England banking violation2024FDIC$1,500,000
eToro USA LLC investor protection violation2024SEC$1,500,000
Keurig Dr Pepper Inc.Keurig Dr Pepper Inc.beveragesinvestor protection violation2024SEC$1,500,000
Icahn Enterprises L.P.Icahn Enterprisesdiversifiedinvestor protection violation2024SEC$1,500,000
Merrill Lynch Commodities, Inc.Bank of Americafinancial servicesinvestor protection violation2024CFTC$1,500,000
Marathon Asset Management LP investor protection violation2024SEC$1,500,000
Intesa Sanpaolo IMI Securities Corp.Intesa Sanpaolofinancial servicesinvestor protection violation2024SEC$1,500,000
Lovesac Company accounting fraud or deficiencies2024SEC$1,500,000
Kershner Trading Americas, LLC investor protection violation2024SEC$1,499,998
Hope Advisors, LLC investor protection violation2018SEC$1,487,235
Wright Time Capital Group LLC investor protection violation2018CFTC$1,485,000
Horseman Capital Management, L.P.? investor protection violation2011SEC$1,484,952
VCAP Securities investor protection violation2015SEC$1,477,332
Founders Financial Securities, LLC investor protection violation2019SEC$1,475,465
Instinet, LLC and INET ATS, Inc. investor protection violation2005FINRA$1,475,000
Wealth Management LLC investor protection violation2010SEC$1,471,002
My Global Leverage, LLC investor protection violation2016CFTC$1,465,528
BarnBridge DAO investor protection violation2023SEC$1,457,000
International Air Medical Services, Inc. investor protection violation2013AZ-CC$1,456,300
Norstreet Portfolio, LLC investor protection violation2010AZ-CC$1,452,599
Midwest BankCentre banking violation2011DOJ_RIGHTS$1,450,000
Mazuma Corporation et al. investor protection violation2013SEC$1,449,978
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2008IL-SEC$1,449,384
INSIGHT WEALTH MANAGEMENT investor protection violation2024WI-FIN$1,447,000
SunTrust Investment Services, Inc.Truist Financialfinancial servicesinvestor protection violation2010FINRA$1,440,000
Galaxy Resources 2000, LLC investor protection violation2008CFTC$1,435,470
RBC Capital MarketsRoyal Bank of Canadafinancial servicesinvestor protection violation2015FINRA$1,434,000
New Futures Trading International Corporation investor protection violation2012SEC$1,433,889
Global Telecom Services, L.L.C. d/b/a Medical Disposal Devices investor protection violation2004SEC$1,431,369
Independent Financial Group LLC investor protection violation2019SEC$1,426,150
Ecoval Dairy Trade, Inc. investor protection violation2011CFTC$1,425,000
State Bonding dba State Bonding California investor protection violation2011IN-SEC$1,425,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2015MULTI-FIN$1,425,000
Oppenheimer and Co., Inc.Oppenheimer Holdingsfinancial servicesanti-money-laundering deficiencies2013FINRA$1,425,000
Cameron International CorporationSchlumbergeroilfield services and supplieseconomic sanction violation2021OFAC$1,423,766
Leland Energy, Inc. et al. investor protection violation2011CA-DFPI$1,417,477
Saba Tooth Tiger, LLC dba Saba Investments investor protection violation2020AZ-CC$1,412,099
Assured International, Inc. and Sharp Financial Corp. investor protection violation2000SEC$1,407,217
Cosas Management Group, L.L.C. investor protection violation2009AZ-CC$1,405,366
Next Financial Group, Inc.Atria Wealth Solutionsfinancial servicesinvestor protection violation2019SEC$1,405,349
Cornerstone Benefit Advisors, LLC investor protection violation2017KY-FIN$1,405,126
Merrill Lynch, Pierce, Fenner & Smith IncBank of Americafinancial servicesinvestor protection violation2018SEC$1,404,000
Payoneer Inc. economic sanction violation2021OFAC$1,400,301
Madison Dean, Inc. investor protection violation2013CFTC$1,400,000
Midway Trading Company, LLC and Conquest Investment Group, Inc. investor protection violation2012CFTC$1,400,000
JG Forex Fund investor protection violation2011CFTC$1,400,000
Colonial Fund LLC and Colonial Investment Management LLC investor protection violation2009SEC$1,400,000
SandRidge Energy, Inc.SandRidge Energyoil and gasinvestor protection violation2016SEC$1,400,000
MUFG Securities Americas Inc.U.S. Bancorpfinancial servicesinvestor protection violation2018SEC$1,400,000
The Bancorp, Inc. investor protection violation2019SEC$1,400,000
BGC Partners, Inc.BGC Partnersfinancial servicesinvestor protection violation2020SEC$1,400,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2017FINRA$1,400,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2015FINRA$1,400,000
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2009FINRA$1,400,000
State Street Global Markets LLCState Street Corp.financial servicesinvestor protection violation2005FINRA$1,400,000
Commonwealth Financial Network investor protection violation2005FINRA$1,400,000
Wefunder Portal LLC investor protection violation2022FINRA$1,400,000
RTW Investments, LP investor protection violation2023SEC$1,400,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2023SEC$1,400,000
Ideanomics, Inc. investor protection violation2024SEC$1,400,000
StateTrust Investments, Inc. investor protection violation2013FINRA$1,398,000
FX & Beyond Corporation investor protection violation2018SEC$1,392,656
Mosaic Financial Strategies LLC and Mosaic Portfolio Strategists, LLC investor protection violation2020CT-SEC$1,390,000
The Fortitude Foundation et al. investor protection violation2020AZ-CC$1,386,024
Acadia Healthcare Company, Inc.Acadia Healthcarehealthcare servicesinvestor protection violation2024SEC$1,386,000
Harbinger Capital Partners, LLC investor protection violation2012SEC$1,378,763
PIF Financial Services, LLC and Premier Mortgage Solutions, LLC investor protection violation2016MO-SEC$1,378,510
Starberry Limited investor protection violation2022CFTC$1,376,206
House Asset Management, L.L.C. and House Edge, L.P. investor protection violation2005SEC$1,375,767
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2013FINRA$1,373,000
Morgan Stanley & Co. Inc. and Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2011FINRA$1,371,000
Benjamin F. Edwards & Company, Inc. investor protection violation2020SEC$1,366,551
SB Saanen Bank AG tax violations2015DOJ_TAX$1,365,000
Pacific Air Transport investor protection violation2001SEC$1,364,692
Societe Generale Private Banking (Lugano-Svizzera)Societe Generalefinancial servicestax violations2015DOJ_TAX$1,363,000
D-Tronics tax violations2014DOJ_CRIMINAL$1,350,000
Innovative Capital Management, LLC investor protection violation2008CFTC$1,350,000
HomeStreet BankHomeStreet Inc.financial servicesbanking violation2019FDIC$1,350,000
Gold Distributors, Inc. investor protection violation2014CFTC$1,349,066
Great Westem Malting Co. economic sanction violation2012OFAC$1,347,750
Gartmore Investment Limited investor protection violation2010SEC$1,347,251
Platinum Wealth Partners, Inc. investor protection violation2020SEC$1,330,847
FFH Holdings, LLC investor protection violation2019MO-SEC$1,329,157
CoverLugg LLC and Birdie Media LLC investor protection violation2019AZ-CC$1,328,090
Southern Homes, L.L.C. investor protection violation2009AZ-CC$1,327,500
Wilmington Trust Investment Management, LLCM&T Bankfinancial servicesinvestor protection violation2023SEC$1,327,147
Pacific Capital Enterprises LLC investor protection violation2019AZ-CC$1,326,872
Vasquez Global Investments, LLC investor protection violation2014CFTC$1,326,224
Fieldstone Financial Management Group LLC investor protection violation2019SEC$1,322,971
Westport Capital Markets, LLC investor protection violation2021SEC$1,320,761
Colonial Tidewater Realty Income Partners investor protection violation2015SEC$1,319,386
AE Wealth Management, LLC investor protection violation2021AZ-CC$1,309,400
National Planning Corporation Inc. investor protection violation2005FINRA$1,308,000
American Portfolios Financial Services, Inc. and American Portfolios Advisors, Inc. investor protection violation2020SEC$1,305,660
Appaloosa Management L.P. investor protection violation2010SEC$1,304,523
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.