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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
Appaloosa Management L.P. investor protection violation2010SEC$1,304,523
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2018SEC$1,304,197
Touradji Capital Management, L.P. investor protection violation2011SEC$1,303,336
Cochise Financial Corp. investor protection violation2000AZ-CC$1,301,929
J. Hansen Investments, LLC investor protection violation2013CFTC$1,300,000
Rosenthal Collins Group, L.L.C. investor protection violation2010CFTC$1,300,000
Sun Liquor MFG, Inc. tax violations2019ATTTB$1,300,000
Bank of New York Mellon Corp.Bank of New York Mellonfinancial servicesinvestor protection violation2011MULTI-AG$1,300,000
Falconhead Capital investor protection violation2009NY-AG$1,300,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2016FINRA$1,300,000
Mutual Service Corporation investor protection violation2005FINRA$1,300,000
Koppers Holdings Inc.Kopperschemicalsinvestor protection violation2022SEC$1,300,000
Meta Funding, LLC investor protection violation2007AZ-CC$1,299,900
Perfection PR Firm LLC investor protection violation2020CFTC$1,296,572
LPL Financial Corp.LPL Financialfinancial servicesinvestor protection violation2009MT-FIN$1,294,416
Lefavi Wealth Management, Inc. investor protection violation2019SEC$1,288,735
Visionary Group Holdings, Inc. investor protection violation2011CA-DFPI$1,285,750
GPS Partners, LLC investor protection violation2010SEC$1,284,171
TMTE, Inc. et al. investor protection violation2022MT-FIN$1,282,738
Centaurus Financial, Inc. investor protection violation2021SEC$1,281,396
CitigroupCitigroupfinancial servicesinvestor protection violation2012FINRA$1,279,106
Bamex International, Ltd. investor protection violation2002AZ-CC$1,277,429
Deerfield Capital Corp. accounting fraud or deficiencies2011SEC$1,277,070
Key Resource Group, LLC investor protection violation2008CT-SEC$1,275,000
Monex Securities Inc. investor protection violation2014FINRA$1,275,000
Banc of America Securities LLCBank of Americafinancial servicesinvestor protection violation2010NJ-AG$1,268,393
Texon Energy Corp. and Lonestar Petroleum Corp. investor protection violation2002SEC$1,268,253
iFinix Futures, Inc. investor protection violation2013CFTC$1,260,000
Portfolio Advisors Alliance investor protection violation2019SEC$1,259,721
Pishon Holding LLC investor protection violation2019CFTC$1,259,317
Comprehensive Cash Flow Funding, Inc. et al. investor protection violation2012AZ-CC$1,253,122
RRE Investments, LLC and ECB Real Estate, LLC investor protection violation2024AZ-CC$1,252,142
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinafinancial servicesinvestor protection violation2018SEC$1,250,000
Moody's Investors Service, Inc.Moody'sinformation technologyinvestor protection violation2018SEC$1,250,000
Mizuho Securities USA LLCMizuho Financialfinancial servicesinvestor protection violation2018SEC$1,250,000
BGC Financial accounting fraud or deficiencies2018SEC$1,250,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2018SEC$1,250,000
Natixis Securities Americas LLC investor protection violation2018SEC$1,250,000
Alma Bank banking violation2019FDIC$1,250,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2006AZ-CC$1,250,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2020CFTC$1,250,000
Revolution Lighting Technologies Inc. accounting fraud or deficiencies2020SEC$1,250,000
Robinhood Financial, LLCRobinhood Marketsfinancial servicesinvestor protection violation2019FINRA$1,250,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2019FINRA$1,250,000
J.P. Morgan Securities, LLCJPMorgan Chasefinancial servicesinvestor protection violation2017FINRA$1,250,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2005FINRA$1,250,000
Payward Ventures, Inc. d/b/a Kraken investor protection violation2021CFTC$1,250,000
United States Oil Fund LP and United States Commodity Funds LLC investor protection violation2021SEC$1,250,000
Plug Power Inc.Plug Power Inc.utilities and power generationinvestor protection violation2023SEC$1,250,000
TAL Education Group investor protection violation2023SEC$1,250,000
Huntington Investment Company investor protection violation2024SEC$1,250,000
Skechers U.S.A. Inc.Skechers USA Inc.apparelinvestor protection violation2024SEC$1,250,000
Anson Funds Management, LP investor protection violation2024SEC$1,250,000
P. Schoenfeld Asset Management LP investor protection violation2024SEC$1,250,000
Canadian Imperial Bank of CommerceCanadian Imperial Bank of Commercefinancial servicesinvestor protection violation2024CFTC$1,250,000
Canaccord Genuity LLC investor protection violation2024SEC$1,250,000
Citi International Financial Services LLC investor protection violation2012FINRA$1,248,000
American Elder Group, L.L.C. and American Elder Group, Inc. investor protection violation2007AZ-CC$1,245,403
OLOF Enterprises, L.L.C. investor protection violation2009AZ-CC$1,242,612
Arizona Gold Processing, LLC and AZGO, LLC investor protection violation2013AZ-CC$1,242,275
CS First Boston Corp.UBSfinancial servicesinvestor protection violation2000FINRA$1,240,000
O.N. Investment Management Company investor protection violation2022SEC$1,238,653
My Trader Coin investor protection violation2022AZ-CC$1,237,747
M1 Finance LLC investor protection violation2023FINRA$1,236,918
The Kane Capital Investment Group, LLC investor protection violation2019CFTC$1,232,510
Solution, Sources, and Consulting, LLC and Energy Savings Solution, Inc. investor protection violation2005AZ-CC$1,229,186
Plaza Bank banking violation2015DOJ_CIVIL$1,225,000
Dentsply Sirona Inc.Dentsply Sironamedical equipment and supplieseconomic sanction violation2017OFAC$1,220,400
Imagine Enterprises, LLC investor protection violation2019AZ-CC$1,217,793
Executive Real Estate Solutions, L.L.C. investor protection violation2012AZ-CC$1,217,747
Whispering Creek Investments LLC investor protection violation2019AZ-CC$1,214,923
Precious Oro Resources LLC et al. investor protection violation2008OK-SEC$1,212,818
Achieve Financial Services LLP banking violation2013FDIC$1,210,000
CoinList Markets LLC economic sanction violation2023OFAC$1,207,830
MakeYourFuture, LLC investor protection violation2017CFTC$1,207,294
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2021SEC$1,207,000
Summit Financial Group, Inc. investor protection violation2020SEC$1,206,882
Green Panel Corp. and Panelized Building Systems of Prescott, L.L.C. investor protection violation2010AZ-CC$1,203,800
Whitebox Advisors investor protection violation2014SEC$1,202,924
Merrill LynchBank of Americafinancial servicesinvestor protection violation2014CFTC$1,200,000
Native Wholesale Supply Company tax violations2011ATTTB$1,200,000
CSG Commodity Service Group investor protection violation2012CFTC$1,200,000
Gardere Wynne Sewell LLP investor protection violation2002SEC$1,200,000
Credit Suisse Securities (USA) LLCUBSfinancial servicestoxic securities abuses2016VA-AG$1,200,000
Mid-Atlantic Financial, LLC et al. investor protection violation2018MD-SEC$1,200,000
Black Diamond Forex LP, BDF Trading LP, and Advanta FX investor protection violation2020CFTC$1,200,000
Janney Montgomery Scott, LLCPenn Mutualfinancial servicesinvestor protection violation2015FINRA$1,200,000
ING Groep N.V.Voya Financialfinancial servicesinvestor protection violation2013FINRA$1,200,000
MetLife Securities, Inc.MetLifefinancial servicesinvestor protection violation2009FINRA$1,200,000
Boston Capital Securities, Inc. investor protection violation2006FINRA$1,200,000
Ladenburg Thalmann & Co.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2005FINRA$1,200,000
Coda Markets, Inc. investor protection violation2021SEC$1,200,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2022SEC$1,200,000
Oak Capital Partners, LLC investor protection violation2018AZ-CC$1,198,851
Minxia Non-Ferrous Metals, Inc. economic sanction violation2008OFAC$1,198,000
IC Advisory Services Inc. investor protection violation2019SEC$1,195,186
GA Investors investor protection violation2024SEC$1,191,938
OTC Link LLC anti-money-laundering deficiencies2024SEC$1,190,000
Mosaic Exchange Ltd. investor protection violation2025CFTC$1,189,580
Morgan Stanley Smith Barney LLC and Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2013FINRA$1,188,000
Investment Acquisitions Group LLC investor protection violation2015AZ-CC$1,180,339
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.