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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
Investment Acquisitions Group LLC investor protection violation2015AZ-CC$1,180,339
Cain Brothers & Company, LLC and SHP Capital Markets, Inc. investor protection violation2000FINRA$1,180,000
Negus Capital Incorporated investor protection violation2021CFTC$1,178,180
Mercantil Bank (Schweiz) AG tax violations2015DOJ_TAX$1,172,000
Woodbury Financial Services, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2019SEC$1,171,028
Wayne Player Productions, LLC investor protection violation2014NJ-BOS$1,169,229
Sweetwater Investments, Inc. investor protection violation2019SEC$1,164,747
Stafford Financial Firm investor protection violation2017MO-SEC$1,162,422
Rtfbsl L.L.C. Aka First Draft Bar investor protection violation2023IL-SEC$1,161,899
Fisher Sand & Gravel Inc.Fisher Industriesbuilding materialstax violations2009DOJ_TAX$1,160,000
RBC Dain Rauscher, Inc.Royal Bank of Canadafinancial servicesinvestor protection violation2005FINRA$1,158,000
Wolverine Trading LLC and Wolverine Asset Management LLC investor protection violation2015SEC$1,153,303
TD Ameritrade Clearing, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2013FINRA$1,150,000
Morningstar Credit Ratings, LLCMorningstar Inc.miscellaneous servicesinvestor protection violation2022SEC$1,150,000
JPMorgan Chase & Co.JPMorgan Chasefinancial servicesinvestor protection violation2010NJ-AG$1,149,028
John Thomas Financial investor protection violation2015FINRA$1,147,288
American Portfolios Advisers Inc. investor protection violation2018SEC$1,145,353
Estate Planning Protection, Inc. investor protection violation2006AZ-CC$1,145,000
Adar Bays, LLC and Adar Alef, LLC investor protection violation2024SEC$1,145,000
Summit Asset Strategies accounting fraud or deficiencies2015SEC$1,143,933
Deccan Value Investors LP investor protection violation2022SEC$1,139,501
Wisteria Global, Inc. investor protection violation2015SEC$1,138,935
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2019SEC$1,134,152
Eagle Shipping International (USA) LLC economic sanction violation2020OFAC$1,125,000
Banque Cantonale Neuchateloise tax violations2015DOJ_TAX$1,123,000
Weisbrod Chinese Art, Ltd. tax violations2007NY-MANDA$1,121,046
Cristol Enterprises, LLC and Cristea Holdings, LLC investor protection violation2017MO-SEC$1,115,802
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2006FINRA$1,115,000
Deloitte & Touche LLPDeloittebusiness servicesaccounting fraud or deficiencies2015SEC$1,113,916
Farmington Investment Corp. investor protection violation2011MO-SEC$1,112,215
Pinnacle Companies, LLC investor protection violation2019SEC$1,112,000
United Planners Financial Services of America investor protection violation2024AZ-CC$1,109,823
Hyposwiss Private Bank Geneve S.A. tax violations2015DOJ_TAX$1,109,000
Thoroughbred Financial Services, LLC investor protection violation2018SEC$1,108,618
Educators Financial Services, Inc. investor protection violation2022SEC$1,107,490
Transamerica Financial AdvisorsAegonfinancial servicesinvestor protection violation2014SEC$1,107,248
Bank of America, National AssociationBank of Americafinancial servicesbanking violation2015OCC$1,104,530
Easy Money Auto Leasing, Inc. et al. investor protection violation2002AZ-CC$1,104,100
Computershare Trust Company of Canada investor protection violation2006SEC$1,101,868
Stifel, Nicolaus & Company, Inc.Stifel Financialfinancial servicesinvestor protection violation2012MO-SEC$1,101,385
Focus Point Solutions and The H Group investor protection violation2012SEC$1,100,000
WorldPMX, Inc. investor protection violation2014CFTC$1,100,000
PassThrough Investments, LLC investor protection violation2012CFTC$1,100,000
ValueAct Capital Partners investor protection violation2007FTC$1,100,000
ValueAct Capital Partners L.P. investor protection violation2007DOJ_ANTITRUST$1,100,000
SunTrust BanksTruist Financialfinancial servicesinvestor protection violation2017SEC$1,100,000
Ruby Corporation investor protection violation2014SEC$1,100,000
Conn's Inc. accounting fraud or deficiencies2019SEC$1,100,000
Extreme Energy Solutions, Inc. investor protection violation2014NJ-AG$1,100,000
My Pillow, Inc. tax violations2016NY-AG$1,100,000
Belvedere Trading LLC investor protection violation2019CFTC$1,100,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2019MA-SEC$1,100,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2019FINRA$1,100,000
Wachovia Securities, LLC and First Clearing, LLCWells Fargofinancial servicesinvestor protection violation2009FINRA$1,100,000
Banorte Securities International, Ltd. investor protection violation2008FINRA$1,100,000
American General Securities, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2006FINRA$1,100,000
GPOMCT Grupo Empresarial S.A. de C.V. anti-money-laundering deficiencies2021USAO$1,100,000
Sure Trace Security Corporation investor protection violation2007SEC$1,098,900
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2014FINRA$1,097,000
OCEAN BANK banking violation2011FDIC$1,090,000
Bank Zweiplus tax violations2015DOJ_TAX$1,089,000
NEXT Financial Group, Inc.Atria Wealth Solutionsfinancial servicesinvestor protection violation2024NH-BSR$1,088,358
ABS Manager investor protection violation2015SEC$1,087,648
GB Check Cashing LLC anti-money-laundering deficiencies2013USAO$1,086,894
Guardian Asset Group, LLC investor protection violation2017CFTC$1,086,033
J.P. Morgan Investment Management Inc.JPMorgan Chasefinancial servicesinvestor protection violation2015SEC$1,084,210
Goldline, Inc. andA-Mark Precious Metals, Inc. investor protection violation2022CFTC$1,077,801
Idaho Development Group, Inc. investor protection violation2010ID-SEC$1,075,980
Tri-Core Mexico Land Development, LLC investor protection violation2013AZ-CC$1,075,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2012FINRA$1,074,200
Keith B. Davis, Inc. investor protection violation2001AZ-CC$1,073,000
Chicago Crypto Capital LLC investor protection violation2023SEC$1,071,686
Putney Financial Group and Registered Investment Advisors investor protection violation2024SEC$1,065,365
Strong Investment Management investor protection violation2019SEC$1,061,157
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2011NJ-AG$1,057,996
Deutsche Bank Securities, Inc.Deutsche Bankfinancial servicesinvestor protection violation2009NJ-AG$1,057,350
KCG Americas LLCVirtu Financialfinancial servicesinvestor protection violation2015SEC$1,055,197
Hotel Gold Crown Southland, LLC investor protection violation2010CO-SEC$1,055,000
Online Micro LLC economic sanction violation2012OFAC$1,054,388
Thor Technologies, Inc. investor protection violation2023SEC$1,053,193
Manarin Investment Counsel, Ltd., et al. investor protection violation2013SEC$1,052,747
NPB Financial Group, LLC investor protection violation2020SEC$1,050,188
Prudential SecuritiesWells Fargofinancial servicesinvestor protection violation2008FINRA$1,050,000
Atherocor Corp. and Adgelin Medical, Inc investor protection violation2022MD-SEC$1,050,000
Team Heat, LLC investor protection violation2009AZ-CC$1,047,931
First Heartland Consultants, Inc. investor protection violation2021SEC$1,045,528
TCMP3 Partners L.P., TCMP3 Capital LLC, and Titan Capital Management, LLC investor protection violation2007SEC$1,045,060
ARVEST Privatbank AG tax violations2015DOJ_TAX$1,044,000
Titan Global Capital Management USA LLC investor protection violation2023SEC$1,042,454
Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2006NY-AG$1,040,964
First Paragon, Inc. investor protection violation2000SEC$1,040,000
Summit Financial Group, Inc. investor protection violation2019SEC$1,032,702
Investment Centers of America, Inc.LPL Financialfinancial servicesinvestor protection violation2007MO-SEC$1,031,618
Strategic Capital Partners Muster Limited and Strategic Wealth Investments, Inc. investor protection violation2020SEC$1,031,270
VII Peaks Capital, LLC investor protection violation2021SEC$1,030,699
Fidelity Brokerage Services LLCFidelity Investmentsfinancial servicesinvestor protection violation2015FINRA$1,030,000
EDG Management Company, LLC investor protection violation2020SEC$1,026,642
KMS Financial Services, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2010MT-FIN$1,025,722
Brunswick Capital LLC and Brunswick Capital Partners LP investor protection violation2015CFTC$1,025,039
Triad Advisors investor protection violation2014FINRA$1,025,000
Stifel Financial CorporationStifel Financialfinancial servicesinvestor protection violation2014FINRA$1,025,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.