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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
Prosper Marketplace, Inc.Prosper Marketplacefinancial servicesinvestor protection violation2008MULTI-FIN$1,000,000
Strudwick & Associates, Inc. investor protection violation2020MD-SEC$1,000,000
Dentsply Sirona Inc.Dentsply Sironamedical equipment and suppliesinvestor protection violation2020SEC$1,000,000
Covia Holdings Corp. and Fairmount Santrol Holdings Inc. investor protection violation2020SEC$1,000,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2017FINRA$1,000,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2014FINRA$1,000,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2014FINRA$1,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2014FINRA$1,000,000
COR Clearing LLC anti-money-laundering deficiencies2013FINRA$1,000,000
Merrill Lynch, Pierce, Fenner & SmithBank of Americafinancial servicesinvestor protection violation2012FINRA$1,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2011FINRA$1,000,000
Wells Fargo Advisors, LLCWells Fargofinancial servicesinvestor protection violation2011FINRA$1,000,000
Trillium Brokerage Services, LLC investor protection violation2010FINRA$1,000,000
NEXT Financial Group, Inc.Atria Wealth Solutionsfinancial servicesinvestor protection violation2009FINRA$1,000,000
Raymond James & Associates, Inc.Raymond James Financialfinancial servicesinvestor protection violation2009FINRA$1,000,000
RD Capital Group investor protection violation2009FINRA$1,000,000
E-Trade Securities LLC and E-Trade Clearing LLCMorgan Stanleyfinancial servicesanti-money-laundering deficiencies2009FINRA$1,000,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2008FINRA$1,000,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2007FINRA$1,000,000
Spear, Leeds & Kellogg, L.PGoldman Sachsfinancial servicesinvestor protection violation2005FINRA$1,000,000
Fiero Brothers, Inc. investor protection violation2002FINRA$1,000,000
DBRS, INC. investor protection violation2021SEC$1,000,000
Stable Road Acquisition Company investor protection violation2021SEC$1,000,000
Citibank, N.A.Citigroupfinancial servicesinvestor protection violation2021CFTC$1,000,000
CommunityBank of Texas, National Association anti-money-laundering deficiencies2021OCC$1,000,000
U.S. Data Mining Group investor protection violation2022MA-SEC$1,000,000
Energy Capital Partners Management LPEnergy Capital Partnersprivate equity (including portfolio companies)investor protection violation2022SEC$1,000,000
Petroteq Energy, Inc. investor protection violation2022SEC$1,000,000
Global Investment Strategy UK Ltd. investor protection violation2022SEC$1,000,000
Chance Development, LLC investor protection violation2022MD-SEC$1,000,000
KPMG Assurance and Consulting Services LLPKPMGbusiness servicesaccounting fraud or deficiencies2022PCAOB$1,000,000
Church of Jesus Christ of Latter-day Saints investor protection violation2023SEC$1,000,000
Celsius Network, Inc. et al. investor protection violation2023NH-BSR$1,000,000
Greenbrier Companies Inc.Greenbrier Companiesheavy equipmentinvestor protection violation2023SEC$1,000,000
Corvex Management LP investor protection violation2023SEC$1,000,000
Quantstamp, Inc. investor protection violation2023SEC$1,000,000
Monroe Capital Management Advisors, LLC investor protection violation2023SEC$1,000,000
Stoner Cats 2 LLC investor protection violation2023SEC$1,000,000
Amani Investments LLC anti-money-laundering deficiencies2023USAO$1,000,000
Wellesley Asset Management, Inc investor protection violation2023SEC$1,000,000
Oppenheimer & Co., Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2024CFTC$1,000,000
Imelda & RekanDeloittebusiness servicesaccounting fraud or deficiencies2024PCAOB$1,000,000
Navarro Amper & Co.Deloittebusiness servicesaccounting fraud or deficiencies2024PCAOB$1,000,000
Anson Advisors, Inc. investor protection violation2024SEC$1,000,000
Meta Materials Inc. investor protection violation2024SEC$1,000,000
A.M. Best Rating Services, Inc. investor protection violation2024SEC$1,000,000
Avaya Holdings Corp.Avaya Holdingstelecommunicationsinvestor protection violation2024SEC$1,000,000
Comenity Bank banking violation2024FDIC$1,000,000
Comenity Capital Bank banking violation2024FDIC$1,000,000
ACI Holdings, Inc. investor protection violation2007AZ-CC$999,763
e.l.f. Cosmetics, Inc. economic sanction violation2019OFAC$996,080
Check Point Software Technologies Ltd investor protection violation2024SEC$995,000
Meroe Capital Group Ltd et al. investor protection violation2021AZ-CC$992,980
Katelyn & Claire, Inc. and Alex T, Inc. dba Quality Express anti-money-laundering deficiencies2013USAO$992,462
LandOak Securities LLC investor protection violation2011SEC$992,140
Mimecast Limited investor protection violation2024SEC$990,000
Fontana Capital, LLC investor protection violation2011SEC$984,790
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2009KY-FIN$983,984
Ninja Trader Clearing, LLC investor protection violation2024CFTC$983,425
Morgan Stanley Smith Barney, LLCMorgan Stanleyfinancial servicesinvestor protection violation2018NH-BSR$983,284
Promise Land Properties, LLC investor protection violation2013AZ-CC$983,000
Sushi Samurai Inc. tax violations2017MI-AG$980,480
SMP Bank and Epaster Investments, Ltd. investor protection violation2012CFTC$980,000
Infinex Investments, Inc. investor protection violation2019SEC$978,698
Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2007NJ-AG$978,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2020NH-BSR$976,000
Mason Investment Advisory Services, Inc investor protection violation2021SEC$975,057
BANCO ESPIRITO SANTO S. A. banking violation2012FED$975,000
Eagle Bank and Trust Company banking violation2015DOJ_RIGHTS$975,000
Banco Espirito Santo S.A. investor protection violation2011NY-AG$975,000
LPL Financial, LLCLPL Financialfinancial servicesinvestor protection violation2017NJ-AG$975,000
Fairfield Energy, Inc. and D.B. Wheeler, LLC and Amazon Exploration, LLC investor protection violation2012CO-SEC$975,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2017MA-SEC$975,000
Gordon & Company Ltd. investor protection violation2009MD-SEC$975,000
Banque Cantonale du Jura SA tax violations2015DOJ_TAX$970,000
Intercapital Partners Ltd. investor protection violation2021NJ-BOS$964,400
Fifth Third Securities, Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2015FINRA$963,534
Algointeractive Inc investor protection violation2018CFTC$962,200
Customers BankCustomers Bancorpfinancial servicesbanking violation2016FED$960,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2011NJ-AG$959,794
BNY Mellon Capital Markets LLCBank of New York Mellonfinancial servicesinvestor protection violation2022SEC$956,833
Scottrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2008SEC$950,000
Dreyfus CorporationBank of New York Mellonfinancial servicesinvestor protection violation2000SEC$950,000
RSM US LLP accounting fraud or deficiencies2019SEC$950,000
JPMorgan Chase Bank, N.A. and J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2016IN-SEC$950,000
BorgWarner Inc.BorgWarnerautomotive partsaccounting fraud or deficiencies2020SEC$950,000
First Allied Securities, Inc. investor protection violation2016FINRA$950,000
Prudential Annuities Distributors, Inc.Prudential Financialfinancial servicesinvestor protection violation2016FINRA$950,000
Aegis Capital Corp. investor protection violation2015FINRA$950,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2014FINRA$950,000
Lincoln Financial Advisors CorporationLincoln Nationalfinancial servicesinvestor protection violation2005FINRA$950,000
Nordgas, S.r.l. economic sanction violation2021OFAC$950,000
HG Vora Capital Management LLC investor protection violation2024SEC$950,000
Hudson Bay Capital Management investor protection violation2013SEC$949,453
DMS Power Cash Flow, L.L.C. and Persanco, L.L.C. investor protection violation2003AZ-CC$945,025
Quogue Capital LLC investor protection violation2008SEC$944,056
Ztegrity, Inc. investor protection violation2022CFTC$943,570
Intervoice investor protection violation2007SEC$942,628
Coachman Energy Partners LLC investor protection violation2017SEC$941,507
Advanced Trading Workshop, Inc. investor protection violation2016CFTC$940,000
Eisenstark Advisory Inc. and J.N.J. Capital Management Inc. investor protection violation2012NJ-BOS$940,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.