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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
Eisenstark Advisory Inc. and J.N.J. Capital Management Inc. investor protection violation2012NJ-BOS$940,000
Aventura Capital Management, LLC investor protection violation2022SEC$938,756
Robert W. Baird & Co. investor protection violation2009FINRA$934,510
Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2000FINRA$933,000
The Boston Beer CompanyBoston Beer Co.beveragestax violations2009ATTTB$931,680
BPU Investment Management, Inc. investor protection violation2020SEC$927,107
J.J.B. Hilliard and W.L. Lyons, LLC investor protection violation2019SEC$925,023
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2022SEC$925,000
Foremost Trading LLC investor protection violation2020CFTC$923,013
Oppenheimer & Co., Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2013FINRA$921,000
Cantella & Co., Inc. investor protection violation2019SEC$919,597
Massachusetts Financial Services CompanySun Life Financialfinancial servicesinvestor protection violation2003SEC$917,858
First New York Securities L.L.C. investor protection violation2015FINRA$916,000
Briargate Trading LLP investor protection violation2015SEC$912,842
Private Property Impound, Inc. tax violations2024CA-ACDA$908,000
Listo, Inc. investor protection violation2005AZ-CC$906,875
JPMorgan Chase & Co.JPMorgan Chasefinancial servicesinvestor protection violation2016IN-SEC$905,000
Ross, Sinclaire & Associates, LLC investor protection violation2016SEC$903,574
Galaxy Coin, LLC investor protection violation2009ID-SEC$903,000
Sun State Property Preservation, LLC and Wattenberg, LLC investor protection violation2021AZ-CC$901,030
Venture Capital Investments LLC investor protection violation2020CFTC$900,604
Smithfield Foods IncWH Groupfood productsinvestor protection violation2010DOJ_ANTITRUST$900,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2017CFTC$900,000
Warsteiner Importers Agency Inc. tax violations2018ATTTB$900,000
Hamlin Capital Management, LLC? investor protection violation2018SEC$900,000
REPUBLIC BANK & TRUST COMPANYRepublic Bancorpfinancial servicesbanking violation2011FDIC$900,000
Argo Group International Holdings, Ltd. investor protection violation2020SEC$900,000
Commonwealth Exploration Corp. investor protection violation2009CT-SEC$900,000
Pruco Securities, LLCPrudential Financialfinancial servicesinvestor protection violation2017IL-SEC$900,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2016MI-SEC$900,000
Waddell & Reed, Inc.Macquariefinancial servicesinvestor protection violation2016NH-BSR$900,000
Lek Securities Corporation investor protection violation2019FINRA$900,000
E-Trade Securities LLCMorgan Stanleyfinancial servicesinvestor protection violation2016FINRA$900,000
Stephens Inc. investor protection violation2016FINRA$900,000
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2009FINRA$900,000
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2005FINRA$900,000
Broadway Towing, Inc. and Broadway Auto & Towing, Inc. tax violations2021NY-AG$900,000
Sun Liquor MFG, Inc. tax violations2021ATTTB$900,000
Tupperware Brands CorporationTupperware Brandshousewares and home furnishingsinvestor protection violation2022SEC$900,000
Deloitte & Touche S.A.S.Deloittebusiness servicesaccounting fraud or deficiencies2023PCAOB$900,000
Wells Fargo Clearing Services LLCWells Fargofinancial servicesinvestor protection violation2024SEC$900,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2024SEC$900,000
Kovack Advisors, Inc. investor protection violation2022SEC$899,513
Kovack Advisors, Inc. investor protection violation2019SEC$898,781
Berkshire Hathaway Inc.Berkshire Hathawaydiversifiedinvestor protection violation2014DOJ_ANTITRUST$896,000
Eagle Communications, Inc. and Eagle One Financial & Tax, LLC investor protection violation2006AZ-CC$895,000
Fry Hensley and Company investor protection violation2013SEC$894,657
Comtech Telecommunications Corp.Comtech Telecommunicationstelecommunicationseconomic sanction violation2020OFAC$894,111
Deer Park Development Corp. investor protection violation2015AZ-CC$892,630
Woodbridge Group of Companies LLC investor protection violation2019SEC$892,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2021SEC$891,202
Creative Financial Designs, Inc. investor protection violation2020SEC$890,240
Phydea Equity Fund, LLC investor protection violation2008MD-SEC$890,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesinvestor protection violation2005FINRA$888,000
TEM Food Corp. tax violations2008NY-MANDA$886,361
Summit Brokerage Services, Inc. investor protection violation2019FINRA$880,000
Augustine Capital Management LLC investor protection violation2017SEC$878,305
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2004SEC$875,000
Morgan Keegan & Co., Inc.Raymond James Financialfinancial servicesinvestor protection violation2004SEC$875,000
Powerline Petroleum, LLC investor protection violation2022CFTC$875,000
Tradition SEF LLC investor protection violation2024CFTC$875,000
C-Street Financial Group et al. investor protection violation2011AZ-CC$874,260
MID-SHIP Group LLC economic sanction violation2019OFAC$871,837
TOTE Fund LLC and MJS Capital Management LLC investor protection violation2015CFTC$871,439
Univision Auto LLC anti-money-laundering deficiencies2011USAO$866,427
Clear Energy Group, LLC investor protection violation2018AZ-CC$865,000
Vollero Beach Capital Partners investor protection violation2013SEC$864,427
RBC Capital Markets LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2021SEC$863,326
First Bank of Romania economic sanction violation2021OFAC$862,318
Thirteen Thirty-Two, Inc. investor protection violation2010CFTC$860,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinafinancial servicesinvestor protection violation2018SEC$860,000
Vietnam Beverage Company Limited economic sanction violation2024OFAC$860,000
Aerokinetic Energy Corporation investor protection violation2011SEC$859,571
Visionary Business Works, Inc. dba Fleetronix investor protection violation2017AZ-CC$856,044
Nidwaldner Kantonalbank tax violations2015DOJ_TAX$856,000
National Bank of Abu Dhabi economic sanction violation2012OFAC$855,000
Duff & Phelps Investment Management Co., Inc investor protection violation2001SEC$854,161
Energy Innovation Capital Management, LLC investor protection violation2022SEC$853,681
World Group Securities, Inc.Aegonfinancial servicesinvestor protection violation2010AZ-CC$853,501
Intercapital Management Ltd. investor protection violation2021NJ-BOS$852,500
Biglari Holdings Inc.Biglari Holdingsdiversifiedinvestor protection violation2012DOJ_ANTITRUST$850,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2011SEC$850,000
RevlonMacAndrews & Forbesdiversifiedinvestor protection violation2013SEC$850,000
Clay Capital Management LLC investor protection violation2012SEC$850,000
ACI Capital Group, L.L.C. investor protection violation2012CFTC$850,000
Basic Capital Management, Inc. investor protection violation2002SEC$850,000
American Pegasus LDG, LLC and American Pegasus Investment Management, Inc. investor protection violation2010SEC$850,000
Oppenheimer & Co. IncOppenheimer Holdingsfinancial servicesinvestor protection violation2009SEC$850,000
UBS Securities LLCUBSfinancial servicestoxic securities abuses2016VA-AG$850,000
NatWest Markets PlcNatWest Group PLCfinancial servicesinvestor protection violation2019CFTC$850,000
PLAINS COMMERCE BANK banking violation2010FDIC$850,000
Harding Advisory LLC investor protection violation2019SEC$850,000
Morgan Keegan & Company, Inc.Raymond James Financialfinancial servicesinvestor protection violation2016MO-SEC$850,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2016FINRA$850,000
CCO Investment Services Corp.Citizens Financial Groupfinancial servicesinvestor protection violation2006FINRA$850,000
RN Acquisition, LLC & City Beverage - Markham, LLC tax violations2021ATTTB$850,000
JPMorgan Chase Bank, N.A.JPMorgan Chasefinancial servicesinvestor protection violation2022CFTC$850,000
tpSEF, Inc. investor protection violation2022CFTC$850,000
UBSUBSfinancial servicesbanking violation2023TX-AG$850,000
M1 Finance LLC investor protection violation2024FINRA$850,000
Equiniti Trust Company LLC investor protection violation2024SEC$850,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.