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
Equiniti Trust Company LLC investor protection violation2024SEC$850,000
Sahara Dunes Casino LP dba Lake Elsinore Hotel and Casino anti-money-laundering deficiencies2024FINCEN$850,000
Rafferty Capital Markets investor protection violation2014SEC$849,626
Kahn Brothers Advisors, LLC investor protection violation2022SEC$847,899
Regal Investment Advisors LLC investor protection violation2021SEC$846,774
Davies Oil Company, Inc. tax violations2006KS-AG$846,113
Forex Capital Markets, LLCJefferies Financial Groupdiversifiedinvestor protection violation2015CFTC$843,922
Huntleigh Advisors, Inc. investor protection violation2023SEC$843,502
Institutional Investors Advisory Company investor protection violation2017SEC$843,187
Concorde America, Inc. investor protection violation2009SEC$841,175
System Capital, LLC investor protection violation2013CFTC$840,000
Damopa Investments, LLC and MLC Living Trust and Monika Catlin, LLC investor protection violation2014AZ-CC$837,026
Investment Midwest LLC investor protection violation2017MO-SEC$836,936
Simply Gains, Inc. investor protection violation2024CFTC$830,000
MediBank AG tax violations2015DOJ_TAX$826,000
Lodge Capital Group, LLC investor protection violation2011CFTC$825,000
Botta Capital Management, L.L.C. investor protection violation2009SEC$825,000
Global Bullion Exchange, LLC investor protection violation2010MD-SEC$825,000
H&R Block Financial Advisors, Inc.H&R Blockfinancial servicesinvestor protection violation2004FINRA$825,000
Whitford Worldwide Company, LLC economic sanction violation2020OFAC$824,314
Maplelane Capital LLC investor protection violation2022SEC$824,041
Laidlaw & Company (UK) Ltd. investor protection violation2023SEC$822,884
True Capital Management, LLC investor protection violation2023SEC$821,793
Motilal Oswal Securities Limited investor protection violation2012SEC$821,594
Pinnacle Forex Group LLC investor protection violation2014CFTC$819,378
Kuypow, Inc. dba Mo's Properties and Investment Group investor protection violation2008AZ-CC$819,290
Precision Model & Design, Inc. et al. investor protection violation2006AZ-CC$818,000
Magna Equities II, LLC investor protection violation2024SEC$817,941
MG Partners, Ltd investor protection violation2024SEC$817,941
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2012FINRA$817,754
Sagepoint Financial, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2013MO-SEC$816,000
LPL Financial, LLCLPL Financialfinancial servicesinvestor protection violation2014IL-SEC$815,218
Ardsley Advisory Partners investor protection violation2013SEC$815,071
China Natural Gas Inc. accounting fraud or deficiencies2013SEC$815,000
Hennessee Group LLC investor protection violation2009SEC$814,644
Instinet LLC investor protection violation2013SEC$813,280
Wells Fargo SecuritiesWells Fargofinancial servicesinvestor protection violation2019SEC$812,500
Hilltop Securities Inc. and Hilltop Securities Independent Network Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2019SEC$810,785
American Insurance Services, L.L.C. investor protection violation2002AZ-CC$810,300
Candlestick Capital Management LP investor protection violation2023SEC$810,000
Trump Corp.Trump Organizationreal estatetax violations2023NY-MANDA$810,000
Check and Send, Inc. investor protection violation2005AZ-CC$807,484
Howard Price Wealth Management, LLC investor protection violation2018AZ-CC$806,994
CompuCredit CorporationAtlanticus Holdingsfinancial servicesbanking violation2008FDIC$806,000
OneAmerica Securities, Inc. investor protection violation2014IN-SEC$805,000
Office Depot Inc.ODP Corporationretailingtax violations2004IL-AG$803,904
Target Corp.Targetretailingtax violations2004IL-AG$803,904
Wal-Mart Stores Inc.Walmartretailingtax violations2004IL-AG$803,904
Madison Avenue Securities, LLC investor protection violation2022SEC$803,173
Ferris, Baker Watts, Inc.Royal Bank of Canadafinancial servicesinvestor protection violation2009SEC$800,656
Stein Mart Inc. accounting fraud or deficiencies2015SEC$800,000
eBX LLC investor protection violation2012SEC$800,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2016CFTC$800,000
Marubeni America CorporationMarubenidiversifiedinvestor protection violation2015CFTC$800,000
BEACH BANK anti-money-laundering deficiencies2006FDIC$800,000
ESL Partners L.P. and ZAM Holdings L.P. investor protection violation2008DOJ_ANTITRUST$800,000
Compass Capital Group, Inc. investor protection violation2009SEC$800,000
Van Wagoner Capital Management, Inc. investor protection violation2004SEC$800,000
Bank of Nova ScotiaScotiabankfinancial servicesinvestor protection violation2018CFTC$800,000
COR Clearing LLC investor protection violation2018SEC$800,000
SG Americas Securities LLC (Societe Generale)Societe Generalefinancial servicesinvestor protection violation2018SEC$800,000
Prudential Securities IncorporatedWells Fargofinancial servicesinvestor protection violation2001SEC$800,000
Deloitte and ToucheDeloittebusiness servicesaccounting fraud or deficiencies2000AZ-AG$800,000
M.A.C. Investments, Inc. and M.A.C. Investment Sales, Inc. investor protection violation2005MD-SEC$800,000
Cormark Securities Inc. investor protection violation2020SEC$800,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2017FINRA$800,000
StockCross Financial Services, Inc. investor protection violation2015FINRA$800,000
Goldman Sachs Execution & Clearing, L.P.Goldman Sachsfinancial servicesinvestor protection violation2014FINRA$800,000
Guggenheim Securities, LLC investor protection violation2012FINRA$800,000
Morgan Stanley & Co., Inc.Morgan Stanleyfinancial servicesinvestor protection violation2010FINRA$800,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2006FINRA$800,000
SG Cowen, LLCToronto-Dominion Bankfinancial servicesinvestor protection violation2004FINRA$800,000
tZERO ATS, LLC investor protection violation2022SEC$800,000
Savage Arms, Inc. tax violations2022ATTTB$800,000
Trump Payroll Corp.Trump Organizationreal estatetax violations2023NY-MANDA$800,000
Maxim Group, LLC investor protection violation2023SEC$800,000
Aspire Commodities LLC investor protection violation2024CFTC$800,000
MTRE VB2 LLC and Marcus Tam Real Estate Development & Investment Company LLC investor protection violation2023ID-SEC$798,859
Rio National Insurance Services, Inc. investor protection violation2016CO-SEC$790,719
Educators Financial Services, Inc. investor protection violation2021SEC$790,365
iPractice Group, Inc. investor protection violation2018MO-SEC$789,706
Bankers Life and Casualty Co.CNO Financialfinancial servicesinvestor protection violation2010MO-SEC$789,600
Orthogistic Labs, Inc. et al. investor protection violation2019MO-SEC$789,183
MiddleCove Capital, LLC investor protection violation2013SEC$788,118
Hybrid Capital Group et al. investor protection violation2023NH-BSR$784,966
Western Pacific Capital Management, LLC investor protection violation2012SEC$781,940
Jack Henry & Associates, Inc.Jack Henry & Associatesinformation technologyaccounting fraud or deficiencies2016SEC$780,000
Life for Relief and Development economic sanction violation2015OFAC$780,000
AMERIPRISE FINANCIAL SERVICESAmeriprise Financialfinancial servicesinvestor protection violation2008VA-SEC$780,000
Sentra Securities Corporation and Spelman & Co., Inc. investor protection violation2005FINRA$780,000
SoBell Corp. investor protection violation2019AZ-CC$779,450
WCAS Management Corporation? investor protection violation2018SEC$778,819
Horter Investment Management, LLC investor protection violation2017SEC$778,804
INTEGRATED BROKERAGE SERVICES investor protection violation2001VA-SEC$775,000
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherfinancial servicesinvestor protection violation2014FINRA$775,000
Legendary Capital REIT III, LLC investor protection violation2023SEC$774,331
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2019FINRA$772,000
Green Tree Investment Group investor protection violation2017SEC$770,356
Credit Suisse First Boston LLCUBSfinancial servicesinvestor protection violation2004FINRA$770,000
Hybrid Capital Group and The Fens Company and Peerless Hi Yield Realty Group investor protection violation2022NH-BSR$769,966
Welhouse & Associates, Inc. investor protection violation2015SEC$769,059
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.