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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
Welhouse & Associates, Inc. investor protection violation2015SEC$769,059
Cowen Prime Advisors LLC investor protection violation2021SEC$768,879
Luxury Management Group, LLC and MTE 2013 Trust investor protection violation2022AZ-CC$768,606
SCF Investment Advisors, Inc. investor protection violation2020SEC$767,192
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2011MO-SEC$765,993
Nu Skin Enterprises, Inc.Nu Skin Enterpriseshousehold and personal care productsinvestor protection violation2016SEC$765,688
Highpoint Advisor Group, LLC investor protection violation2022SEC$764,737
Monarch Capital Investment Fund, LLC investor protection violation2021MO-SEC$763,958
Millennium Software Solutions, Inc. investor protection violation2000SEC$760,450
Lanesborough Financial Group, LLC investor protection violation2014AZ-CC$759,725
Centaurus Financial, Inc. investor protection violation2023SEC$755,499
Allegis Investment Advisors, LLC investor protection violation2017ID-SEC$755,246
Grand Canyon Land Company L.L.C. et al. investor protection violation2010AZ-CC$753,655
Mesirow Financial Investment Management, Inc. investor protection violation2022SEC$752,834
Securities America, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2015FINRA$752,686
Oakbridge Financial Services, Inc. and Private Label Money Management, Inc. investor protection violation2018MO-SEC$750,104
Icon Capital accounting fraud or deficiencies2016SEC$750,000
Uni-Pixel Inc. investor protection violation2016SEC$750,000
Polycom Inc.Plantronicsmiscellaneous manufacturingaccounting fraud or deficiencies2015SEC$750,000
JDA Software Group Inc.New Mountain Capitalprivate equity (including portfolio companies)accounting fraud or deficiencies2014SEC$750,000
Universal Travel Group accounting fraud or deficiencies2013SEC$750,000
Long Term-Short Term Inc., d/b/a BetterTrades investor protection violation2011SEC$750,000
Forex Global Solutions Inc. and Forex Global Solutions Ltd. investor protection violation2013CFTC$750,000
Gelber Group, LLC investor protection violation2013CFTC$750,000
Bronco Wine Co. tax violations2000ATTTB$750,000
City National BankRoyal Bank of Canadafinancial servicesbanking violation2005OCC$750,000
Endocare, Inc. accounting fraud or deficiencies2006SEC$750,000
Banc of America Securities LLCBank of Americafinancial servicesinvestor protection violation2006SEC$750,000
Deutsche Asset Management, Inc.Deutsche Bankfinancial servicesinvestor protection violation2003SEC$750,000
Craft Beer Guild, LLC tax violations2016ATTTB$750,000
SG Americas Securities, LLCSociete Generalefinancial servicesinvestor protection violation2016CFTC$750,000
7S Oil & Gas, LLC investor protection violation2017SEC$750,000
Tantus Tobacco LLC tax violations2014USAO$750,000
Aegis Capital Corporation anti-money-laundering deficiencies2018SEC$750,000
Ark Asset Management Co., Inc. investor protection violation2010SEC$750,000
NatWest Markets PlcNatWest Group PLCfinancial servicesinvestor protection violation2018CFTC$750,000
TDJ, Inc., dba Christensen Arms tax violations2018ATTTB$750,000
Deutsche Bank Trust Company AmericasDeutsche Bankfinancial servicesinvestor protection violation2007SEC$750,000
The Bank Of New YorkBank of New York Mellonfinancial servicesinvestor protection violation2007SEC$750,000
Bank of New York MellonBank of New York Mellonfinancial servicesinvestor protection violation2019CFTC$750,000
Finans Kiymetli Madenler Turizm Otomotiv Gida Tekstil San. Ve Tic economic sanction violation2013OFAC$750,000
Berry-Hill Galleries, Inc. tax violations2003NY-MANDA$750,000
DRT Bagimsiz Denetim ve Serbest Muhasebeci Mali Musavirlik A.S. accounting fraud or deficiencies2017PCAOB$750,000
Galaz, Yamazaki, Ruiz Urquiza, S.C. accounting fraud or deficiencies2016PCAOB$750,000
Derivium Capital, LLC investor protection violation2006CA-DFPI$750,000
Edward Jones & Co. LPJones Financialfinancial servicesinvestor protection violation2014NH-BSR$750,000
LPL Financial, LLCLPL Financialfinancial servicesinvestor protection violation2015NH-BSR$750,000
JMI Associates LLC and JB Financial Resources investor protection violation2018NJ-BOS$750,000
UVEST Financial Services Group, Inc.LPL Financialfinancial servicesinvestor protection violation2013MULTI-FIN$750,000
WBI Investments Inc. investor protection violation2020SEC$750,000
Grant Thornton LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2020PCAOB$750,000
TradeStation Securities, Inc. investor protection violation2008FINRA$750,000
C.L. King & Associates, Inc. investor protection violation2017FINRA$750,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2016FINRA$750,000
Cetera Advisor Networks LLC investor protection violation2016FINRA$750,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2013FINRA$750,000
Comerica Securities, Inc.Comericafinancial servicesinvestor protection violation2008FINRA$750,000
GunnAllen Financial, Inc. investor protection violation2008FINRA$750,000
Cargill Inc.Cargillagribusinessinvestor protection violation2021CFTC$750,000
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2022PCAOB$750,000
58th Presidential Inaugural Committee and Trump Organization LLC et al. tax violations2022DC-AG$750,000
Alumni Ventures Group investor protection violation2022MA-SEC$750,000
Crowe U.K. LLP accounting fraud or deficiencies2023SEC$750,000
Fidelity Brokerage Services LLCFidelity Investmentsfinancial servicesinvestor protection violation2023MA-SEC$750,000
Shandong Haoxin Certified Public Accountants Co., Ltd. accounting fraud or deficiencies2023PCAOB$750,000
Raizen Energia SA and Raizen Trading SARaizenutilities and power generationinvestor protection violation2024CFTC$750,000
GEL Direct LLC investor protection violation2024SEC$750,000
BGC Derivative Markets, L.P. investor protection violation2024CFTC$750,000
Alphabet Inc.Alphabet Inc.information technologyinvestor protection violation2024SEC$750,000
Regions Securities LLCRegions Financialfinancial servicesinvestor protection violation2024SEC$750,000
Shift4 Payments, Inc. investor protection violation2025SEC$750,000
Park Avenue Securities LLC investor protection violation2015FINRA$743,255
AuroraTek Incorporated investor protection violation2020AZ-CC$742,420
Southwest Services, L.L.C. investor protection violation2020CFTC$740,968
Enson Trading LLC dba Eternal Food Service tax violations2017USAO$740,012
Enson Trading LLC tax violations2017USAO$740,012
Cincinnati Analysts, Inc. investor protection violation2014MO-SEC$740,000
Davenport & Co. LLC investor protection violation2004FINRA$738,000
Hilton International Co.Hilton Worldwidehotelseconomic sanction violation2010OFAC$735,407
First Allied Securities, Inc. investor protection violation2005FINRA$734,500
GenTecnics, LLC and iCorp LLC investor protection violation2018AZ-CC$734,120
UBS Securities LLCUBSfinancial servicesinvestor protection violation2010AK-DBS$733,465
National Asset Management, Inc. investor protection violation2019SEC$733,423
Hardy Asset Management investor protection violation2007AZ-CC$732,076
Capital Oil & Gas, Limited investor protection violation2011AZ-CC$732,000
Southwest Biofuels, LLC investor protection violation2012AZ-CC$730,711
Merrill, Lynch, Pierce, Fenner and Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2010NJ-AG$728,260
H.D. Vest Investment Securities, Inc. investor protection violation2004SEC$725,216
Triland USA Inc. investor protection violation2010CFTC$725,000
HSBC Securities (USA) Inc.HSBCfinancial servicesinvestor protection violation2020SEC$725,000
SKB Partners and Maverick Investments, LLC investor protection violation2016AR-SEC$725,000
Costa Playa Uno, LLC investor protection violation2020MD-SEC$725,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2012FINRA$725,000
NEPC, LLC investor protection violation2024SEC$725,000
CA Indosuez Switzerland S.A. economic sanction violation2022OFAC$720,258
MacAndrews & Forbes Holdings IncMacAndrews & Forbesdiversifiedinvestor protection violation2013DOJ_ANTITRUST$720,000
MacAndrews & ForbesMacAndrews & Forbesdiversifiedinvestor protection violation2013FTC$720,000
Ameriprise Financial Services Inc.Ameriprise Financialfinancial servicesinvestor protection violation2009MULTI-FIN$720,000
COFCO Corp. andChinatex Corp., Ltd. investor protection violation2022CFTC$720,000
Amaranth Advisors L.L.C. investor protection violation2007SEC$716,819
Commonwealth Communications Group investor protection violation2001SEC$716,516
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.