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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
Commonwealth Communications Group investor protection violation2001SEC$716,516
ISC Advisors, Inc. investor protection violation2021SEC$716,345
Valor Capital Asset Management, LLC investor protection violation2018SEC$715,871
Elevated Automations LLC and Ecomelevation LLC, investor protection violation2024AZ-CC$712,079
NPA Asset Management, LLC investor protection violation2022SEC$711,628
Kandi Technologies Group, Inc. investor protection violation2023SEC$710,000
Fifth Third Securities, Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2023SEC$709,971
Hold Brothers Online Investment Services, LLC investor protection violation2017SEC$707,764
J.P. Turner & Company, L.L.C. investor protection violation2013FINRA$707,559
PPS Advisors Inc. investor protection violation2018SEC$706,746
Bryn Advisory Group, LLC investor protection violation2013FL-OFR$705,000
Cetera Advisors LLC investor protection violation2015FINRA$702,622
Feneck Consulting Group investor protection violation2022AZ-CC$701,901
Cantella & Co., Inc. investor protection violation2021SEC$701,630
Ripple Labs Inc. anti-money-laundering deficiencies2015FINCEN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $700,000
Texas Champion Bank banking violation2013DOJ_RIGHTS$700,000
MusclePharm Corporation accounting fraud or deficiencies2015SEC$700,000
Double Eagle Enterprises, LLC investor protection violation2015CFTC$700,000
Cantor FitzgeraldCantor Fitzgeraldfinancial servicesinvestor protection violation2012CFTC$700,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2012CFTC$700,000
Progressive Investment Funds LLC investor protection violation2012CFTC$700,000
Newedge USA, LLC investor protection violation2012CFTC$700,000
Jeff Shalhoub Investments investor protection violation2011CFTC$700,000
Pyramid Breweries, Inc. tax violations2008ATTTB$700,000
Microphase Corp. investor protection violation2007SEC$700,000
Ford Motor Credit CompanyFord Motormotor vehiclesinvestor protection violation2005SEC$700,000
Needham & Company, Inc. investor protection violation2004SEC$700,000
Instinet, LLC and INET ATS, Inc. investor protection violation2005SEC$700,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2005SEC$700,000
J.P. Morgan Securities Inc.JPMorgan Chasefinancial servicesinvestor protection violation2005SEC$700,000
Morgan Stanley DWMorgan Stanleyfinancial servicesinvestor protection violation2005DE-AG$700,000
Ripple Labs Inc. anti-money-laundering deficiencies2015USAO$700,000
Mirae Asset Daewoo Co., Ltd. investor protection violation2020CFTC$700,000
Leland Energy, Inc. investor protection violation2014CO-SEC$700,000
TMTE, Inc. aka Metals.com aka Chase Metals, Inc. investor protection violation2020AK-DBS$700,000
Workman Securities Corp. investor protection violation2011FINRA$700,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2010FINRA$700,000
Pacific Cornerstone Capital investor protection violation2009FINRA$700,000
SunTrust Investment Services, Inc.Truist Financialfinancial servicesinvestor protection violation2008FINRA$700,000
American Express Financial Advisors Inc.Ameriprise Financialfinancial servicesinvestor protection violation2004FINRA$700,000
Sentinel Financial Services Company investor protection violation2004FINRA$700,000
Alumni Ventures Group investor protection violation2022NH-BSR$700,000
Endeavor Global Partners Corp. and Endeavor Global Partners (HK) LTD investor protection violation2022CT-SEC$700,000
Ault Alliance, Inc. investor protection violation2023SEC$700,000
Burns Capital Investments, LLC investor protection violation2024CT-SEC$700,000
Mango DAO et al. investor protection violation2024SEC$700,000
Cambridge Investment Research Inc. investor protection violation2024FINRA$699,217
Alpha Titans LLC investor protection violation2015SEC$698,450
SoFi Securities LLC investor protection violation2023FINRA$698,282
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2007MO-SEC$697,210
Spark Trading Group LLC investor protection violation2019SEC$694,915
Bob's Cash Express, Inc. et al. investor protection violation2003AZ-CC$693,320
AppFolio, Inc. investor protection violation2024SEC$692,250
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2010IN-SEC$692,000
Adamas Investments, LLC investor protection violation2010AZ-CC$690,125
Ferris, Baker Watts LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2010FINRA$690,000
BTIG, LLC investor protection violation2022SEC$690,000
Jefferson Pilot Variable CorporationLincoln Nationalfinancial servicesinvestor protection violation2005FINRA$688,697
EyeCashNetworks, Inc. and Alliance Equities, Inc. investor protection violation2003SEC$688,230
Wall Street Access investor protection violation2006SEC$688,084
SA Stone Investment Advisors Inc. investor protection violation2019SEC$687,374
Oppenheimer & Co., Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2015DE-SEC$685,000
Goldman SachsGoldman Sachsfinancial servicesinvestor protection violation2012FINRA$683,997
Nutra Pharma Corporation investor protection violation2024SEC$680,235
Watkins Development, LLC investor protection violation2014MS-SEC$680,131
Womack Investment Advisers, Inc. investor protection violation2022SEC$677,955
UBS Financial ServicesUBSfinancial servicesinvestor protection violation2011IN-SEC$677,000
Highline Estates, LLC et al. investor protection violation2009AZ-CC$676,570
Green Knight Investments, LLC investor protection violation2023CFTC$675,378
Butler Classic Homes, LLC et al. investor protection violation2009MD-SEC$675,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2016FINRA$675,000
SG Americas Securities, Inc.Societe Generalefinancial servicesinvestor protection violation2013FINRA$675,000
Hantz Financial Services, Inc. investor protection violation2005FINRA$675,000
RagingBull.com, LLC investor protection violation2021NH-BSR$675,000
TradeMasters USA, LLC investor protection violation2018CFTC$674,504
All City Investments, LLC investor protection violation2018CFTC$670,912
York International CorporationJohnson Controlsautomotive partseconomic sanction violation2008OFAC$669,507
OppenheimerFunds Distributor, Inc.Invescofinancial servicesinvestor protection violation2007WA-FIN$669,500
Valo Holdings Group investor protection violation2023SEC$668,240
D.E. Shaw & Co. investor protection violation2013SEC$667,492
Essentra FZE Company Limited economic sanction violation2020OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $665,112
Credit SuisseUBSfinancial servicesinvestor protection violation2016CFTC$665,000
Herman's World of Sports, Inc. investor protection violation2005SEC$663,685
Pan Capital AB investor protection violation2013SEC$662,497
Omni Horizon Group, LLP investor protection violation2005AZ-CC$661,676
Construction Specialties Inc. economic sanction violation2023OFAC$660,954
Stracq, Inc. investor protection violation2005SEC$660,000
New Century Homes of Carolina, Inc. investor protection violation2011MD-SEC$660,000
Frontier Wealth Management, LLC investor protection violation2021SEC$658,712
SII Investments, Inc. investor protection violation2005FINRA$658,500
Money Never Sleeps LLC investor protection violation2022AZ-CC$655,885
D.A. Davidson & Co. investor protection violation2019SEC$654,276
National Commercial Bank economic sanction violation2020OFAC$653,347
Performance Arbitrage Company, Inc. et al. investor protection violation2020AZ-CC$653,191
Motion DNA, Inc. investor protection violation2010AZ-CC$650,712
Oaks Card Club d/b/a Oaks Club anti-money-laundering deficiencies2015FINCEN$650,000
JPMorgan SecuritiesJPMorgan Chasefinancial servicesinvestor protection violation2014CFTC$650,000
Diageo North America, Inc.Diageobeveragestax violations2011ATTTB$650,000
MBF Clearing Corp. investor protection violation2012CFTC$650,000
Alpine Woods Capital Investors, LLC investor protection violation2011SEC$650,000
David Lerner Associates, Inc. investor protection violation2017NJ-AG$650,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.