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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
David Lerner Associates, Inc. investor protection violation2017NJ-AG$650,000
HSBC Bank USA, N.A.HSBCfinancial servicesinvestor protection violation2019CFTC$650,000
Pacific Coast Holding Co. and Hall of Fame Partners, LLC investor protection violation2008AZ-CC$650,000
Ameriprise Financial Services Inc.Ameriprise Financialfinancial servicesinvestor protection violation2018SC-SEC$650,000
Wireline, Inc. investor protection violation2021SEC$650,000
Belden Inc.Beldenindustrial equipmentinvestor protection violation2020SEC$650,000
Georgeson Securities Corporation investor protection violation2016FINRA$650,000
Morgan Stanley Smith Barney, LLCMorgan Stanleyfinancial servicesinvestor protection violation2015FINRA$650,000
Southwest Securities, Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2011FINRA$650,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2010FINRA$650,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2010FINRA$650,000
Wachovia Securities LLCWells Fargofinancial servicesinvestor protection violation2004FINRA$650,000
Refinitiv US SEF LLC investor protection violation2021CFTC$650,000
Centaurus Financial Inc. investor protection violation2023SC-AG$650,000
Mantei & Associates, LLC aka Cola Wealth Advisors investor protection violation2023SC-SEC$650,000
StoneX Markets LLCStoneX Groupfinancial servicesinvestor protection violation2023CFTC$650,000
Nano-X Imaging Ltd. investor protection violation2023SEC$650,000
CHS Hedging, LLCCHS Inc.agribusinessinvestor protection violation2024CFTC$650,000
Agricultural Services of America, Inc. and Agricultural Investments of America, Inc. investor protection violation2001ID-SEC$649,882
MetLife Securities, Inc.MetLifefinancial servicesinvestor protection violation2015FINRA$649,748
World Tree Financial, LLC investor protection violation2021SEC$647,947
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2019SEC$647,000
Essex Financial Services Inc. investor protection violation2019SEC$645,000
Tucker Financial Services Inc. investor protection violation2015VT-FIN$644,886
Cross River Bank banking violation2018FDIC$641,750
Technology Communication Management, LLC investor protection violation2009VA-SEC$640,000
Robinhood Financial LLCRobinhood Marketsfinancial servicesinvestor protection violation2022VT-FIN$640,000
Millennium Management LLC investor protection violation2017SEC$638,709
L'Antiquaire and the Connoisseur, Inc. tax violations2005NY-MANDA$635,083
National Estate Planning Service and Planning and Senior Advisory Services investor protection violation2006AZ-CC$635,000
Suncoast Financial Services Of North American, Inc. investor protection violation2002FL-OFR$635,000
OneStep Financial Services, LLC investor protection violation2022SEC$631,179
CNE Enterprises, LLC investor protection violation2013HI-SEC$630,240
Millennium Management LLC investor protection violation2017SEC$630,000
Radia M92, Inc. and Radia R&D LLC and Radial Engine Innovation, Ltd investor protection violation2022OH-BKG$630,000
BroCo Investments, Inc. accounting fraud or deficiencies2010SEC$627,633
Vision Financial Markets LLC anti-money-laundering deficiencies2019SEC$625,000
JLR Group et al. investor protection violation2008MD-SEC$625,000
UBS FINANCIAL SERVICES, INC.UBSfinancial servicesinvestor protection violation2010VA-SEC$625,000
Securities AmericaReverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2014FINRA$625,000
Banque Bonhote & Cie SA tax violations2015DOJ_TAX$624,000
JP MorganJPMorgan Chasefinancial servicesinvestor protection violation2012FINRA$623,376
Ambassador Advisors, LLC investor protection violation2022SEC$622,642
Verto Capital Management LLC investor protection violation2018SEC$620,594
TRUE BULLION, LLC dba Gold Silver International Exchange and GSI Exchange investor protection violation2024FL-OFR$620,100
Auriga Global Investors, Sociedad de Valores, S.A. investor protection violation2015SEC$618,401
Bio-Heal Laboratories, Inc. investor protection violation2006SEC$618,135
Global Pacific Investments, LLC investor protection violation2009MD-SEC$616,000
International Global Positioning, Inc. investor protection violation2004AZ-CC$615,951
CGG Services S.A economic sanction violation2016OFAC$614,250
Esos Rings, Inc. investor protection violation2023SEC$613,319
Gilford Securities, Incorporated investor protection violation2011SEC$612,113
Third Point LLC investor protection violation2019FTC$609,810
Third Point LLC investor protection violation2019DOJ_ANTITRUST$609,810
James Investment Advisers, LLC investor protection violation2012CO-SEC$609,000
K.B. Concepts Group, LLC investor protection violation2017CFTC$607,955
Compass BankPNC Financial Servicesfinancial serviceseconomic sanction violation2010OFAC$607,500
USDB Group Inc. aka US Deposit Brokers Group aka USDB investor protection violation2011AZ-CC$606,325
Securities America Advisors, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2020SEC$603,776
Cindium Inc. and Einstein Exchange Group Inc. investor protection violation2016CFTC$601,000
BANCO INDUSTRIAL DE VENEZUELA, C. A. banking violation2011FED$600,000
JPMorgan Chase BankJPMorgan Chasefinancial servicesinvestor protection violation2012CFTC$600,000
New Bedford Ship Supply Company, Inc. tax violations2014ATTTB$600,000
Phoenix Companies accounting fraud or deficiencies2016SEC$600,000
IBFX, Inc. investor protection violation2014CFTC$600,000
FXDirectDealer, LLC investor protection violation2014CFTC$600,000
The Borrowing Station, LLC investor protection violation2013CFTC$600,000
EagleEye Asset Management investor protection violation2013CFTC$600,000
Pro Trading Course, LLC investor protection violation2012CFTC$600,000
LIBERTY BANK OF NEW YORK anti-money-laundering deficiencies2006FDIC$600,000
Beacon Hill Asset Management, LLC investor protection violation2004SEC$600,000
Raymond James & AssociatesRaymond James Financialfinancial servicesinvestor protection violation2016SEC$600,000
Duke Energy CorporationDuke Energyutilities and power generationinvestor protection violation2017DOJ_ANTITRUST$600,000
Bank of Tokyo-Mitsubishi UFJ, Ltd.Mitsubishi UFJ Financial Groupfinancial servicesinvestor protection violation2017CFTC$600,000
R.J. O'Brien & Associates LLC investor protection violation2018CFTC$600,000
SS Tobacco LLC tax violations2019ATTTB$600,000
Metabolife International Inc. tax violations2005USAO$600,000
Opulent Properties LLC et al. investor protection violation2006AZ-CC$600,000
Great Eastern Securities, Inc. investor protection violation2007CT-SEC$600,000
Next Financial Group, Inc.Atria Wealth Solutionsfinancial servicesinvestor protection violation2020TX-SEC$600,000
Hilton Worldwide Holdings Inc.Hilton Worldwidehotelsaccounting fraud or deficiencies2020SEC$600,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2020SEC$600,000
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2015FINRA$600,000
Northern Trust SecuritiesNorthern Trustfinancial servicesinvestor protection violation2011FINRA$600,000
Lincoln Financial Securities, Inc. and Lincoln Financial Advisors CorporationLincoln Nationalfinancial servicesinvestor protection violation2011FINRA$600,000
ScottradeCharles Schwab Corp.financial servicesanti-money-laundering deficiencies2009FINRA$600,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2009FINRA$600,000
National Securities Corp. investor protection violation2004FINRA$600,000
Tanius Technology, LLC investor protection violation2022CFTC$600,000
KPMG LLP (United Kingdom)KPMGbusiness servicesaccounting fraud or deficiencies2022PCAOB$600,000
First Guaranty Bancshares, Inc. investor protection violation2023SEC$600,000
Bank of Morton banking violation2023FDIC$600,000
PricewaterhouseCoopers AustraliaPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2024PCAOB$600,000
PJT Partners LP investor protection violation2025SEC$600,000
SpeedRoute investor protection violation2025SEC$600,000
Landaas & Company investor protection violation2018SEC$598,941
Amada Capital Management LLC investor protection violation2020CFTC$596,700
Spire Wealth Mangement, LLC investor protection violation2019SEC$594,072
Lakeside Capital Management, LLC investor protection violation2014SEC$590,152
Global Consortiums LLC investor protection violation2015CFTC$589,660
G.D. III, Inc. investor protection violation2021MD-SEC$589,434
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.