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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
G.D. III, Inc. investor protection violation2021MD-SEC$589,434
Equity Services Inc. investor protection violation2019SEC$587,017
L.M. Kohn & Company investor protection violation2019SEC$586,882
Strategic Capital Group LLC investor protection violation2014SEC$586,290
ABN AMRO Clearing Chicago LLCABN AMROfinancial servicesinvestor protection violation2020SEC$586,000
State Street Research & Management CompanyBlackRockfinancial servicesinvestor protection violation2005SEC$585,743
Classic Energy LLC investor protection violation2021CFTC$585,000
Sica Wealth Management, LLC and Circle Squared Alternative Investments, LLC investor protection violation2023SEC$584,333
Deutsche Bank Trust Company AmericasDeutsche Bankfinancial serviceseconomic sanction violation2020OFAC$583,100
Commonwealth Financial Network investor protection violation2015FINRA$582,521
Abetterfinancialplan.Com, LLC investor protection violation2020SEC$581,962
Coordinated Capital Securities, Inc. investor protection violation2020SEC$581,961
Gate Gourmet, Inc. economic sanction violation2008OFAC$581,901
City Securities Corporation investor protection violation2013SEC$580,000
Capital Concept Marketing, Inc. investor protection violation2005SEC$580,000
Hope Capital, Inc. investor protection violation2016SEC$579,747
American Portfolio Asset Management, Inc. investor protection violation2015CFTC$578,474
China Valves Technology Inc. investor protection violation2015SEC$575,000
Adams Harkness, Inc. f/k/a Adams Harkness & Hill, Inc. investor protection violation2004SEC$575,000
A.G. Edwards & Sons Inc.Wells Fargofinancial servicesinvestor protection violation2007SC-SEC$575,000
Deutsche Bank SecuritiesDeutsche Bankfinancial servicesinvestor protection violation2010FINRA$575,000
Palos Management Inc. investor protection violation2024SEC$575,000
ConTXT, Inc investor protection violation2021SEC$571,153
Performance Realty Management, LLC investor protection violation2019ID-SEC$570,800
Quick & Reilly, Inc. investor protection violation2005FINRA$570,000
Axess Trading Co., Inc. investor protection violation2006CFTC$569,437
Edelweiss Financial Services Limited investor protection violation2012SEC$568,347
CAG Financial, L.L.C and CAG Financial Services, L.L.C and Leigh & Associates, L.L.C. investor protection violation2008AZ-CC$566,573
New Century Investments, LLC investor protection violation2008MO-SEC$565,000
Park Avenue Securities LLC investor protection violation2019SEC$564,267
Prime Agricultural Investors, Inc. investor protection violation2022CFTC$563,459
Social Automotive Management Services, LLC et al. investor protection violation2019MO-SEC$561,629
Hypothekarbank Lenzburg AG tax violations2015DOJ_TAX$560,000
Barclays Bank PLCBarclaysfinancial servicesinvestor protection violation2016CFTC$560,000
M&T BankM&T Bankfinancial servicesanti-money-laundering deficiencies2014USAO$560,000
NVSG702, LLC and NVSG702, LLC and Silverstate702, LLC investor protection violation2021AZ-CC$559,699
Steri Med Solutions LLC dba Steriport Solutions investor protection violation2022MO-SEC$559,000
Morgan Keegan & Co., Inc.Raymond James Financialfinancial servicesinvestor protection violation2006SEC$558,806
Cloudastructure, Inc. investor protection violation2023SEC$558,071
Hightimes Holding Corp investor protection violation2023SEC$558,071
CompuCredit CorporationAtlanticus Holdingsfinancial servicesbanking violation2008FDIC$558,000
Retirement Planners of America, Inc. investor protection violation2011IN-SEC$555,614
KMS Financial Services, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2017SEC$552,086
Hale Associates, Inc. investor protection violation2002DE-SEC$551,000
Canaccord Genuity Inc. investor protection violation2016SEC$550,198
Bunge Global Markets, Inc.Bungeagribusinessinvestor protection violation2011CFTC$550,000
Iconix Brand GroupIconix Brand Groupapparelinvestor protection violation2007DOJ_ANTITRUST$550,000
Citibank N.A.Citigroupfinancial servicesinvestor protection violation2017CFTC$550,000
John Hancock Life Insurance Co.Manulife Financialfinancial servicesinvestor protection violation2014MA-AG$550,000
Manatt Phelps & Phillips, LLP investor protection violation2010NY-AG$550,000
Vertical Integration Group LLC dba Churchill Clearing Corp. investor protection violation2014FL-OFR$550,000
Securities Service Network, Inc. and SSN Advisory, Inc. investor protection violation2015MO-SEC$550,000
Minnesota Mutual Life Insurance Co. and Ascend Financial Services investor protection violation2001MS-SEC$550,000
Aegis Capital Corp. anti-money-laundering deficiencies2018FINRA$550,000
Prudential Equity Group LLCPrudential Financialfinancial servicesinvestor protection violation2004FINRA$550,000
Walleye Capital LLC investor protection violation2022CFTC$550,000
GFI Swaps Exchange, LLC investor protection violation2024CFTC$550,000
Rose Park Advisors, LLC investor protection violation2024SEC$550,000
Kestra Private Wealth Services, LLC investor protection violation2019SEC$549,003
Key West Yogurt International, Inc. investor protection violation2016VA-SEC$547,750
Inter-Global Currency & Precious Metals investor protection violation2015CFTC$547,342
State Farm Bank, FSBState Farm Insurancefinancial servicesbanking violation2020OCC$547,200
M&T BankM&T Bankfinancial servicesbanking violation2020FED$546,000
WB Mason, Inc. accounting fraud or deficiencies2009MA-AG$545,000
Cornerstone Senior Planning investor protection violation2006AZ-CC$545,000
Edwin Shaw LLC investor protection violation2018SEC$544,744
Popular Securities, LLC investor protection violation2019SEC$544,577
Interinvest Corp. investor protection violation2015NH-BSR$544,085
Neilsen Financial Services investor protection violation2015CT-SEC$543,000
SpotFN.com and Spot FN, LLC and Binary Holdings and Binary Academics investor protection violation2016MO-SEC$542,822
Barcelona Strategies LLC investor protection violation2018SEC$542,120
TJM Proprietary Trading LLC investor protection violation2009SEC$541,000
Bank of Louisiana banking violation2013FDIC$540,000
Bio-Sunn Technologies, Inc. investor protection violation2023ND-SEC$540,000
Equity Fund International (EFI), Inc. investor protection violation2023ND-SEC$540,000
Peacock, Hislop, Staley & Given, Inc. investor protection violation2000FINRA$539,117
Mondo TV, S.p.a. economic sanction violation2024OFAC$538,000
Packerland Brokerage Services, Inc. and Atlas Capital Management Corp. investor protection violation2017SEC$536,886
TrueCoin LLC investor protection violation2024SEC$536,234
J.C. Bradford & Co. investor protection violation2000FINRA$536,000
Southpoint Capital Advisors investor protection violation2013SEC$534,757
Phoenician Entertainment, L.L.C. investor protection violation2011AZ-CC$534,000
Wunderlich Securities, Inc. investor protection violation2011SEC$532,624
Open to the Public Investing, Inc. investor protection violation2023FINRA$528,124
Questar Asset Management, Inc. investor protection violation2019SEC$527,566
CitigroupCitigroupfinancial servicesinvestor protection violation2012CFTC$525,000
Vision Financial Markets LLC investor protection violation2013CFTC$525,000
ESL Partners, L.P. investor protection violation2008FTC$525,000
Pre-IPO Venture Capital Fund, L.L.C. investor protection violation2002AZ-CC$525,000
Commerce Brokerage Services, Inc. investor protection violation2008MO-SEC$525,000
Stifel, Nicolaus & Company, IncorporatedStifel Financialfinancial servicesinvestor protection violation2009MULTI-FIN$525,000
J.P. Turner & Co. anti-money-laundering deficiencies2009FINRA$525,000
Lufkin Advisors, LLC et al. investor protection violation2024SEC$525,000
Mason Investment Advisory Services, Inc. investor protection violation2024SEC$525,000
Innovative Construction, Inc. and Atlantic Lexus, Ltd. investor protection violation2013AZ-CC$524,754
Get Money Tradez LLC investor protection violation2024CFTC$524,000
Midwest Metals Exchange investor protection violation2015CFTC$522,852
Contrarian Capital Management, L.L.C. investor protection violation2024SEC$521,326
Palm Beach Capital LLC investor protection violation2014CFTC$520,960
Blackthorn Investment Group investor protection violation2013SEC$520,207
One World Capital Group investor protection violation2010CFTC$520,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.