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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
Royal Alliance Associates, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2007CT-SEC$500,000
Southridge Capital Management LLC investor protection violation2018CT-SEC$500,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2013MA-SEC$500,000
Capital Investment Group, Inc. investor protection violation2016MD-SEC$500,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2002NH-BSR$500,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2004NH-BSR$500,000
Financial Planning Advisors, LLC investor protection violation2018NJ-BOS$500,000
LeGall Holdings, Inc. investor protection violation2019NJ-BOS$500,000
SDM Check Cashing Corp. anti-money-laundering deficiencies2002NY-DFS$500,000
BNY Mellon Capital Markets LLCBank of New York Mellonfinancial servicesinvestor protection violation2011TX-SEC$500,000
OANDA Corporation investor protection violation2020CFTC$500,000
Strachans SA tax violations2020DOJ_TAX$500,000
E-Trade Securities, LLCMorgan Stanleyfinancial servicesinvestor protection violation2008FINRA$500,000
Summit Brokerage Services, Inc. investor protection violation2016FINRA$500,000
Charles Schwab & Co., Inc.Charles Schwab Corp.financial servicesinvestor protection violation2014FINRA$500,000
Charles Schwab & CompanyCharles Schwab Corp.financial servicesinvestor protection violation2013FINRA$500,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2012FINRA$500,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2011FINRA$500,000
Southwest Securities, Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2011FINRA$500,000
J.J.B. Hilliard, W.L. Lyons Inc. investor protection violation2009FINRA$500,000
New England SecuritiesMetLifefinancial servicesinvestor protection violation2009FINRA$500,000
J.P. Morgan Securities, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2007FINRA$500,000
Chase Investment Services CorporationJPMorgan Chasefinancial servicesinvestor protection violation2006FINRA$500,000
MetLife Securities, IncMetLifefinancial servicesinvestor protection violation2006FINRA$500,000
R.D. White & Co., Inc. investor protection violation2000FINRA$500,000
Southwest Securities Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2000FINRA$500,000
SummerHaven Investment Management LLC investor protection violation2021CFTC$500,000
Pareteum Corporation investor protection violation2021SEC$500,000
UBS AGUBSfinancial servicesinvestor protection violation2021CFTC$500,000
Bicycle Hotel & Casino anti-money-laundering deficiencies2021USAO$500,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2021CT-SEC$500,000
Endeavor Global Partners Corp. and Endeavor Global Partners (HK) Ltd. investor protection violation2021CT-SEC$500,000
Seaview Global Advisors LLC investor protection violation2022NJ-BOS$500,000
Raymond James & Associates, Inc.Raymond James Financialfinancial servicesinvestor protection violation2022SEC$500,000
ADM Investor Services Inc.Archer Daniels Midlandagribusinessinvestor protection violation2022CFTC$500,000
XP Investments US, LLC investor protection violation2022CFTC$500,000
Legal & General Investment Management America, Inc. investor protection violation2022SEC$500,000
Chembio Diagnostics, Inc. investor protection violation2023SEC$500,000
DST Asset Manager Solutions, Inc. investor protection violation2023SEC$500,000
Maximus, Inc.Maximusmiscellaneous servicesinvestor protection violation2023SEC$500,000
KPMG AZSA LLCKPMGbusiness servicesaccounting fraud or deficiencies2023PCAOB$500,000
Webull Financial LLC investor protection violation2023MA-SEC$500,000
RenovaCare, Inc. investor protection violation2024SEC$500,000
Australia and New Zealand Banking Group Ltd.Australia and New Zealand Banking Groupfinancial servicesinvestor protection violation2024CFTC$500,000
First Fed Bank banking violation2024FDIC$500,000
Vitol, Inc.Vitolfinancial servicesinvestor protection violation2024CFTC$500,000
Esmark Inc. investor protection violation2024SEC$500,000
GQG Partners LLC investor protection violation2024SEC$500,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2019AK-DBS$499,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2019MD-SEC$499,000
Newbridge Securities Corporation investor protection violation2017PA-BKG$499,000
Complete Business Solutions Group Inc. dba Par Funding investor protection violation2018PA-BKG$499,000
Magna Group, LLC investor protection violation2024SEC$497,840
CIBC World Markets CorporationCanadian Imperial Bank of Commercefinancial servicesinvestor protection violation2005SEC$496,598
Spinner Asset Management, LLC and Spinner Global Technology Fund, Ltd.? investor protection violation2006SEC$495,596
A&A Trading, Inc. investor protection violation2020CFTC$495,329
Morgan Stanley & Co., Inc.Morgan Stanleyfinancial servicesinvestor protection violation2000FINRA$495,000
OppenheimerFunds Distributor, Inc.Invescofinancial servicesinvestor protection violation2007CO-SEC$494,500
Freedom Financial Asset Management LLC banking violation2018FDIC$493,500
Billionaire Investor Group, The Toole Group Inc., and?Catalyst Traders LLC investor protection violation2017CFTC$493,141
Gain Capital UK Limited investor protection violation2020CFTC$491,671
Electronic Data Systems Corporation accounting fraud or deficiencies2007SEC$490,902
Vertical Capital Partners, Inc. investor protection violation2007SEC$490,432
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2014CFTC$490,000
A Better Financial Plan LLC investor protection violation2019PA-BKG$490,000
Wattenberg 1 LLC et al. investor protection violation2021AZ-CC$488,880
Skytec Security Midwest LLC and Skytec Security Operations LLC investor protection violation2021MO-SEC$488,669
MIAI, Inc. investor protection violation2019SEC$488,579
Spring Hill Capital Markets, LLC, et al. investor protection violation2019SEC$485,803
Manitex International, Inc. et al. investor protection violation2020SEC$485,000
Jackson National Life Insurance CoJackson Financialfinancial servicesinvestor protection violation2008CT-AG$484,000
Lavender Farms, LLC investor protection violation2019MO-SEC$482,650
Zeromax LLC economic sanction violation2007OFAC$481,983
National Beverage Corp.National Beverage Corp.beveragesinvestor protection violation2021SEC$481,920
Investacorp Advisory Services, Inc. investor protection violation2019SEC$481,608
Penson Associates, LLC investor protection violation2016MO-SEC$480,487
Caledonia Investments investor protection violation2016DOJ_ANTITRUST$480,000
Libero Commodities SA investor protection violation2015CFTC$480,000
4NExchange investor protection violation2008CFTC$480,000
Caledonia Investments plc investor protection violation2016FTC$480,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2015SEC$480,000
Alpha Energy Inc. and Alliance Resources Group Inc. investor protection violation2008OR-FIN$480,000
TokenLot LLC investor protection violation2018SEC$478,929
Lightspeed Trading LLC investor protection violation2014SEC$478,216
Rockwell Asset Management, Inc. investor protection violation2014CFTC$477,210
Dean Witter Reynolds Inc.Morgan Stanleyfinancial servicesinvestor protection violation2000SEC$476,702
Highland Quantitative Driven Investments LLC investor protection violation2023CFTC$476,206
Pinnacle Investments LLC investor protection violation2023SEC$476,000
Pharmco Products, Inc. tax violations2008ATTTB$475,000
First Montauk Securities Corp. investor protection violation2006NJ-AG$475,000
Historical Design, Inc. tax violations2004NY-MANDA$475,000
Raymond James & Associates, Inc.Raymond James Financialfinancial servicesinvestor protection violation2015IN-SEC$475,000
Kestra Investment Services, LLC investor protection violation2016FINRA$475,000
Banorte-Ixe Securities International, Ltd. anti-money-laundering deficiencies2014FINRA$475,000
Focus Financial Network, Inc. investor protection violation2024SEC$475,000
TD Private Client Wealth, LLCToronto-Dominion Bankfinancial servicesinvestor protection violation2024SEC$475,000
Three Nines Minerals Ltd. Et al. investor protection violation2013OR-FIN$474,000
Family Benefits USA LLC investor protection violation2013OR-FIN$474,000
Excel Home Care Inc. tax violations2009DOJ_TAX$473,510
Keysight Technologies, IncKeysight Technologiesautomotive partseconomic sanction violation2020OFAC$473,157
MML Investors Services, Inc.Massachusetts Mutual Life Insurancefinancial servicesinvestor protection violation2007FINRA$473,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.