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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
MML Investors Services, Inc.Massachusetts Mutual Life Insurancefinancial servicesinvestor protection violation2007FINRA$473,000
Caesar Investments, LLC investor protection violation2017AZ-CC$472,378
First Command Financial Planning, Inc. investor protection violation2005CA-DFPI$470,959
20th Century Jackson Equities, Inc. investor protection violation2007SEC$470,269
Southwest Securities, Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2010SEC$470,147
Powersecure International, Inc. accounting fraud or deficiencies2016SEC$470,000
Apple, Inc.Apple Inc.electrical and electronic equipmenteconomic sanction violation2019OFAC$466,912
Global Capital and Equity LLC investor protection violation2022AZ-CC$466,500
Privilege Underwriters Reciprocal ExchangeTokio Marinefinancial serviceseconomic sanction violation2023OFAC$466,200
Yarn & Company, Inc. investor protection violation2010MD-SEC$464,333
Goelzer Investment Management, Inc.? investor protection violation2013SEC$463,793
PGS Capital Wealth Management of Sherman Oaks, California, PGS Capital Credit, Inc. investor protection violation2014CFTC$462,727
ISA Industries, Inc. investor protection violation2024AZ-CC$462,557
Merrill LynchBank of Americafinancial servicesinvestor protection violation2009DE-AG$459,000
Lasalle St. Investment Advisors, L.L.C. investor protection violation2019SEC$458,082
Colomont, Inc. investor protection violation2023VT-FIN$456,500
Ashlin Capital, LLC and Kyoto Capital Group, LLC investor protection violation2007SEC$455,700
ANS Enterprises, LLC investor protection violation2014NJ-BOS$453,138
Citibank N.A.Citigroupfinancial servicesbanking violation2017OCC$452,000
The Davidan Corp. and Lajobejo, LLC investor protection violation2015MO-SEC$451,931
Autobody by Victor, Inc. dba Victor's Collision & Towing tax violations2015NY-QCDA$451,849
Tyco Valves & Controls Middle East, Inc.Emerson Electricindustrial equipmenteconomic sanction violation2007OFAC$450,905
MillerCoors LLCMolson Coors Beveragebeveragestax violations2015ATTTB$450,000
Florasynth, Inc. tax violations2000ATTTB$450,000
Societe GeneraleSociete Generalefinancial servicesinvestor protection violation2016CFTC$450,000
California Cider Co., Inc. tax violations2017ATTTB$450,000
YourPeople, Inc., dba Zenefits FTW Insurance ServicesTriNet Groupbusiness servicesinvestor protection violation2017SEC$450,000
Signator Investors, Inc. investor protection violation2015SEC$450,000
Gabelli Funds, LLCGamco Investors Inc.financial servicesinvestor protection violation2009SEC$450,000
Smith Barney Fund Management LLCMorgan Stanleyfinancial servicesinvestor protection violation2007SEC$450,000
AllianceBernstein, L.P.Equitable Holdingsfinancial servicesinvestor protection violation2007SEC$450,000
Capital Analysts Incorporated investor protection violation2005SEC$450,000
Spear, Leeds & Kellogg, L.P.Goldman Sachsfinancial servicesinvestor protection violation2003SEC$450,000
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2013NJ-AG$450,000
Essie Cosmetics Ltd. economic sanction violation2012OFAC$450,000
Marcum LLP accounting fraud or deficiencies2019PCAOB$450,000
Carisam-Samuel Meisel tax violations2019ATTTB$450,000
LPL Financial, LLCLPL Financialfinancial servicesinvestor protection violation2018IN-SEC$450,000
Wells Fargo Clearing Services, LLCWells Fargofinancial servicesinvestor protection violation2019MA-SEC$450,000
Sunoco LPEnergy Transferpipelinesinvestor protection violation2020CFTC$450,000
FNY Partners Fund LP investor protection violation2020CFTC$450,000
Palmer Square Capital Management LLC investor protection violation2020SEC$450,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2017FINRA$450,000
Penson Financial Services anti-money-laundering deficiencies2010FINRA$450,000
IFMG Securities investor protection violation2009FINRA$450,000
SMH Capital Inc. investor protection violation2008FINRA$450,000
Advantage Capital Corp. investor protection violation2005FINRA$450,000
LINSCO/Private Ledger Corp. investor protection violation2004FINRA$450,000
PFS Investments, Inc. investor protection violation2004FINRA$450,000
KPMG AustraliaKPMGbusiness servicesaccounting fraud or deficiencies2021PCAOB$450,000
ICE Clear Europe Limited investor protection violation2021CFTC$450,000
Resolute Capital Partners LTD LLC and Homebound Resources LLC investor protection violation2021SEC$450,000
United Health Products, Inc. accounting fraud or deficiencies2022SEC$450,000
ClueLess8 Trading and FAS Holdings, LLC investor protection violation2022NJ-BOS$450,000
MHW Ltd. tax violations2024ATTTB$450,000
Sarkauskas and Associates, Inc. investor protection violation2013SEC$449,837
Earth Explorations, LLC investor protection violation2013AZ-CC$449,600
Vinci Partners Investimentos investor protection violation2014SEC$448,707
Wolfepack Transportation, Inc. aka Wolfpack Transportation, Inc. investor protection violation2009AZ-CC$448,043
Oriental Bank banking violation2024FDIC$447,125
PGH Advisors LLC investor protection violation2023AZ-CC$445,790
TrendsGroup International, Inc. investor protection violation2003SEC$445,691
Riverside Lease, LLC investor protection violation2016MO-SEC$445,005
ARB Trading Group LP investor protection violation2020CFTC$445,000
Echo Canyon LLC investor protection violation2012AZ-CC$443,709
JM Financial Institutional Securities Private Limited investor protection violation2012SEC$443,545
Deutsche Bank Securities, Inc.Deutsche Bankfinancial servicesinvestor protection violation2006SEC$442,954
Welther Oaks, LLC investor protection violation2022CFTC$441,232
Paradigm Wealth Advisory, LLC investor protection violation2021SEC$440,103
Allegheny Gulf Investments, Inc investor protection violation2005CFTC$440,000
Wells Fargo Bank N.A. Municipal Products GroupWells Fargofinancial servicesinvestor protection violation2016SEC$440,000
Keybanc Capital Markets Inc.KeyCorpfinancial servicesinvestor protection violation2016SEC$440,000
Perceptive Advisors LLC investor protection violation2009SEC$439,755
Apple Six Advisors Inc. accounting fraud or deficiencies2014SEC$437,500
Apple Eight Advisors Inc. accounting fraud or deficiencies2014SEC$437,500
Financial Sherpa, Inc. investor protection violation2019SEC$436,861
Great Western Investment Trust, Ltd. investor protection violation2000AZ-CC$435,789
Alliance Steel, Inc. economic sanction violation2021OFAC$435,003
Delaware Service Company, Inc. investor protection violation2006SEC$435,000
First Nationle Solution, LLC investor protection violation2018MD-SEC$435,000
Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2005NH-BSR$435,000
ProEquities, IncDai-ichi Lifefinancial servicesinvestor protection violation2012MULTI-FIN$435,000
Stock Option Academy dba Stock Option Coach investor protection violation2023CA-DFPI$435,000
Ameron International CorporationNOV Inc.oilfield services and supplieseconomic sanction violation2013OFAC$434,700
Alaska Commercial Company tax violations2021ATTTB$433,382
Ozark Investor's Group, LLC and Back 40 Group, Inc. investor protection violation2015MO-SEC$432,686
Preston Wealth Management, LLC investor protection violation2014DC-DISB$432,525
Valentine Capital Asset Management, Inc.? investor protection violation2010SEC$432,007
Cypress Wealth Management, Inc. investor protection violation2016CFTC$430,764
RAphi Capital Management, LLC investor protection violation2017MD-SEC$430,700
American Express National BankAmerican Expressfinancial serviceseconomic sanction violation2022OFAC$430,500
Pacific Financial Group, Inc. investor protection violation2024SEC$430,000
M.S. Junior and Swiss Capital Holdings investor protection violation2013SEC$427,936
Baldwin Wilson Development Corp. investor protection violation2009IN-SEC$426,800
Stena Bulk LLCStena Spherefreight and logisticseconomic sanction violation2009OFAC$426,486
NBC Securities, Inc. investor protection violation2019SEC$426,119
ADM Investor Services, Inc.Archer Daniels Midlandagribusinessinvestor protection violation2013CFTC$425,000
Cruzan International, Inc. tax violations2007ATTTB$425,000
M&M Inc. tax violations2018ATTTB$425,000
Pacific Growth Equities, LLC investor protection violation2007SEC$425,000
Southwest Trust & Financial investor protection violation2006AZ-CC$425,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.