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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
Southwest Trust & Financial investor protection violation2006AZ-CC$425,000
H. Beck, Inc. investor protection violation2015FINRA$425,000
Citigroup Global MarketsCitigroupfinancial servicesinvestor protection violation2009FINRA$425,000
KeyBanc Capital Markets, Inc.KeyCorpfinancial servicesinvestor protection violation2009FINRA$425,000
Scudder Distributors, Inc. investor protection violation2007FINRA$425,000
Magnolia Bank, Incorporated banking violation2022FDIC$425,000
TradeStation Securities, Inc. investor protection violation2022SEC$425,000
Willamette Valley Bank banking violation2022FDIC$425,000
Trustcore Financial Services, LLC investor protection violation2019SEC$422,261
Successful Finance, Inc. investor protection violation2000AZ-CC$421,040
1pool Ltd. investor protection violation2019CFTC$421,000
J.J.B. Hilliard and W.L. Lyons, LLC investor protection violation2015SEC$420,000
UMB Bank N.A. Investment Banking DivisionUMB Financial Corp.financial servicesinvestor protection violation2015SEC$420,000
Crown Imports LLC tax violations2019ATTTB$420,000
MSA & Associates, LLC investor protection violation2022MD-SEC$420,000
King Sho Holdings aka Kingsho Holdings investor protection violation2023MD-SEC$420,000
Charles Winn, LLC investor protection violation2023IA-INS$419,431
Cozad Asset Management, Inc. investor protection violation2020SEC$416,870
Forex Investment Services Corp. et al. investor protection violation2000AZ-CC$416,086
JP Turner & Company, LLC investor protection violation2012SEC$416,051
Alfa Laval Middle East Ltd.Alfa Lavalindustrial equipmenteconomic sanction violation2021OFAC$415,965
Berthel Fisher & Company Financial Services, IncBerthel Fisherfinancial servicesinvestor protection violation2019NH-BSR$415,407
COSL Singapore Ltd economic sanction violation2017OFAC$415,350
Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2006ID-SEC$415,000
Earth Energy Exploration, Inc. investor protection violation2012CO-SEC$414,719
GreneCo, LLC investor protection violation2022SEC$414,364
DFS Capital Management, LP and DFS Fund, Limited Partnership investor protection violation2013CT-SEC$414,000
New America High Income Fund, Inc. investor protection violation2012SEC$413,399
Legendary Partners, LLC investor protection violation2023SEC$412,542
Alexander Capital L.P. investor protection violation2018SEC$410,987
ARRG Corp. investor protection violation2016SEC$410,753
Doctors Associates LLC dba Subway investor protection violation2020CA-DFPI$410,000
Rafferty Capital Markets, LLC investor protection violation2007FINRA$409,605
WealthCFO, LLC investor protection violation2018SEC$409,405
First Union Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2000SEC$408,931
Troubh Partners investor protection violation2014SEC$408,710
Bancwest Investment Services, Inc. investor protection violation2020SEC$406,432
Island Capital Management LLC, d/b/a Island Stock Transfer investor protection violation2022SEC$404,394
American Optisurgical, Inc. economic sanction violation2013OFAC$404,100
Perfection PR Firm, LLC investor protection violation2019MO-SEC$402,952
First Citizens Investor Services, Inc. investor protection violation2019SEC$402,665
Wachovia Capital Markets, LLCWells Fargofinancial servicesinvestor protection violation2007MD-AG$402,386
Grand Resources USA, Inc. (d/b/a GR-Duratech Texas, Inc.) economic sanction violation2012OFAC$402,000
Western Union Financial Services, Inc.Western Unionfinancial serviceseconomic sanction violation2019OFAC$401,697
Grassi & Co., CPAs and P.C. investor protection violation2016SEC$401,510
Gray Financial Group, Inc. investor protection violation2017SEC$401,298
CFM Indosuez Wealth economic sanction violation2022OFAC$401,039
CommunityONE Bank N.A. anti-money-laundering deficiencies2011DOJ_CRIMINAL$400,000
Bank EKI Genossenschaft tax violations2015DOJ_TAX$400,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2015SEC$400,000
Stephens Inc. investor protection violation2015SEC$400,000
Thompson Consulting Inc. investor protection violation2010SEC$400,000
Presstek Inc. investor protection violation2010SEC$400,000
Alfred C. Toepfer International, Inc.Archer Daniels Midlandagribusinessinvestor protection violation2015CFTC$400,000
SHK Management LLC investor protection violation2013CFTC$400,000
Foremost Trading LLC investor protection violation2013CFTC$400,000
The Linn Group, Inc. investor protection violation2013CFTC$400,000
Forex Liquidity LLC investor protection violation2012CFTC$400,000
Keystone Sporting Arms, Inc. tax violations2009ATTTB$400,000
Dean Foods CompanyDairy Farmers of America (DFA)food productsaccounting fraud or deficiencies2004SEC$400,000
Del Global Technologies Corp., Inc. accounting fraud or deficiencies2004SEC$400,000
Moret Ernst & Young Accountants accounting fraud or deficiencies2002SEC$400,000
Wells Fargo Bank, N.A.Wells Fargofinancial servicesinvestor protection violation2016CFTC$400,000
Port Authority of New York and New Jersey investor protection violation2017SEC$400,000
Gemini Fund Services, LLC investor protection violation2018SEC$400,000
Equinox Fund Management, LLC investor protection violation2016SEC$400,000
Houston American Energy Corp. investor protection violation2015SEC$400,000
Pennant Management, Inc. investor protection violation2018SEC$400,000
Wyser-Pratte Management Co., Inc. and Wyser-Pratte and Co., Inc. investor protection violation2001SEC$400,000
Lightyear Capital LLC investor protection violation2018SEC$400,000
Omega Protein CorporationCooke Inc.food productsinvestor protection violation2019SEC$400,000
Mitsubishi International CorporationMitsubishi Corporationdiversifiedinvestor protection violation2019CFTC$400,000
Bob P. Haboldt and Company, Inc. tax violations2003NY-MANDA$400,000
Americus Home Loans, Inc. investor protection violation2009CO-SEC$400,000
Jelco Ventures, Inc. investor protection violation2012CO-SEC$400,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2013MA-SEC$400,000
J.J. Richardson, LLC investor protection violation2017MD-SEC$400,000
Ceros Financial Services, Inc. investor protection violation2017NH-BSR$400,000
True North Productions, LLC investor protection violation2012OR-FIN$400,000
Morgan Stanley & Co. Inc.Morgan Stanleyfinancial servicesinvestor protection violation2008TX-SEC$400,000
TD Ameritrade Inc.Charles Schwab Corp.financial servicesinvestor protection violation2015TX-SEC$400,000
LendingClub CorporationLendingClub Corp.financial servicesinvestor protection violation2020TX-SEC$400,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2020CT-SEC$400,000
Thrivent Investment Management Inc.Thrivent Financialfinancial servicesinvestor protection violation2020IL-SEC$400,000
RCI Hospitality Holdings, Inc. investor protection violation2020SEC$400,000
AG Processing IncAg Processing Inc.agribusinessinvestor protection violation2021CFTC$400,000
VSR Financial Services, Inc. investor protection violation2016FINRA$400,000
Investors Capital Corporation investor protection violation2011FINRA$400,000
Westpark Capital, Inc. investor protection violation2010FINRA$400,000
Terra Nova Financial, LLC investor protection violation2009FINRA$400,000
RBC Capital Markets CorporationRoyal Bank of Canadafinancial servicesinvestor protection violation2009FINRA$400,000
Park Financial Group, Inc. anti-money-laundering deficiencies2009FINRA$400,000
Fidelity Investments Institutional Services Company, Inc. and Fidelity Distributors CorporationFidelity Investmentsfinancial servicesinvestor protection violation2007FINRA$400,000
David Lerner Associates, Inc. investor protection violation2006FINRA$400,000
Banc One Securities CorporationJPMorgan Chasefinancial servicesinvestor protection violation2005FINRA$400,000
Raymond James Financial Services Inc.Raymond James Financialfinancial servicesinvestor protection violation2004FINRA$400,000
Brink's CompanyBrink'smiscellaneous servicesinvestor protection violation2022SEC$400,000
IFP Advisors, LLC investor protection violation2022SEC$400,000
PIC Renegade Properties, LLC investor protection violation2022SEC$400,000
BBL Commodities LP investor protection violation2023CFTC$400,000
Haynie & Company accounting fraud or deficiencies2024PCAOB$400,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.