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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
Haynie & Company accounting fraud or deficiencies2024PCAOB$400,000
Grenda Group, LLC investor protection violation2024SEC$400,000
MaloneBailey, LLP accounting fraud or deficiencies2024PCAOB$400,000
Haitong International Securities (USA) Inc. investor protection violation2024SEC$400,000
National Energy Services Reunited Corp. investor protection violation2024SEC$400,000
Alpaca Securities LLC investor protection violation2024SEC$400,000
a.k.a. Brands Holding Corp. investor protection violation2024SEC$399,750
Talimco, LLC investor protection violation2019SEC$399,000
Meru Capital Group investor protection violation2013SEC$398,512
Wealth Plus, Inc. investor protection violation2022SEC$398,232
The Heroic Life Assurance Company, LLC investor protection violation2015MO-SEC$397,955
KeyBanc Capital Markets Inc.KeyCorpfinancial servicesinvestor protection violation2023SEC$397,135
Racing Beverages, Inc. investor protection violation2009IN-SEC$397,000
Lawson Financial Corporation investor protection violation2017SEC$396,652
Rhino Trading, LLC and Fat Squirrel Trading Group, LLC investor protection violation2009SEC$395,000
Advantage Futures LLC investor protection violation2023CFTC$395,000
Crestview Capital Partners investor protection violation2007SEC$394,640
Scott & Stringfellow, Inc. investor protection violation2000FINRA$393,263
John Bean Technologies Corporation economic sanction violation2015OFAC$391,950
Legacy Financial Advisors, LLC investor protection violation2014AZ-CC$390,806
Premier Media Services, Inc. dba Premier Distributing Service and Lenis USA investor protection violation2023AZ-CC$390,500
Quogue Capital LLC investor protection violation2008SEC$390,000
WEST COAST BANK banking violation2011FDIC$390,000
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherfinancial servicesinvestor protection violation2021SEC$389,425
RNS Holdings LP investor protection violation2016CFTC$389,032
MSM Arrangements tax violations2015NY-QCDA$388,448
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2008NJ-AG$387,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2019MA-SEC$382,500
USAA Federal Savings BankUSAAfinancial servicesbanking violation2020OCC$382,500
The Kodiak Investment Group, L.L.C. investor protection violation2009AZ-CC$382,475
Midwest Land & Livestock, Inc., SKV Farms Inc. and DCV Farms, Inc. investor protection violation2011CFTC$382,000
Prudential Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2003SEC$382,000
Elite Ventures LLC investor protection violation2012ID-SEC$380,590
TAG Entertainment USA, Inc. et al. investor protection violation2007MD-SEC$380,000
Hefren-Tillotson, Inc. investor protection violation2019SEC$379,965
Sentry Asset Group, LLC d/b/a Sentry Asset Management, LLC investor protection violation2015CFTC$378,767
Sica Wealth Management, LLC investor protection violation2020SEC$378,693
True North Business Ventures LLC investor protection violation2013AZ-CC$376,091
BB&T Securities, LLCTruist Financialfinancial servicesinvestor protection violation2019SEC$376,059
Comprehensive Capital Management, Inc. investor protection violation2022SEC$375,654
Marwood Group Research LLC investor protection violation2015SEC$375,000
Advanced Cell Technology investor protection violation2014SEC$375,000
Apple Seven Advisors Inc. accounting fraud or deficiencies2014SEC$375,000
Ranieri Partners investor protection violation2013SEC$375,000
Deloitte & Touche LLPDeloittebusiness servicesaccounting fraud or deficiencies2005SEC$375,000
Prudential Equity Group, LLC f/k/a Prudential Securities Inc.Prudential Financialfinancial servicesinvestor protection violation2004SEC$375,000
Wilmington Savings Fund Society, FSB investor protection violation2016SEC$375,000
The Phoenix Companies, Inc. investor protection violation2014SEC$375,000
PHL Variable Insurance Company investor protection violation2014SEC$375,000
Global Sentry Equity Transfer, Inc. investor protection violation2011SEC$375,000
SEI Investments Distribution Company and SEI Investments Company investor protection violation2004SEC$375,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2018NJ-AG$375,000
AmerUs Life Insurance Co. and American Investors Life Insurance Co.Apollo Global Managementprivate equity (including portfolio companies)investor protection violation2008MN-AG$375,000
CCO Investment Services Corp.Citizens Financial Groupfinancial servicesinvestor protection violation2007NH-BSR$375,000
HSBC Securities (USA) Inc.HSBCfinancial servicesinvestor protection violation2010FINRA$375,000
D.A. Davidson & Co. investor protection violation2010FINRA$375,000
Metropolitan Life Insurance Co.MetLifefinancial servicesinvestor protection violation2004FINRA$375,000
ReAlpha Asset Management, Inc. investor protection violation2022MA-SEC$375,000
CBRE, Inc.CBRE Groupreal estateinvestor protection violation2023SEC$375,000
Oaktree Capital Management, L.P.Brookfield Corporationdiversifiedinvestor protection violation2024SEC$375,000
Bank of Nova ScotiaScotiabankfinancial servicesinvestor protection violation2024SEC$375,000
Ashton Thomas Private Wealth, LLC investor protection violation2024SEC$375,000
t SeaCrest Wealth Management, LLC investor protection violation2024SEC$375,000
Laino Group Limited d/b/a PaxForex investor protection violation2021CFTC$374,864
Central States Capital Markets, LLC investor protection violation2016SEC$374,827
KatchPips FX LLC investor protection violation2021CFTC$374,480
CMA CGM (America) LLCCMA CGMfreight and logisticseconomic sanction violation2011OFAC$374,400
OTC Solutions LLC investor protection violation2014SEC$373,239
White Birch USA economic sanction violation2017OFAC$372,465
Saint Marketing, Inc. investor protection violation2003CO-AG$372,000
Hefren-Tilotson, Inc. investor protection violation2019SEC$371,697
Enzyme Environmental Solutions, Inc. investor protection violation2011SEC$371,135
HCH Enterprises, L.L.C. investor protection violation2004AZ-CC$371,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2007FINRA$370,000
Lighthouse Futures, Ltd. investor protection violation2021CFTC$370,000
Commonwealth Income & Growth Fund, Inc. investor protection violation2013SEC$367,656
Wealth Financial International, LLC investor protection violation2011MO-SEC$365,942
Wealth by Design, Inc. and Clinton D. Fraley Living Trust investor protection violation2012CO-SEC$365,252
Grant Thornton India LLP and Grant Thornton Audit Pty LimitedGrant Thorntonbusiness servicesaccounting fraud or deficiencies2015SEC$365,085
CJB Trading, LLC and CJB Properties, LLC and CJB Homes, LLC investor protection violation2019MD-SEC$365,000
Intersecurities, Inc. investor protection violation2006MD-SEC$364,811
Centaur Management Co. LLC investor protection violation2012SEC$364,322
Foundations Asset Management, LLC investor protection violation2019SEC$363,947
Investment Centers of America, Inc.LPL Financialfinancial servicesinvestor protection violation2005FINRA$363,500
Payward, Inc. d/b/a Kraken economic sanction violation2022OFAC$362,158
Centurion Global Capital Management LLC investor protection violation2012CFTC$360,000
Hilltop Securities Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2016SEC$360,000
Thakkar CPA, PLLC investor protection violation2016SEC$359,487
Brooks Martin Investments, LLC and My1sthouse.com, LLC investor protection violation2009MD-SEC$358,432
Innovative Business Solutions, LLC investor protection violation2016SEC$357,986
Acadia Asset Management, LLC investor protection violation2015SEC$354,115
NYLIFE Securities LLCNew York Life Insurancefinancial servicesinvestor protection violation2007FINRA$354,000
Maximo Natural Products, Inc. investor protection violation2020AZ-CC$353,751
The Greatest Only Divine Productions, L.L.C. investor protection violation2009AZ-CC$353,000
War Chest Capital Partners LLC investor protection violation2015SEC$351,818
Merrill LynchBank of Americafinancial servicesinvestor protection violation2011CFTC$350,000
GlobeFX Club, Inc. investor protection violation2012CFTC$350,000
Australia and New Zealand Banking Group Ltd.Australia and New Zealand Banking Groupfinancial servicesinvestor protection violation2012CFTC$350,000
Marshall Bank, National Association banking violation2009OCC$350,000
Flowserve CorporationFlowserveindustrial equipmentinvestor protection violation2005SEC$350,000
Charles Schwab & Co., Inc.Charles Schwab Corp.financial servicesinvestor protection violation2004SEC$350,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.