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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
Yucatan Resorts dba Avalon Resorts investor protection violation2008OR-FIN$300,000
Resort Holdings International Inc. investor protection violation2008OR-FIN$300,000
World Phantasy Tours investor protection violation2008OR-FIN$300,000
Ruttenberg and Associates Financial Marketing Inc. investor protection violation2008OR-FIN$300,000
Legend Securities Inc. investor protection violation2016SC-SEC$300,000
Wells Fargo Advisors LLCWells Fargofinancial servicesinvestor protection violation2016VT-FIN$300,000
Conestoga Settlement Services LLC investor protection violation2019WI-FIN$300,000
Gain Capital Group, LLCStoneX Groupfinancial servicesinvestor protection violation2020CFTC$300,000
Solace Investments, LLC investor protection violation2020CT-BKG$300,000
Great Plains Trust Company, Inc. investor protection violation2020SEC$300,000
Scottrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2015FINRA$300,000
Firstrade Securities, Inc. anti-money-laundering deficiencies2013FINRA$300,000
Garden State Securities, Inc. investor protection violation2011FINRA$300,000
Wells Investment Securities, Inc. investor protection violation2011FINRA$300,000
Pointe Capital, Inc. investor protection violation2011FINRA$300,000
Pinnacle Capital Markets anti-money-laundering deficiencies2010FINRA$300,000
NatCity Investments, Inc. investor protection violation2009FINRA$300,000
SunAmerica Securities, Inc.American International Groupfinancial servicesinvestor protection violation2009FINRA$300,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2008FINRA$300,000
SunTrust Investment Services, Inc.Truist Financialfinancial servicesinvestor protection violation2008FINRA$300,000
First Southwest Company investor protection violation2008FINRA$300,000
Wachovia Capital Markets, LLCWells Fargofinancial servicesinvestor protection violation2007FINRA$300,000
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2005FINRA$300,000
Edward Jones & Co., LPJones Financialfinancial servicesinvestor protection violation2004FINRA$300,000
American Express Financial Advisors, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2004FINRA$300,000
Solace Investments, LLC investor protection violation2020CT-SEC$300,000
Cetera Advisor Networks LLC et al. investor protection violation2021SEC$300,000
SoFi Wealth, LLC investor protection violation2021SEC$300,000
Amyris, Inc.Amyrispharmaceuticalsinvestor protection violation2021SEC$300,000
Wahed Invest, LLC investor protection violation2022SEC$300,000
Alphacentric Advisors LLC investor protection violation2022SEC$300,000
Camara Enterprises LLC investor protection violation2023MD-SEC$300,000
Edward D. Jones & Co., LPJones Financialfinancial servicesinvestor protection violation2024PA-BKG$300,000
Advisor Resource Council investor protection violation2024SEC$300,000
Goldman Sachs Group, Inc.Goldman Sachsfinancial servicesinvestor protection violation2024SEC$300,000
Inspire Investing LLC investor protection violation2024SEC$300,000
Kestra Private Wealth Services, LLC investor protection violation2021SEC$299,569
Coburn & Meredith, Inc investor protection violation2021SEC$299,340
Alaron Trading Corporation investor protection violation2008CFTC$299,000
Provise Management Group, LLC investor protection violation2019SEC$297,423
Best Western International, Inc. investor protection violation2018MD-SEC$297,000
AJ&J Investment Group, Inc. investor protection violation2014MO-SEC$297,000
Seawolf Capital investor protection violation2014SEC$296,937
CUSO Financial Services, L.P.Atria Wealth Solutionsfinancial servicesinvestor protection violation2019SEC$296,750
Finacor SA tax violations2015DOJ_TAX$295,000
Richard Bernstein Advisors LLC investor protection violation2024SEC$295,000
New Castle Funds LLC investor protection violation2010SEC$293,064
Chase Investment ServicesJPMorgan Chasefinancial servicesinvestor protection violation2005FINRA$290,262
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2019VA-SEC$288,970
Thompson Price Holding Inc. investor protection violation2009SEC$288,815
Sage Advisory Services LLC investor protection violation2001SEC$288,328
Indiana Business Development Group LLC et al. investor protection violation2024IN-SEC$287,750
Simpson Hughes Financial, LLC investor protection violation2016SEC$287,119
Sirios Capital Management, L.P.? investor protection violation2008SEC$287,058
Privatbank Von Graffenried AG tax violations2015DOJ_TAX$287,000
Advest, Inc. investor protection violation2005FINRA$286,415
Lionsgate Investments, Incorporated investor protection violation2019VA-SEC$285,786
3D/L Capital Management, LLC investor protection violation2024SEC$285,607
Butterworth Advisory Services and Senior Advisory Services investor protection violation2006AZ-CC$285,000
Sperry and Sons Capital Investments, LLC investor protection violation2021SEC$284,480
Polo Capital International Gestao de Recursos a/k/a Polo Capital Management investor protection violation2013SEC$282,720
DKR Oasis Management Company, L.P.? investor protection violation2008SEC$282,413
Bank of the WestBank of Montrealfinancial servicesbanking violation2021FDIC$281,000
Bear, Stearns & Co. Inc.JPMorgan Chasefinancial servicesinvestor protection violation2004FINRA$280,469
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2014CFTC$280,000
Badge Trading LLC investor protection violation2016CFTC$280,000
Nord Capital Advisors LLC investor protection violation2015CFTC$280,000
Farr Financial Inc. investor protection violation2012CFTC$280,000
ProfitStars Intl, Corp. investor protection violation2012CFTC$280,000
ForInvest Group investor protection violation2011CFTC$280,000
E*TRADE Securities LLCMorgan Stanleyfinancial servicesinvestor protection violation2017CFTC$280,000
INTL FCStone Financial Inc.StoneX Groupfinancial servicesinvestor protection violation2017CFTC$280,000
Strudwick Wealth Strategies, Inc. investor protection violation2018NH-BSR$280,000
Pacific Network and Consulting investor protection violation2011OR-FIN$280,000
Lifeline Imaging LLC investor protection violation2011OR-FIN$280,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2019FINRA$280,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2019FINRA$280,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2019FINRA$280,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2019FINRA$280,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2019FINRA$280,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2005FINRA$280,000
American International Group, Inc.American International Groupfinancial serviceseconomic sanction violation2014OFAC$279,038
Sabby Management LLC investor protection violation2015SEC$278,747
Ameritas Investment Corp.Ameritas Mutual Holding Companyfinancial servicesinvestor protection violation2015FINRA$278,544
JL Capital Management investor protection violation2017SEC$278,289
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2010MO-SEC$277,500
Guidant CorporationBoston Scientific Corp.medical equipment and supplieseconomic sanction violation2007OFAC$277,017
Signature Financial Services, Ltd. investor protection violation2020SEC$276,580
Oxbow Carbon and Minerals LLCOxbow Corporationmiscellaneous energy products and systemseconomic sanction violation2009OFAC$276,250
Moet Hennessy USA, Inc.LVMHappareltax violations2011ATTTB$275,000
Top Tobacco, LP tax violations2010ATTTB$275,000
First BancorpFirst Bancorp (North Carolina)financial servicesaccounting fraud or deficiencies2015SEC$275,000
Capital Market Services, LLC investor protection violation2014CFTC$275,000
FXDirectDealer, LLC investor protection violation2013CFTC$275,000
Capital Dynamics, Inc. investor protection violation2017SEC$275,000
New Silk Route Advisors, L.P. investor protection violation2016SEC$275,000
LPL Financial CorporationLPL Financialfinancial servicesinvestor protection violation2008SEC$275,000
Garden State Securities Inc. investor protection violation2017NJ-AG$275,000
Willamette Valley Bank banking violation2019FDIC$275,000
Chinese Porcelain Co. tax violations2003NY-MANDA$275,000
NYLIFE Securities, LLCNew York Life Insurancefinancial servicesinvestor protection violation2017IN-SEC$275,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.