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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
NYLIFE Securities, LLCNew York Life Insurancefinancial servicesinvestor protection violation2017IN-SEC$275,000
John Thomas Financial investor protection violation2011FINRA$275,000
US Bancorp Investments, Inc.U.S. Bancorpfinancial servicesinvestor protection violation2010FINRA$275,000
Credit Suisse Securities (USA), LLCUBSfinancial servicesinvestor protection violation2009FINRA$275,000
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2009FINRA$275,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2005FINRA$275,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2004FINRA$275,000
Robertson Stephens, Inc. investor protection violation2004FINRA$275,000
Prosperity Economics Partners LLC and Partners for Prosperity LLC investor protection violation2021SEC$275,000
A&S World Trading Incorporated anti-money-laundering deficiencies2022FINCEN$275,000
Sciens Investment Management, LLC and Sciens Diversified Managers, LLC investor protection violation2023SEC$275,000
ShapeShift AG investor protection violation2024SEC$275,000
Oxford Investment Partners, LLC investor protection violation2013SEC$274,295
Merchant Savings, LLC and Mastermind Web Development LLC investor protection violation2022ID-SEC$274,216
Healthcare Purchasing Alliance, Inc. investor protection violation2004AZ-CC$273,933
Biomed Pharma Group, Inc. investor protection violation2021AZ-CC$273,630
Cutting Edge Business Services, Inc. investor protection violation2019SEC$273,336
Bander Law Firm, PLLC investor protection violation2015SEC$273,184
Opunui Water Company, LLC and Opunui Land and Water Company, LLC investor protection violation2013HI-SEC$273,000
Navigators Insurance CompanyHartford Financial Servicesfinancial serviceseconomic sanction violation2015OFAC$271,815
Suisse Capital Complex, Inc. and Asia Equities, Inc. investor protection violation2009IN-SEC$271,200
HarborLight Capital Management, LLC? investor protection violation2013SEC$270,615
Santander Securities LLCBanco Santanderfinancial servicesinvestor protection violation2019SEC$270,539
Believing in Jesus Investments, LLC investor protection violation2017AZ-CC$270,050
Highland Capital Group, Inc. investor protection violation2019CA-DFPI$270,000
Wells Fargo Advisors, LLCWells Fargofinancial servicesinvestor protection violation2017IL-SEC$270,000
TC & P Trade dba High Capital investor protection violation2008MD-SEC$270,000
Peanut Butter Better Co. and ZAP Products Corp. investor protection violation2012NJ-BOS$269,750
ICO Rating investor protection violation2019SEC$268,998
MERRILL LYNCH PIERCE FENNER &Bank of Americafinancial servicesinvestor protection violation2004VA-SEC$268,723
Temple Securities, Ltd. investor protection violation2007SEC$268,346
UBS SecuritiesUBSfinancial servicesinvestor protection violation2009FINRA$268,000
21st Century Satellite Communications, Inc. investor protection violation2002AZ-CC$267,000
Cornerstone Financial Corp. and K&B Investments, LLC investor protection violation2012MT-FIN$266,000
BlueLinx Holdings Inc.BlueLinx Holdingswholesalersinvestor protection violation2016SEC$265,000
LoanGo Corp. investor protection violation2017AZ-CC$265,000
Global Capital Funding, LLC investor protection violation2014FL-OFR$265,000
Millennial Financial Group, Inc. investor protection violation2009ID-SEC$265,000
Davidson & Company LLP accounting fraud or deficiencies2024SEC$265,000
Southwest Capital Advisors LLC investor protection violation2005AZ-CC$264,558
Amazon Gold, LLC investor protection violation2024AZ-CC$264,044
Resolute Capital Partners, Ltd. et al. investor protection violation2021WA-SEC$263,525
Haberman Value Fund, L.P. investor protection violation2010SEC$263,443
Bacardi U.S.A., Inc.Bacardi Limitedbeveragestax violations2011ATTTB$262,500
MML Investors Services, LLCMassachusetts Mutual Life Insurancefinancial servicesinvestor protection violation2022MA-SEC$262,092
R.C. Transport, Inc. and General Investments, LLC investor protection violation2012MO-SEC$260,373
FCStone, LLC and Commodity Operations Inc.StoneX Groupfinancial servicesinvestor protection violation2012CFTC$260,000
Alaron Trading Corporation investor protection violation2010CFTC$260,000
Guardian Futures, Inc. investor protection violation2010CFTC$260,000
Forefront Investment Corporation investor protection violation2008CFTC$260,000
Tantus Tobacco, LLC tax violations2014KY-AG$260,000
Cal-Terra Partners, LLC investor protection violation2012IN-SEC$260,000
Infinex Investments, Inc. investor protection violation2015FINRA$259,627
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2005CO-SEC$259,227
IPSA International Services, Inc. economic sanction violation2017OFAC$259,200
Connecticut Capital Markets, L.L.C. investor protection violation2004SEC$259,110
Wachovia Capital Markets, LLCWells Fargofinancial servicesinvestor protection violation2007CT-SEC$258,728
Ryan Financial Advisors, Inc. investor protection violation2019SEC$258,670
BIOMIN America, Inc. economic sanction violation2020OFAC$257,862
C.H. Robinson International, Inc.C.H. Robinsonfreight and logisticseconomic sanction violation2024OFAC$257,690
Banco Popular de Puerto RicoPopular Inc.financial serviceseconomic sanction violation2022OFAC$255,938
Winston Reed Investments LLC investor protection violation2020SEC$255,850
Everest Wealth Management, Inc. investor protection violation2017MD-AG$255,000
ENTERRA ENERGY, LLC investor protection violation2008VA-SEC$255,000
Lord Abbett Distributor, LLC investor protection violation2005FINRA$255,000
Mining Ventures International, LLC investor protection violation2000AZ-CC$253,500
First Midwest BankOld National Bancorpfinancial servicesbanking violation2022FED$253,500
Bryant Capital Trade Management Corporation investor protection violation2023CFTC$250,655
HD Mile High Marketing, Inc. investor protection violation2014SEC$250,076
First Electronic Bank banking violation2015FDIC$250,000
Lower Sioux Indian Community, doing business as Jackpot Junction Casino Hotel anti-money-laundering deficiencies2011FINCEN$250,000
BlackRock Institutional Trust Company NABlackRockfinancial servicesinvestor protection violation2012CFTC$250,000
Aviation Services Intemational, B.V. aka Delta Logistics, B.V. economic sanction violation2010OFAC$250,000
Firefly Distillery LLC tax violations2015ATTTB$250,000
Future Brands LLC tax violations2011ATTTB$250,000
Magnum Hunter Resources CorporationBlue Ridge Mountain Resourcesoil and gasaccounting fraud or deficiencies2016SEC$250,000
The Baker Group, LP investor protection violation2015SEC$250,000
B.C. Ziegler and Company investor protection violation2015SEC$250,000
BMO Capital Markets GKST Inc.Piper Sandlerfinancial servicesinvestor protection violation2015SEC$250,000
BOSC, Inc. investor protection violation2015SEC$250,000
City Securities Corporation investor protection violation2015SEC$250,000
Dougherty & Co. LLC investor protection violation2015SEC$250,000
George K. Baum & Company investor protection violation2015SEC$250,000
Apple Nine Advisors Inc. accounting fraud or deficiencies2014SEC$250,000
GW & Wade investor protection violation2013SEC$250,000
Proficio Bank banking violation2016FDIC$250,000
Tech Power Inc. investor protection violation2016CFTC$250,000
Stuckey Group, L.P., Stuckey Group II, L.P. and Oakwood Development Company, L.P. investor protection violation2012CFTC$250,000
Open E Cry, LLC investor protection violation2012CFTC$250,000
Scotia Capital Inc.Scotiabankfinancial servicesinvestor protection violation2010CFTC$250,000
Carolina Corporation tax violations2009ATTTB$250,000
Vinifera Inc. tax violations2001ATTTB$250,000
American Express Centurion BankAmerican Expressfinancial servicesbanking violation2009FDIC$250,000
Zim American Israeli Shipping Co., IncZim Integrated Shipping Services Ltd.freight and logisticseconomic sanction violation2003OFAC$250,000
International Bank of Miami, National Association banking violation2007OCC$250,000
Conversion Solutions Holding Corporation accounting fraud or deficiencies2008SEC$250,000
Commonwealth Equity Services, LLP investor protection violation2007SEC$250,000
Detwiler, Mitchell, Fenton & Graves, Inc. investor protection violation2007SEC$250,000
Siebel Systems, Inc.Oracleinformation technologyinvestor protection violation2002SEC$250,000
Oxford Health Plans, Inc.UnitedHealth Grouphealthcare servicesaccounting fraud or deficiencies2002SEC$250,000
Angus Partners LLC investor protection violation2016CFTC$250,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.