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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
Angus Partners LLC investor protection violation2016CFTC$250,000
Robert W. Baird & Co. investor protection violation2016SEC$250,000
Logista Advisors LLC investor protection violation2017CFTC$250,000
SRC Construction Inc. tax violations2016USAO$250,000
First Independence Bank anti-money-laundering deficiencies2013USAO$250,000
Mintco LLC investor protection violation2017CFTC$250,000
Brahman Capital Corp. investor protection violation2017SEC$250,000
Paramount Group Real Estate Advisor LLC investor protection violation2017SEC$250,000
Resilience Management, LLC investor protection violation2017SEC$250,000
Columbia Management Investment Services Corp.Ameriprise Financialfinancial servicesinvestor protection violation2017SEC$250,000
Altair Nanotechnologies, Inc. investor protection violation2016SEC$250,000
Aviva Investors Americas, LLC investor protection violation2016SEC$250,000
Roosevelt & Cross, Incorporated investor protection violation2016SEC$250,000
Boenning & Scattergood, Inc. investor protection violation2016SEC$250,000
Alpha Fiduciary, Inc. investor protection violation2015SEC$250,000
Cranshire Capital Advisors, LLC investor protection violation2015SEC$250,000
Duncan-Williams, Inc investor protection violation2015SEC$250,000
Crews & Associates, Inc. investor protection violation2015SEC$250,000
Stilwell Value LLC investor protection violation2015SEC$250,000
Dedicated Sound and Audio, Inc. investor protection violation2018SEC$250,000
Agamas Capital Management, LP investor protection violation2013SEC$250,000
Mizuho Bank, Ltd.Mizuho Financialfinancial servicesinvestor protection violation2018CFTC$250,000
CarrierEQ Inc. (Airfox) investor protection violation2018SEC$250,000
Paragon Coin Inc. investor protection violation2018SEC$250,000
Metropolitan Life Insurance CompanyMetLifefinancial servicesinvestor protection violation2006SEC$250,000
Law Solutions Chicago bankruptcy professional violation2018DOJ_UTP$250,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2019SEC$250,000
Wealthfront Advisers LLC investor protection violation2018SEC$250,000
ADM Investor Services Inc.Archer Daniels Midlandagribusinessinvestor protection violation2019CFTC$250,000
American Equity Investment Life Insurance Co. investor protection violation2008MN-AG$250,000
AOC Securities LLC investor protection violation2019SEC$250,000
Canaccord Genuity LLC investor protection violation2019SEC$250,000
H. Huntsman & Sons tax violations2018NY-AG$250,000
Mosaic Capital, LLC investor protection violation2019SEC$250,000
Northwest Biotherapeutics, Inc. investor protection violation2019SEC$250,000
Garrison Investment Group LP and Garrison Capital Advisers LLC investor protection violation2019SEC$250,000
Art Advisory Services, Inc. tax violations2004NY-MANDA$250,000
KPMG Audit LimitedKPMGbusiness servicesaccounting fraud or deficiencies2019PCAOB$250,000
Meds2Go Express Pharmacy, Inc. anti-money-laundering deficiencies2019USAO$250,000
Blockchain of Things Inc. investor protection violation2019SEC$250,000
Stonemor Partners L.P. and Stonemor GP LLC investor protection violation2019SEC$250,000
Calumet Specialty Products Partners, L.P.Calumet Specialty Productschemicalsinvestor protection violation2019SEC$250,000
Woodbury Financial Services, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2009AZ-CC$250,000
Energetics, Inc.VSE Corp.freight and logisticsinvestor protection violation2011AZ-CC$250,000
Rome Finance Co. (GA), LLC investor protection violation2011CA-DFPI$250,000
Westrock Advisors, Inc. investor protection violation2011CT-SEC$250,000
Southridge Investment Group LLC fka Greenfield Capital Partners LLC investor protection violation2012CT-SEC$250,000
PNC Investments LLCPNC Financial Servicesfinancial servicesinvestor protection violation2010DE-SEC$250,000
Hopkins Financial Services, Inc. investor protection violation2012ID-SEC$250,000
Banc of America Investment Services, Inc.Bank of Americafinancial servicesinvestor protection violation2006IL-SEC$250,000
LPL Financial, LLCLPL Financialfinancial servicesinvestor protection violation2011IL-SEC$250,000
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2012MA-SEC$250,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2015MA-SEC$250,000
Haye Capital Group, LLC investor protection violation2011MD-SEC$250,000
Neoteric Energy, Inc. investor protection violation2014MN-FIN$250,000
Royal Alliance Associates, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2019NJ-BOS$250,000
Morgan Stanley & Co. Inc.Morgan Stanleyfinancial servicesinvestor protection violation2007RI-FIN$250,000
MML Investors Services LLCMassachusetts Mutual Life Insurancefinancial servicesinvestor protection violation2012RI-FIN$250,000
Vasilios Community Development Corporation investor protection violation2016VA-SEC$250,000
Wetzel Energy Technology Company Inc. and Better Fuel North West, A WETCO Company, Inc. investor protection violation2018WA-FIN$250,000
Cunningham Commodities, LLC investor protection violation2020CFTC$250,000
Millington Securities Inc. investor protection violation2020SEC$250,000
Franklin Advisers and Inc.Franklin Resourcesfinancial servicesinvestor protection violation2020SEC$250,000
BNP Paribas Securities Corp.BNP Paribasfinancial servicesinvestor protection violation2020SEC$250,000
Marex North America LLC investor protection violation2020CFTC$250,000
Marcum LLP accounting fraud or deficiencies2020PCAOB$250,000
Salt Blockchain Inc. f/k/a Salt Lending Holdings, Inc. investor protection violation2020SEC$250,000
Tierion, Inc. investor protection violation2020SEC$250,000
UAB Mid West Group investor protection violation2020WI-FIN$250,000
FTB Advisors, Inc. investor protection violation2016FINRA$250,000
World Trade Financial Corporation anti-money-laundering deficiencies2013FINRA$250,000
Securities America, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2011FINRA$250,000
City Securities Corporation investor protection violation2009FINRA$250,000
PNC InvestmentsPNC Financial Servicesfinancial servicesinvestor protection violation2009FINRA$250,000
Chase Investment Services Corp.JPMorgan Chasefinancial servicesinvestor protection violation2009FINRA$250,000
J.P. Turner & Company, LLC investor protection violation2008FINRA$250,000
BNY Mellon Capital Markets, LLCBank of New York Mellonfinancial servicesinvestor protection violation2008FINRA$250,000
WaMu Investments, Inc. investor protection violation2008FINRA$250,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2008FINRA$250,000
Wells Fargo Securities, LLCWells Fargofinancial servicesinvestor protection violation2007FINRA$250,000
HSBC BrokerageHSBCfinancial servicesinvestor protection violation2007FINRA$250,000
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2006FINRA$250,000
RBC Dain Rauscher Inc.Royal Bank of Canadafinancial servicesinvestor protection violation2006FINRA$250,000
Royal Alliance Associates, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2006FINRA$250,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2006FINRA$250,000
Scottrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2005FINRA$250,000
Chase Investment Services Corp.JPMorgan Chasefinancial servicesinvestor protection violation2004FINRA$250,000
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2004FINRA$250,000
MML Investor Services, Inc.Massachusetts Mutual Life Insurancefinancial servicesinvestor protection violation2004FINRA$250,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2004FINRA$250,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2004FINRA$250,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2004FINRA$250,000
Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2004FINRA$250,000
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2004FINRA$250,000
U.S. Bancorp Piper JaffrayPiper Sandlerfinancial servicesinvestor protection violation2002FINRA$250,000
NDB Capital Markets LP investor protection violation2001FINRA$250,000
All-Tech Direct, Inc. investor protection violation2001FINRA$250,000
Janney Montgomery Scott, LLCPenn Mutualfinancial servicesinvestor protection violation2020CT-SEC$250,000
FCG Advisors, LLC investor protection violation2021NJ-AG$250,000
Cambridge Investment Research Inc. and Cambridge Investment Research Advisors Inc. investor protection violation2021SEC$250,000
Paycom Software, Inc.Paycom Softwareinformation technologyinvestor protection violation2021SEC$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.