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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
Paycom Software, Inc.Paycom Softwareinformation technologyinvestor protection violation2021SEC$250,000
Herbert J. Sims & Co., Inc. investor protection violation2021SEC$250,000
Premier Global Corp. investor protection violation2022OK-SEC$250,000
Spartan Securities Group, LTD investor protection violation2022SEC$250,000
bZeroX, LLC investor protection violation2022CFTC$250,000
Midway Wholesalers, Inc. tax violations2022ATTTB$250,000
Coinme Inc. investor protection violation2023SEC$250,000
Co-Diagnostics, Inc. investor protection violation2023SEC$250,000
Opyn, Inc. investor protection violation2023CFTC$250,000
Fundrise Advisors, LLC investor protection violation2023SEC$250,000
Bruderman Asset Management LLC investor protection violation2023SEC$250,000
LPL Financial, LLCLPL Financialfinancial servicesinvestor protection violation2023MA-SEC$250,000
California Business Bank banking violation2023CA-DFPI$250,000
Purshe Kaplan Sterling Investments, Inc. investor protection violation2024MA-SEC$250,000
Texas G & S Investments, Inc. dba Texas Money Exchange anti-money-laundering deficiencies2024TX-FIN$250,000
ABC Rifle Company tax violations2024ATTTB$250,000
HR Ratings de Mexico, S.A. de C.V. investor protection violation2024SEC$250,000
PFM Financial Advisors LL investor protection violation2024SEC$250,000
Specialized Public Finance Inc. investor protection violation2024SEC$250,000
Closed Loop Partners, LLC investor protection violation2024SEC$250,000
Wahed Invest, LLC investor protection violation2024SEC$250,000
MVP Manager LLC investor protection violation2019SEC$249,739
USA Financial Securities Corporation investor protection violation2021SEC$249,455
Deloitte & Touche South AfricaDeloittebusiness servicesaccounting fraud or deficiencies2012SEC$247,043
COES FX Clearing, Inc. investor protection violation2006CFTC$246,601
Magdalena Homes, L.L.C. and Rotall Marketing Group L.L.C. and Todd Robert Homes, Inc. investor protection violation2014AZ-CC$245,100
Northwest Advisors, Inc. investor protection violation2021SEC$245,000
Folger Nolan Fleming Douglas Capital Management, Inc. investor protection violation2007SEC$244,921
Skin Appeal Day Spa, Inc. investor protection violation2010VA-SEC$244,100
Crews & Associates Inc. investor protection violation2021SEC$244,072
Five Star Tree Service and Landscapes, LLC investor protection violation2010AZ-CC$243,691
Africa Gemstone Corporation investor protection violation2003SEC$242,840
Big Country AGS, Inc. d/b/a AGS, Inc. investor protection violation2002SEC$242,840
Hylton Enterprises, Inc. et al. investor protection violation2002AZ-CC$242,554
Harbour Investments, Inc. investor protection violation2018SEC$241,479
KPMGKPMGbusiness servicesaccounting fraud or deficiencies2018SEC$241,305
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2019SEC$241,227
Leucadia National CorporationJefferies Financial Groupdiversifiedinvestor protection violation2015DOJ_ANTITRUST$240,000
Siebert Brandford Shank & Co., LLC investor protection violation2015SEC$240,000
LBMZ Securities, Inc. investor protection violation2017SEC$240,000
Idaho Big Sky Telecom investor protection violation2005ID-SEC$240,000
The Energy Group, Inc. investor protection violation2009IN-SEC$240,000
Buchert Ridge Community, Inc. investor protection violation2022PA-BKG$240,000
Vybe Nation International Entertainment Group, LLC investor protection violation2022FL-OFR$240,000
Nationwide Planning Associates, Inc. et al. investor protection violation2024SEC$240,000
Heartland Resources, Inc. investor protection violation2009IL-SEC$239,780
Grand Oak Enterprises, LLC investor protection violation2021AZ-CC$239,000
Rockwood Investment Management investor protection violation2014SEC$237,988
Rock and Roll Cycles, LLC and Cycle For Life, Inc. investor protection violation2020SEC$236,314
Salomon Whitney LLC investor protection violation2023SEC$236,173
The Boston Beer CompanyBoston Beer Co.beveragestax violations2009ATTTB$236,160
InnoVest Club, Inc. and WHYremote, Inc. investor protection violation2018MO-SEC$236,050
Phillips Investment & Trust LLC and Corporate I Communications & Technology Inc. investor protection violation2015CFTC$234,500
Vibo Corporation dba General Tobacco tax violations2010ATTTB$234,415
Marco Investment Management, LLC investor protection violation2016SEC$232,345
Wesley Capital Management, LLC investor protection violation2012SEC$232,289
Glenridge Capital investor protection violation2018MO-SEC$232,189
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherfinancial servicesinvestor protection violation2007MO-SEC$230,469
Saxony Capital Management LLC investor protection violation2019SEC$230,220
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2016SEC$230,000
Ameriprise Financial ServicesAmeriprise Financialfinancial servicesinvestor protection violation2018SEC$230,000
Black Platinum Holdings, LLC and GSI Global, Inc. investor protection violation2018AZ-CC$230,000
Vespers, LLC investor protection violation2012HI-SEC$230,000
Pennichuck Corporation investor protection violation2004NH-BSR$230,000
Interactive Brokers, L.L.C.Interactive Brokers Groupfinancial servicesinvestor protection violation2002FINRA$230,000
Sumitomo Mitsui Banking CorporationSumitomo Mitsui Financial Groupfinancial serviceseconomic sanction violation2010OFAC$229,380
Legend Capital Group, Inc. investor protection violation2024AZ-CC$229,241
Knuckleball Capital Management, LLC investor protection violation2009AZ-CC$229,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2006ND-SEC$229,000
Avenir Financial Group investor protection violation2016FINRA$229,000
World Group Securities, Inc.Aegonfinancial servicesinvestor protection violation2006MO-SEC$228,600
Dynamic Intelligence, Inc. investor protection violation2018SEC$228,552
Acteon Group Ltd. economic sanction violation2019OFAC$227,500
Estate Protection Consultants, L.L.C. investor protection violation2007AZ-CC$226,891
Princor Financial Services Corp. investor protection violation2009MO-SEC$226,700
JPMorgan ChaseJPMorgan Chasefinancial servicesinvestor protection violation2016CFTC$225,000
E. & J. Gallo WineryE. & J. Gallo Winerybeveragestax violations2011ATTTB$225,000
H.D. Vest Investment Securities investor protection violation2015SEC$225,000
Equitas Capital Advisers LLC investor protection violation2013SEC$225,000
PACCARPaccarmotor vehiclesaccounting fraud or deficiencies2013SEC$225,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2013CFTC$225,000
Glazer's Distributors of Illinois, Inc.Southern Glazer's Wine & Spiritswholesalerstax violations2008ATTTB$225,000
United Liquors, Ltd. tax violations2008ATTTB$225,000
Southern Wine & Spirits of Illinois, Inc.Southern Glazer's Wine & Spiritswholesalerstax violations2008ATTTB$225,000
IGI, Inc economic sanction violation2003OFAC$225,000
Huafu HK Co. Ltd. investor protection violation2017CFTC$225,000
Cambridge Investment Research Advisors, Inc. investor protection violation2016SEC$225,000
JH Partners, LLC investor protection violation2015SEC$225,000
Highland Capital Management, L.P. investor protection violation2014SEC$225,000
SEI Investments Global Funds Services investor protection violation2018SEC$225,000
Goldman Sachs Execution & Clearing, L.P.Goldman Sachsfinancial servicesinvestor protection violation2010SEC$225,000
Ohserase Manufacturing LLC tax violations2018ATTTB$225,000
Pinnacle Aircraft Parts, Inc. economic sanction violation2010OFAC$225,000
Morgan Stanley Smith Barney, LLCMorgan Stanleyfinancial servicesinvestor protection violation2019SEC$225,000
PowerWater Systems, Inc. investor protection violation2013CT-SEC$225,000
StockCross Financial Services, Inc. investor protection violation2019MA-SEC$225,000
Strategic Planning Group, Inc. investor protection violation2019MA-SEC$225,000
AmSouth Investment Services, Inc.Regions Financialfinancial servicesinvestor protection violation2004MS-SEC$225,000
Brookshire Securities Corp. investor protection violation2009MS-SEC$225,000
AmSouth Investment Services Inc.Regions Financialfinancial servicesinvestor protection violation2004MULTI-FIN$225,000
Zions Direct, Inc.Zions Bancorporationfinancial servicesinvestor protection violation2010FINRA$225,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.