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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
Zions Direct, Inc.Zions Bancorporationfinancial servicesinvestor protection violation2010FINRA$225,000
Leonard & Co. investor protection violation2009FINRA$225,000
Banc One Securities CorporationJPMorgan Chasefinancial servicesinvestor protection violation2008FINRA$225,000
Credit Suisse Securities (USA), LLCUBSfinancial servicesinvestor protection violation2006FINRA$225,000
Trillium Trading LLC investor protection violation2006FINRA$225,000
Stifel, Nicolaus & Company, Inc.Stifel Financialfinancial servicesinvestor protection violation2001FINRA$225,000
HBS Properties, LLC investor protection violation2021TN-SEC$225,000
Doll Distributing LLC tax violations2022ATTTB$225,000
Disruptive Technology Advisers LLC investor protection violation2023SEC$225,000
Delphia (USA) Inc. investor protection violation2024SEC$225,000
Galois Capital Management LLC investor protection violation2024SEC$225,000
Essex Woodlands Management, Inc. investor protection violation2024SEC$225,000
Azzad Asset Management, Inc. investor protection violation2024SEC$225,000
Financial Synergies Wealth Advisors, Inc. investor protection violation2024SEC$225,000
Traphagen Investment Advisors, LLC investor protection violation2024SEC$225,000
Acreage Holdings, Inc. investor protection violation2025SEC$225,000
Bolton Securities Corporation investor protection violation2021SEC$224,994
Ontario Teachers' Pension Plan Board investor protection violation2013SEC$224,835
Nebulous, Inc. investor protection violation2019SEC$224,601
Belmont Partners LLC accounting fraud or deficiencies2014SEC$224,500
Cannon Operating Company, LLC investor protection violation2019IN-SEC$223,664
Key Investment Services, LLC investor protection violation2024SEC$223,228
Eagle Market Makers Inc. investor protection violation2012CFTC$223,000
Genesis Holding Group, LLC investor protection violation2013IN-SEC$223,000
Hotelbeds USA, Inc. economic sanction violation2019OFAC$222,705
Students of Strength, Inc. investor protection violation2021SEC$222,517
One World Enterprises, Inc. investor protection violation2007IN-SEC$222,500
First Southwest Company, LLC investor protection violation2016SEC$222,400
Warrior Fund LLC investor protection violation2010SEC$221,384
Becker, Jackson & Reed, LLC et al. investor protection violation2019MO-SEC$221,195
GLB Trading, Inc. investor protection violation2009SEC$220,670
Hastings State Bank banking violation2012FDIC$220,000
Hutchinson, Shockey, Erley & Co.Huntington Bancsharesfinancial servicesinvestor protection violation2015SEC$220,000
Newedge USA, LLC investor protection violation2011CFTC$220,000
Pernod-Ricard USA, Inc.Pernod Ricardbeveragestax violations2006ATTTB$220,000
LogicaCMG Inc. economic sanction violation2007OFAC$220,000
Northland Securities, Inc. investor protection violation2015SEC$220,000
Ross, Sinclaire & Associates, LLC investor protection violation2015SEC$220,000
HCR Wealth Advisors investor protection violation2019SEC$220,000
The McCall Business Group, LLC dba MBG Private Trading investor protection violation2007CT-SEC$220,000
McGrath Hotels, LLC and The Lighthouse Group of Connecticut, LLC investor protection violation2009IN-SEC$220,000
Bolton Total Wealth Management and Spirited Funds, LLC investor protection violation2019KY-FIN$220,000
Bank Watch investor protection violation2010OR-FIN$220,000
ABN AMRO IncorporatedABN AMROfinancial servicesinvestor protection violation2005FINRA$220,000
Philadelphia Financial Management of San Francisco investor protection violation2013SEC$219,443
Retirement Investment Advisors, Inc. and Research Holdings, LLC investor protection violation2015SEC$219,243
Critical Trading, LLC investor protection violation2019SEC$219,092
Green Company Landscape & Irrigation, Inc. tax violations2013MA-AG$219,000
Acceleration Capital, LLC investor protection violation2007CFTC$218,000
Citigroup Inc.Citigroupfinancial serviceseconomic sanction violation2014OFAC$217,841
Hallmark Venture Group, Inc. investor protection violation2015IN-SEC$217,000
UniControl, Inc. economic sanction violation2021OFAC$216,464
Mack Financial Group, LLC investor protection violation2011AZ-CC$215,902
TF6 Advisors, LLC and Pacific Ventures & Trading LLC investor protection violation2013AZ-CC$215,887
Bull Run Advantage, LLC investor protection violation2023CFTC$215,719
Victoire Finance Capital LLC investor protection violation2008SEC$215,631
American General Securities Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2010MS-SEC$215,000
Oppenheimer & Co.Oppenheimer Holdingsfinancial servicesinvestor protection violation2015NM-SEC$215,000
American General Securities IncorporatedReverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2010MULTI-FIN$215,000
HITE Hedge Asset Management LLC et al. investor protection violation2023SEC$214,591
Trust Advisory Group, Ltd. investor protection violation2022SEC$214,460
Great Plains Stainless Co. economic sanction violation2015OFAC$214,000
Equity Services, Inc. investor protection violation2011FINRA$214,000
Acteon Group Ltd. economic sanction violation2019OFAC$213,866
LYFE, S.A. anti-money-laundering deficiencies2023CFTC$212,014
Stifel, Nicolaus & Company, Inc.Stifel Financialfinancial servicesinvestor protection violation2010MO-SEC$211,617
MFB Investments, LLC investor protection violation2018WI-FIN$211,539
Pioneer Trust Corp. investor protection violation2010IN-SEC$211,415
Temperance Distilling Company tax violations2017ATTTB$211,259
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesinvestor protection violation2024AZ-CC$211,168
Janney Montgomery Scott, Inc.Penn Mutualfinancial servicesinvestor protection violation2001DE-SEC$210,909
Apollo Aviation Group, LLC economic sanction violation2019OFAC$210,600
Early Detection Centers Inc. and Johnathon Roberts, Inc. investor protection violation2001AZ-CC$210,000
Morgan Stanley & Co. Inc.Morgan Stanleyfinancial servicesinvestor protection violation2012IN-SEC$210,000
RYO Cigarettes of Nevada Inc. DBA Double D's Tobacco Emporium tax violations2021ATTTB$210,000
Tiber Creek Corp. investor protection violation2019SEC$209,797
Galaxy Financial Services, Inc et al. investor protection violation2003ID-SEC$209,000
Guggenheim Securities, LLC investor protection violation2021SEC$208,912
The Huntington Investment Company investor protection violation2019SEC$207,946
Outset Global LLP investor protection violation2019SEC$207,409
PNC Bank, National AssociationPNC Financial Servicesfinancial servicesbanking violation2018OCC$207,245
Alexander Capital, L.P. investor protection violation2018MT-FIN$206,339
DaVinci Payments economic sanction violation2023OFAC$206,213
High Powered Promotions, LLC et al. investor protection violation2017KY-FIN$206,000
Boenning & Scattergood, Inc. investor protection violation2020SEC$205,567
Intervest International, Inc. investor protection violation2021SEC$205,277
DECKER EQUITIES, LP investor protection violation2008VA-SEC$205,000
WELLS FARGO ADVISORSWells Fargofinancial servicesinvestor protection violation2015VA-SEC$205,000
YOFRESH YOGURTS FRANCHISING, INC. investor protection violation2016VA-SEC$205,000
Buckman, Buckman & Reid, Inc. investor protection violation2019FINRA$205,000
EcoGreen Industries, LLC tax violations2024ATTTB$205,000
SogoTrade, Inc. investor protection violation2023FINRA$204,767
American ExpressAmerican Expressfinancial serviceseconomic sanction violation2017OFAC$204,277
Howarth Financial Services, LLC investor protection violation2017SEC$203,444
Capitol Securities Management, Inc. investor protection violation2020SEC$203,414
Feltl & Company, Inc. investor protection violation2011SEC$203,172
First Western Advisors investor protection violation2018SEC$202,767
Blotics Ltd investor protection violation2021SEC$201,687
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2004FINRA$200,666
Goldview Capital Management LP and Goldview Investment Group LLC investor protection violation2017MN-FIN$200,025
Nautilus Hyosung Holdings Inc. investor protection violation2011DOJ_ANTITRUST$200,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.