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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
Nautilus Hyosung Holdings Inc. investor protection violation2011DOJ_ANTITRUST$200,000
Intercredit Bank, National Association banking violation2010OCC$200,000
B.A.K. Precious Metals, Inc. anti-money-laundering deficiencies2015FINCEN$200,000
Morgan Stanley Capital GroupMorgan Stanleyfinancial servicesinvestor protection violation2014CFTC$200,000
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2012CFTC$200,000
UBS SecuritiesUBSfinancial servicesinvestor protection violation2010CFTC$200,000
Brescome Barton, Inc. tax violations2015ATTTB$200,000
IEC Electronics Corp. accounting fraud or deficiencies2016SEC$200,000
Hampton Roads BanksharesAtlantic Union Banksharesfinancial servicesaccounting fraud or deficiencies2014SEC$200,000
Medifast Inc.Medifast Inc.miscellaneous servicesaccounting fraud or deficiencies2013SEC$200,000
LaBarge Inc. accounting fraud or deficiencies2011SEC$200,000
Hudson Highland Group accounting fraud or deficiencies2011SEC$200,000
INTL FCStone Markets, LLCStoneX Groupfinancial servicesinvestor protection violation2015CFTC$200,000
Global Futures & Forex, Ltd.StoneX Groupfinancial servicesinvestor protection violation2014CFTC$200,000
MB Trading Futures Inc. investor protection violation2013CFTC$200,000
McKenzie River Corporation tax violations2007ATTTB$200,000
Pharmco Products, Inc. tax violations2003ATTTB$200,000
Todhunter International, Inc. tax violations2002ATTTB$200,000
ADM Investor Services, Inc.Archer Daniels Midlandagribusinessinvestor protection violation2009CFTC$200,000
Linuxor Asset Management LLC investor protection violation2008CFTC$200,000
Shell International Trading and Shipping Co.Shell PLCoil and gasinvestor protection violation2006CFTC$200,000
Key Bank National AssociationKeyCorpfinancial serviceseconomic sanction violation2008OFAC$200,000
Eastern National Bank banking violation2008OCC$200,000
Galena Biopharma, Inc.SELLAS Life Sciences Grouppharmaceuticalsaccounting fraud or deficiencies2017SEC$200,000
Ikon Global Markets Inc. investor protection violation2017CFTC$200,000
Cherry Hill Construction Inc. tax violations2015USAO$200,000
Institutional Investor Advisers, Inc. investor protection violation2017SEC$200,000
Windsor Street Capital, L.P. fka Meyers Associates investor protection violation2017SEC$200,000
BB&T Securities, LLCTruist Financialfinancial servicesinvestor protection violation2016SEC$200,000
W.L. Lyons, LLC investor protection violation2016SEC$200,000
Ladenburg Thalmann Asset Management Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2016SEC$200,000
Banyan Partners, LLC investor protection violation2016SEC$200,000
Shamrock Asset Management LLC investor protection violation2016SEC$200,000
BB&T Securities, LLCTruist Financialfinancial servicesinvestor protection violation2015SEC$200,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyfinancial servicesinvestor protection violation2015SEC$200,000
Parallax Investments, LLC investor protection violation2015SEC$200,000
Gold Mountain Management, LLC investor protection violation2015SEC$200,000
New England Investment and Retirement Group, Inc. investor protection violation2012SEC$200,000
BTS Asset Management, Inc. investor protection violation2012SEC$200,000
Tilden Loucks & Woodnorth and LLC, Lasalle St. Securities, LLC investor protection violation2012SEC$200,000
World Group Securities, Inc.Aegonfinancial servicesinvestor protection violation2010SEC$200,000
Lockwood Advisors, Incorporated investor protection violation2018SEC$200,000
Aisling Capital LLC investor protection violation2018SEC$200,000
Crypto Asset Management LP investor protection violation2018SEC$200,000
Primoris Services CorporationPrimoris Servicesconstruction and engineeringinvestor protection violation2018SEC$200,000
Creative Planning, Inc. investor protection violation2018SEC$200,000
Crypto Asset Management, LP investor protection violation2018SEC$200,000
VSS Fund Management LLC investor protection violation2018SEC$200,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2007SEC$200,000
Credit Suisse First Boston, LLCUBSfinancial servicesinvestor protection violation2005SEC$200,000
ABN AMRO IncorporatedABN AMROfinancial servicesinvestor protection violation2001SEC$200,000
Oechsle International Advisors L.L.C. investor protection violation2001SEC$200,000
Grupo Simec S.A.B de C.V. accounting fraud or deficiencies2019SEC$200,000
Peoples Bank and Trust Company banking violation2019FDIC$200,000
Levine Leichtman Capital Partners investor protection violation2009NY-AG$200,000
TherapeuticsMD Inc. investor protection violation2019SEC$200,000
Vision Financial Markets LLC investor protection violation2019CFTC$200,000
World's Foremost BankBass Proretailingbanking violation2012FDIC$200,000
Zulutrade, Inc. economic sanction violation2014OFAC$200,000
Strategic Planning Group, Inc. investor protection violation2019SEC$200,000
Vandham Securities Corp. investor protection violation2019SEC$200,000
1Globe Capital, LLC investor protection violation2020SEC$200,000
Charter One Capital Holding, Inc. investor protection violation2006CT-SEC$200,000
HCH Cypress, LLC investor protection violation2007CT-SEC$200,000
First Financial LLC investor protection violation2013CT-SEC$200,000
PowerWater USA Ltd. investor protection violation2013CT-SEC$200,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2015DE-SEC$200,000
Allegheny Investments, Ltd. investor protection violation2007MD-SEC$200,000
ASM Financial Funding Corp. investor protection violation2008MD-SEC$200,000
Everest Wealth Management, Inc. investor protection violation2017MD-SEC$200,000
Ultra Global International, Inc. investor protection violation2016MO-SEC$200,000
Ameriplan USA Corp. investor protection violation2006MT-FIN$200,000
Whitestone Check Cashing Corp. anti-money-laundering deficiencies2003NY-DFS$200,000
MBS Clearing investor protection violation2010OR-FIN$200,000
Terra Firma Investments, Inc. investor protection violation2012OR-FIN$200,000
Ameritrade Inc.Charles Schwab Corp.financial servicesinvestor protection violation2007TX-SEC$200,000
First Western Capital Management Company investor protection violation2020SEC$200,000
Secure Money Advisors investor protection violation2020PA-BKG$200,000
Virtu ITG Canada Corp. investor protection violation2020SEC$200,000
Capital Financial Services investor protection violation2011FINRA$200,000
Scottrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2010FINRA$200,000
H&R Block Financial Advisors, Inc.H&R Blockfinancial servicesinvestor protection violation2010FINRA$200,000
Northwestern Mutual Investment Services, LLCNorthwestern Mutualfinancial servicesinvestor protection violation2009FINRA$200,000
M&T Securities, Inc.M&T Bankfinancial servicesinvestor protection violation2009FINRA$200,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2009FINRA$200,000
Broadpoint Capital, Inc. investor protection violation2008FINRA$200,000
CIBC World Markets Corp.Canadian Imperial Bank of Commercefinancial servicesinvestor protection violation2008FINRA$200,000
Lehman Brothers, Inc. investor protection violation2008FINRA$200,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2008FINRA$200,000
Needham & Company, LLC investor protection violation2008FINRA$200,000
Robert W. Baird & Co., Inc. investor protection violation2008FINRA$200,000
Thomas Weisel Partners, LLCStifel Financialfinancial servicesinvestor protection violation2008FINRA$200,000
UBS Securities, LLCUBSfinancial servicesinvestor protection violation2008FINRA$200,000
EKN Financial Services Inc. investor protection violation2006FINRA$200,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2006FINRA$200,000
LaSalle Street Securities, Inc. investor protection violation2006FINRA$200,000
Banc of America Investment Services Inc.Bank of Americafinancial servicesinvestor protection violation2004FINRA$200,000
ING Financial Partners, Inc.Voya Financialfinancial servicesinvestor protection violation2004FINRA$200,000
New England SecuritiesMetLifefinancial servicesinvestor protection violation2004FINRA$200,000
Morgan Stanley & Co. Inc.Morgan Stanleyfinancial servicesinvestor protection violation2000FINRA$200,000
J. P. Morgan Securities Inc.JPMorgan Chasefinancial servicesinvestor protection violation2000FINRA$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.