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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
J. P. Morgan Securities Inc.JPMorgan Chasefinancial servicesinvestor protection violation2000FINRA$200,000
Chime Financial, Inc. banking violation2021IL-BKG$200,000
KMS Financial Services Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2021SEC$200,000
KMS Financial Services, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2021SEC$200,000
Tandy Leather Factory Inc. accounting fraud or deficiencies2021SEC$200,000
Fx Trader Stock investor protection violation2021SC-INS$200,000
Schmaltz Brewing Company LLC tax violations2021ATTTB$200,000
Citrin Cooperman & Company, LLP accounting fraud or deficiencies2022PCAOB$200,000
True Link Financial Advisors, LLC investor protection violation2022SEC$200,000
KPMG Inc.KPMGbusiness servicesaccounting fraud or deficiencies2022PCAOB$200,000
SparkLabs Global Ventures Management LLC and SparkLabs Management, LLC investor protection violation2022SEC$200,000
Waddell & Reed, LLCMacquariefinancial servicesinvestor protection violation2022SEC$200,000
Asset Risk Management, LLC investor protection violation2022CFTC$200,000
Laidlaw & Company (UK) Ltd. investor protection violation2023CT-SEC$200,000
Womack Investment Advisers, Inc. investor protection violation2023OK-DCC$200,000
ZeroEx, Inc. investor protection violation2023CFTC$200,000
Womack Investment Advisers, Inc. investor protection violation2023OK-SEC$200,000
Warren Averett, LLC accounting fraud or deficiencies2023PCAOB$200,000
Simplex Trading, LLC investor protection violation2023SEC$200,000
SQN Capital Management, LLC investor protection violation2023SEC$200,000
Florence Capital Advisors, LLC investor protection violation2023SEC$200,000
Cumberland Pharmaceuticals Inc. investor protection violation2023SEC$200,000
Northwestern Mutual Investment Services, LLCNorthwestern Mutualfinancial servicesinvestor protection violation2023NH-BSR$200,000
Halperin Ilanit CPA accounting fraud or deficiencies2024PCAOB$200,000
Hudson Valley Wealth Management Inc. investor protection violation2024SEC$200,000
Taishin Securities Co., Ltd. investor protection violation2024CFTC$200,000
DraftKings Inc.DraftKings Inc.entertainmentinvestor protection violation2024SEC$200,000
FIG LLC dba Fortress Investment Group investor protection violation2024SEC$200,000
Adage Capital Management, L.P. investor protection violation2024SEC$200,000
Hamlin Capital Advisors, LLC investor protection violation2024SEC$200,000
Raines & Fischer LLP accounting fraud or deficiencies2024PCAOB$200,000
York Business Associates LLC d/b/a TransAct Futures investor protection violation2012CFTC$199,000
Alpha Pharmaceutical, Inc. economic sanction violation2004OFAC$198,711
J Squared LLC investor protection violation2021CFTC$198,555
PNC Capital Markets LLCPNC Financial Servicesfinancial servicesinvestor protection violation2022SEC$198,323
Summit Brokerage Services, Inc. investor protection violation2006MT-FIN$198,020
PV Wealth Advisors, LLC investor protection violation2022WI-FIN$197,944
Bok Financial Securities, Inc.BOK Financialfinancial servicesinvestor protection violation2019SEC$197,801
ADV, LLC and G2BIO, LLC investor protection violation2022PA-BKG$197,500
C.M.A.C International, Inc. investor protection violation2013CA-DFPI$195,993
Classic Asset Management LLC investor protection violation2023SEC$195,228
Grant County Deposit Bank banking violation2014FDIC$195,000
J.P. Turner & Company, L.L.C. investor protection violation2006NJ-AG$195,000
US Mega Corporation et al. investor protection violation2006MD-SEC$195,000
Infinite Equity Strategies, LLC investor protection violation2011MD-SEC$195,000
Everest Investment Advisors, Inc. investor protection violation2017MD-SEC$195,000
Bottle Tree Beverage Company, LLC tax violations2020ATTTB$195,000
Pipe Technologies Inc. investor protection violation2024SEC$195,000
McDonald Partners, LLC investor protection violation2021SEC$194,682
KrushWerks, LLC tax violations2024ATTTB$194,643
Western International Securities, Inc. investor protection violation2024SEC$194,468
Momentum Investment Partners LLC dba Avatar Investment Management investor protection violation2017SEC$193,676
The Federal Savings Bank banking violation2021OCC$193,106
Quantum Financial Network, LLC investor protection violation2022CFTC$192,894
Genesis E&P, Inc. investor protection violation2020SEC$192,768
Leviathan Financial Management Corp and 323 HOLDINGS LLC investor protection violation2023IN-SEC$192,400
W.J. Nolan & Co., Inc. investor protection violation2002SEC$192,028
W.J. Nolan & Co. investor protection violation2001SEC$192,028
Ellman International, Inc. economic sanction violation2013OFAC$191,700
BioElectronics, Corp. investor protection violation2018SEC$191,640
Halitron, Inc. investor protection violation2024SEC$191,024
Shelton Financial Group, Inc. investor protection violation2015SEC$190,066
SGS Importers, Inc. tax violations2009ATTTB$190,000
First Bank of Delaware banking violation2012FDIC$190,000
Royal Alliance Associates, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2019NH-BSR$190,000
Buchanan Capital LLC et al. investor protection violation2016PA-BKG$190,000
Meridian Mortgage Investors Fund V, LLC et al. investor protection violation2010WA-FIN$190,000
ICA Financial Services, LLC investor protection violation2022AZ-CC$190,000
LPL Financial, LLCLPL Financialfinancial servicesinvestor protection violation2023PA-BKG$190,000
AgEagle Aerial Systems Inc. investor protection violation2023SEC$190,000
NewTek, Inc. economic sanction violation2021OFAC$189,483
Mid-America Energy, Inc. investor protection violation2008KY-FIN$189,000
Verrazano Enterprises, Inc. tax violations2021NY-AG$189,000
Trinity Auto Body, Inc. tax violations2016NY-NCDA$188,199
First Financial Planners, Inc. investor protection violation2010IN-SEC$187,500
Choice Advisors, LLC investor protection violation2024SEC$187,337
Blazefly, Inc. investor protection violation2018IA-INS$186,968
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2012MT-FIN$186,439
Comerica Securities, Inc.Comericafinancial servicesinvestor protection violation2019SEC$186,377
TV Products, LLC fka US Loans Negotiation, LLC investor protection violation2013AZ-CC$185,734
Financial Management Strategies, Inc. investor protection violation2019SEC$185,083
Southern Estates Investments, LLC, dba Palmetto Moonshine tax violations2019ATTTB$185,000
Cetera Investment Advisers LLC investor protection violation2019SEC$185,000
Big Sky Motion Pictures, L.L.C. et al. investor protection violation2011CA-DFPI$185,000
Official Payments Corp. investor protection violation2015CA-DFPI$185,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2013MO-SEC$185,000
J.P. Turner & Company, LLC investor protection violation2004FINRA$185,000
Financial Network Investment Corp. investor protection violation2004FINRA$185,000
Lattice Semiconductor CorporationLattice Semiconductorelectrical and electronic equipmentinvestor protection violation2023SEC$185,000
The Parrish Group, LLC investor protection violation2019SEC$184,767
Public Resources Advisory Group Inc. investor protection violation2024SEC$184,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesbanking violation2017OCC$183,920
Essex Financial Services, Inc. investor protection violation2017SEC$183,181
Feltl & Company, Inc. investor protection violation2016SEC$183,128
Biltmore Wealth Management, LLC investor protection violation2018SEC$183,043
Travelocity.comExpedia Groupmiscellaneous serviceseconomic sanction violation2007OFAC$182,750
Founding Partners Capital Management Compan investor protection violation2007SEC$182,244
Sagent Wealth Management, LLC investor protection violation2017SEC$181,110
Palestra Capital Management LLC investor protection violation2017SEC$180,968
First National Bank of PennsylvaniaF.N.B. Corporationfinancial servicesbanking violation2015OCC$180,720
Seacoast Investor Services, Inc. investor protection violation2012FL-OFR$180,300
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.