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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
Seacoast Investor Services, Inc. investor protection violation2012FL-OFR$180,300
Velocity Futures, LLC investor protection violation2011CFTC$180,000
Dearborn Trading, Inc. investor protection violation2011CFTC$180,000
First Tennessee Bank National AssociationFirst Horizon Nationalfinancial servicesbanking violation2005OCC$180,000
NeuStar IncTransUnionmiscellaneous servicesinvestor protection violation2016SEC$180,000
Leland Energy, Inc. investor protection violation2013ID-SEC$180,000
Wealth Management and Marketing LLC investor protection violation2010MD-SEC$180,000
Super Micro Computers, Inc.Super Micro Computer Inc.electrical and electronic equipmenteconomic sanction violation2006OFAC$179,327
Guardians Trustee, LLC investor protection violation2018SEC$179,253
Morgan Wilshire Securities, Inc. investor protection violation2020SEC$179,017
American Life Insurance CompanyMetLifefinancial serviceseconomic sanction violation2024OFAC$178,421
Legacy Financial Network and Retirement Services, Inc. investor protection violation2019WI-FIN$177,937
JW Korth & Company L.P. investor protection violation2021SEC$176,533
Johnson Estate Planning Service, Inc. investor protection violation2004AZ-CC$176,500
Graham, Bordelon and Golson & Gilbert, Inc. investor protection violation2020SEC$176,399
Commerzbank AGCommerzbankfinancial serviceseconomic sanction violation2011OFAC$175,500
ICON Investment Group LLC et al. investor protection violation2023ND-SEC$175,356
Mizuho Securities USA Inc.Mizuho Financialfinancial servicesinvestor protection violation2013CFTC$175,000
KeyBanc Capital Markets Inc.KeyCorpfinancial servicesaccounting fraud or deficiencies2016SEC$175,000
Modern Portfolio Management Inc. investor protection violation2013SEC$175,000
Drake Asset Management LLC investor protection violation2011SEC$175,000
Gage's Fertilizer & Grain, Inc. investor protection violation2010CFTC$175,000
Sempra Energy Trading LLCSempra Energyutilities and power generationinvestor protection violation2008CFTC$175,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2007CFTC$175,000
Peoples National Bank banking violation2003OCC$175,000
World Financial & Investment Co., Inc. investor protection violation2001SEC$175,000
G Asset Management, LLC investor protection violation2015SEC$175,000
First National Community Bancorp Inc investor protection violation2015SEC$175,000
Gintel Asset Management, Inc. and Gintel & Co. LLC investor protection violation2002SEC$175,000
Sterling Global Strategies LLC investor protection violation2018SEC$175,000
Intergrain S.A. investor protection violation2019CFTC$175,000
River City Bank banking violation2013FDIC$175,000
MIZRAHI TEFAHOT BANK, LTD.Bank Mizrahi-Tefahotfinancial servicesbanking violation2011FDIC$175,000
International Currency Management, LLC investor protection violation2000ID-SEC$175,000
Trinity Temporaries & Business Services investor protection violation2014MD-SEC$175,000
Ballentine Partners LLC investor protection violation2012NH-BSR$175,000
Addison Capital Co. investor protection violation2016PA-BKG$175,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2018RI-FIN$175,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2016SC-SEC$175,000
WFG Investments Inc. investor protection violation2015TX-SEC$175,000
California Pacific Bank banking violation2020FDIC$175,000
First Midstate Inc. investor protection violation2020SEC$175,000
India Globalization Capital, Inc. investor protection violation2020SEC$175,000
LaSalle St. Securities, LLC investor protection violation2015FINRA$175,000
National Securities Corporation investor protection violation2011FINRA$175,000
Centaurus Financial, Inc. investor protection violation2009FINRA$175,000
Putnam Retail Management Limited PartnershipFranklin Resourcesfinancial servicesinvestor protection violation2007FINRA$175,000
Schonfeld & Company LLC investor protection violation2006FINRA$175,000
Nationwide Investment Services Corporation investor protection violation2004FINRA$175,000
Altegris Investments, Inc. investor protection violation2003FINRA$175,000
Worldco, LLC investor protection violation2002FINRA$175,000
Amaggi Exportacao e Importacao Ltda. investor protection violation2021CFTC$175,000
Voxeljet AG investor protection violation2022SEC$175,000
Exela Technologies, Inc. investor protection violation2022SEC$175,000
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2022WA-SEC$175,000
Elm Partners Management LLC investor protection violation2023SEC$175,000
Smythe LLP accounting fraud or deficiencies2023PCAOB$175,000
Global Predictions Inc. investor protection violation2024SEC$175,000
C-Bond Systems, Inc. investor protection violation2024SEC$175,000
Universal Navigation Inc. d/b/a Uniswap Labs investor protection violation2024CFTC$175,000
Bulltick Wealth Management, LLC investor protection violation2024SEC$175,000
Underdog Sports Holdings investor protection violation2024SEC$175,000
Atlas Financial Advisors, Inc investor protection violation2024SEC$175,000
Ocean International Marketing, Ltd et al. investor protection violation2003AZ-CC$174,689
B.B. Financial Services Group, Inc. investor protection violation2004AZ-CC$174,050
Canterbury Consulting, Inc. investor protection violation2017SEC$172,986
FirstBank banking violation2021FDIC$172,500
Waddell & Reed, Inc.Macquariefinancial servicesinvestor protection violation2006MO-SEC$172,161
Bancorp Bank banking violation2012FDIC$172,000
The Bancorp Bank banking violation2012FDIC$172,000
Apex Fund Services (US), Inc. investor protection violation2016SEC$171,836
Dresser-Rand Group, Inc.Siemens Energyutilities and power generationeconomic sanction violation2006OFAC$171,305
CUMBERLAND MANAGEMENT GROUP investor protection violation2004VA-SEC$170,750
Allianz Global Risks U.S. Insurance CompanAllianzfinancial serviceseconomic sanction violation2019OFAC$170,535
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2009MO-SEC$170,175
Maxwell Wealth Planning, Inc. investor protection violation2018CO-SEC$170,000
GlobalOne Financial, Inc. investor protection violation2014FL-OFR$170,000
LIFE PARTNERS, INC. investor protection violation2010VA-SEC$170,000
Brand Maxer, LLC investor protection violation2022FL-OFR$170,000
Ace FX Partners LLC investor protection violation2024NJ-BOS$170,000
Cutwater Spirits, LLC tax violations2023ATTTB$169,850
Chiron Corporation LtdNovartispharmaceuticalseconomic sanction violation2004OFAC$168,500
Legend Securities, Inc investor protection violation2017NH-BSR$167,950
Retirement Planning Center investor protection violation2005AZ-CC$167,944
Northern Trust Hedge Fund Services LLCNorthern Trustfinancial servicesinvestor protection violation2020SEC$167,629
U.S. Gas & Electric, Inc. investor protection violation2006SEC$167,000
Herget Group, LLC investor protection violation2015WI-FIN$166,400
DrHorsepower, Inc. investor protection violation2018AZ-CC$166,149
Beacon Investment Management LLC investor protection violation2019SEC$165,848
Tri-County Finance Co., Inc. investor protection violation2010IN-SEC$165,140
Community State Bank banking violation2013DOJ_RIGHTS$165,000
New York REIT, Inc. and New York Recovery Advisors, LLC investor protection violation2017SEC$165,000
Channel Investments et al. investor protection violation2011CA-DFPI$165,000
eFox.net, Inc. investor protection violation2004MD-SEC$165,000
Fagenson & Co., Inc. investor protection violation2010FINRA$165,000
Supama International DMCC investor protection violation2008CFTC$164,680
Bank of Louisiana banking violation2017FDIC$164,511
PSL Energy Services economic sanction violation2007OFAC$164,006
TrustToken Inc. investor protection violation2024SEC$163,766
PNC Investments LLCPNC Financial Servicesfinancial servicesinvestor protection violation2024DC-DISB$163,580
First Options of Chicago, Inc. investor protection violation2000CFTC$163,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.