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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
Marion Bass Securities Corp. investor protection violation2000SEC$150,000
Daimler Trucks North AmericaDaimler Truck AGmotor vehiclesaccounting fraud or deficiencies2009OR-AG$150,000
Korea Exchange, Inc. investor protection violation2019CFTC$150,000
Tate Ford Lincoln Mercury, Inc. dba Tate Auto Center accounting fraud or deficiencies2000AZ-AG$150,000
S.J. Shrubsole Corp. tax violations2003NY-MANDA$150,000
Cannell Capital, LLC investor protection violation2020SEC$150,000
Horizon Partners, L.L.C. investor protection violation2013AZ-CC$150,000
Dorothy of Oz, LLC dba Box Office Productions III, LLC investor protection violation2011CA-DFPI$150,000
Walton Financial, LLC investor protection violation2017CO-SEC$150,000
High Trust Financial and Consulting, Inc. investor protection violation2017CO-SEC$150,000
4 L.I.F.E., Inc. investor protection violation2008CT-SEC$150,000
Omni View Capital LLC investor protection violation2017CT-SEC$150,000
Changes Worldwide, LLC investor protection violation2017FL-OFR$150,000
Impact, Inc. et al. investor protection violation2007ID-SEC$150,000
ITradeDirect.com Corp. investor protection violation2010IL-SEC$150,000
GunnAllen Financial, Inc. investor protection violation2008IN-SEC$150,000
Securities America Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2013MA-SEC$150,000
Next Financial Group, Inc.Atria Wealth Solutionsfinancial servicesinvestor protection violation2019MA-SEC$150,000
Universal Financial Group investor protection violation2005MD-SEC$150,000
Rosewood Energy, LLC investor protection violation2007MD-SEC$150,000
WFB Management Group, LLC investor protection violation2017MO-SEC$150,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2008MS-SEC$150,000
Montana Hedge Partners, LP investor protection violation2005MT-FIN$150,000
Ryan Beck & Co. and Ryan Beck Life Agency, Inc. investor protection violation2006MT-FIN$150,000
Concord Equity Group Advisors investor protection violation2008MT-FIN$150,000
Fortune Hi-Tech Marketing, Inc. investor protection violation2010MT-FIN$150,000
Constellation Wealth Advisors LLC investor protection violation2011MT-FIN$150,000
I2U Inc. investor protection violation2006ND-SEC$150,000
Questar Capital Corporation investor protection violation2017ND-SEC$150,000
Rydex Distributors, Inc. investor protection violation2018NH-BSR$150,000
REI Exchange LLC and TMG Ventures Inc. investor protection violation2009OR-FIN$150,000
LendingClub CorporationLendingClub Corp.financial servicesinvestor protection violation2015SC-SEC$150,000
The Reserve Fund investor protection violation2000TX-SEC$150,000
BEYOND JUICE, INC. investor protection violation2008VA-SEC$150,000
Surety Services LLC investor protection violation2013VT-FIN$150,000
Plutus Financial, Inc. d/b/a Abra investor protection violation2020CFTC$150,000
MAC Business Services, Ltd. and BTB Investments, LLC investor protection violation2020PA-BKG$150,000
Plutus Technologies Philippines Corp. investor protection violation2020SEC$150,000
Janney Montgomery Scott, LLCPenn Mutualfinancial servicesinvestor protection violation2020CT-BKG$150,000
Financial Planning Advisors LLC investor protection violation2020NJ-BOS$150,000
Stephens Inc. investor protection violation2015FINRA$150,000
First Midwest Securities, Inc. investor protection violation2011FINRA$150,000
Fifth Third Securities, Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2009FINRA$150,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2009FINRA$150,000
M&I Financial Advisors, Inc. investor protection violation2009FINRA$150,000
Multi-Financial Securities Corporation investor protection violation2009FINRA$150,000
Harris Investor Services, Inc. investor protection violation2008FINRA$150,000
Bear, Stearns & Co., Inc.JPMorgan Chasefinancial servicesinvestor protection violation2008FINRA$150,000
BMO Capital Markets Corp.Bank of Montrealfinancial servicesinvestor protection violation2008FINRA$150,000
Cowen and Company, LLCToronto-Dominion Bankfinancial servicesinvestor protection violation2008FINRA$150,000
Deutsche Bank Securities, Inc.,Deutsche Bankfinancial servicesinvestor protection violation2008FINRA$150,000
Leerink Swann & Company, Inc. investor protection violation2008FINRA$150,000
RBC Capital Markets Corp.Royal Bank of Canadafinancial servicesinvestor protection violation2008FINRA$150,000
Green Street Advisors investor protection violation2005FINRA$150,000
J.P. Morgan Securities, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2005FINRA$150,000
Allstate Financial Services LLCAllstatefinancial servicesinvestor protection violation2004FINRA$150,000
RBC Dain Rauscher, Inc.Royal Bank of Canadafinancial servicesinvestor protection violation2004FINRA$150,000
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2004FINRA$150,000
World Group Securities, Inc.Aegonfinancial servicesinvestor protection violation2004FINRA$150,000
D.A. Davidson & Co. investor protection violation2004FINRA$150,000
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankfinancial servicesinvestor protection violation2004FINRA$150,000
Wells Investment Securities, Inc. investor protection violation2003FINRA$150,000
Legacy Advisory Group, Inc. and LWM Income Fund, LLC and LWM Equity Fund, L.P. investor protection violation2021PA-BKG$150,000
Andiamo Corporation investor protection violation2021SEC$150,000
Hamilton Investment Counsel, LLC investor protection violation2022SEC$150,000
Janus Henderson Investors US LLCJanus Hendersonfinancial servicesinvestor protection violation2022SEC$150,000
Toews Corporation investor protection violation2022SEC$150,000
KPMG LLP (Canada)KPMGbusiness servicesaccounting fraud or deficiencies2022PCAOB$150,000
Spielman Koenigsberg & Parker, LLP accounting fraud or deficiencies2022PCAOB$150,000
Standard Oil Company, Inc. investor protection violation2022SEC$150,000
In Ovations Holdings, Inc. investor protection violation2022SEC$150,000
DARMA, LLC investor protection violation2023CFTC$150,000
Seaview Global Advisors LLC investor protection violation2023NJ-BOS$150,000
Challenger Life Company Limited investor protection violation2023CFTC$150,000
RAM Associates & Company LLC accounting fraud or deficiencies2023PCAOB$150,000
AJ Robbins CPA, LLC accounting fraud or deficiencies2023PCAOB$150,000
Raymond James & Associates, Inc.Raymond James Financialfinancial servicesinvestor protection violation2023MO-SEC$150,000
Artemis Wealth Advisors, LLC investor protection violation2023SEC$150,000
Appomattox Advisory, Inc. investor protection violation2023SEC$150,000
Forepont Capital LLC investor protection violation2023SEC$150,000
Apexium Financial LP investor protection violation2023SEC$150,000
Highlander Capital Management, LLC investor protection violation2023SEC$150,000
Nest Egg Retirement Solutions Inc. and Estate Protection Planning Corp of New Jersey investor protection violation2023NJ-BOS$150,000
Financial Group Corp. investor protection violation2024NJ-BOS$150,000
Abacus Planning Group Inc. investor protection violation2024SEC$150,000
Masterworks Administrative Services, LLC investor protection violation2024TX-SEC$150,000
The Catalyst Capital Group Inc. investor protection violation2024SEC$150,000
Iron Horse Petroleum, Inc. investor protection violation2009AZ-CC$149,481
American International GroupAmerican International Groupfinancial serviceseconomic sanction violation2017OFAC$148,698
Trading Epic investor protection violation2019MO-SEC$148,335
GAWK Inc. investor protection violation2016MT-FIN$147,682
MCube Petroleum, Inc. et al. investor protection violation2007WA-FIN$147,505
Skytrace, Inc. investor protection violation2019AZ-CC$147,500
Ericsson, Inc. and Ericsson ABEricssontelecommunicationseconomic sanction violation2018OFAC$145,893
Edge Financial Technologies, LLC investor protection violation2020CFTC$145,200
Wealth Enhancement & Preservation, LLC investor protection violation2009AZ-CC$145,006
RIVER CITY BANK, INC. banking violation2011FDIC$145,000
FlowPoint Partners, LLC investor protection violation2024SEC$145,000
Covenant Financial Services, LLC investor protection violation2017SEC$144,845
Claritas Investments Ltd.Principal Financialfinancial servicesinvestor protection violation2013SEC$144,819
Prime Capital Services, Inc. investor protection violation2010SEC$144,262
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.