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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
Prime Capital Services, Inc. investor protection violation2010SEC$144,262
Advent Capital Management investor protection violation2014SEC$144,128
Little Miss Whiskey's Golden Dollar and Jimmy Valentine's Lonely Hearts Club tax violations2023DC-AG$144,001
Specialty Blends, Inc. tax violations2011ATTTB$144,000
Morrow Capital LLC and More Solar LLC investor protection violation2022WI-FIN$144,000
Jefferies LLCJefferies Financial Groupdiversifiedinvestor protection violation2022SEC$143,215
Connecticut Foreclosure Division Corp. investor protection violation2013CT-SEC$143,000
Midwood Capital Management investor protection violation2014SEC$142,947
PHX Financial, Inc. investor protection violation2015MT-FIN$142,488
Grand Teton Capital Management, LLC? investor protection violation2018SEC$141,443
Newmont CorporationNewmont Corporationmining and mineralseconomic sanction violation2022OFAC$141,442
WATG Holdings, Inc. economic sanction violation2016OFAC$140,400
BNP Paribas SecuritiesBNP Paribasfinancial servicesinvestor protection violation2015CFTC$140,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2012CFTC$140,000
First United Bank banking violation2015DOJ_RIGHTS$140,000
Otkritie Capital International, Ltd. investor protection violation2016CFTC$140,000
Pure Reason LLC investor protection violation2015CFTC$140,000
FCStone, LLCStoneX Groupfinancial servicesinvestor protection violation2015CFTC$140,000
Summit Energy Services Inc.Schneider Electricelectrical and electronic equipmentinvestor protection violation2015CFTC$140,000
Vision Financial Markets LLC investor protection violation2013CFTC$140,000
Lincolnshire Trading Partners, LLC investor protection violation2013CFTC$140,000
Blue Sky Capital Management Corp. investor protection violation2012CFTC$140,000
LMC Asset Management, Inc. investor protection violation2012CFTC$140,000
Financial Instruments Ltd. investor protection violation2012CFTC$140,000
City Credit Capital, (UK) Ltd. investor protection violation2012CFTC$140,000
Windsor Brokers, Ltd. investor protection violation2012CFTC$140,000
D.E. Shaw & Co. L.P. investor protection violation2012CFTC$140,000
FXOpen Investments Inc. investor protection violation2012CFTC$140,000
Tenco, Inc. investor protection violation2011CFTC$140,000
Forex Capital Markets Ltd.Jefferies Financial Groupdiversifiedinvestor protection violation2011CFTC$140,000
1ST FINANCIAL BANK USA1st Financial Bank USAfinancial servicesbanking violation2009FDIC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $140,000
Country Club Bank investor protection violation2015SEC$140,000
GT Advanced Technologies Inc. investor protection violation2019SEC$140,000
ARMKAT LLC investor protection violation2019CFTC$140,000
NEXT Financial Group, IncAtria Wealth Solutionsfinancial servicesinvestor protection violation2014NH-BSR$140,000
Blue Castle Films LLC et al. investor protection violation2015OR-FIN$140,000
CHANCELLORSVILLE FINANCING investor protection violation2008VA-SEC$140,000
H. Beck, Inc. investor protection violation2009FINRA$140,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2005FINRA$140,000
Ether Investment and Trading Group, LLC investor protection violation2021MD-AG$140,000
RYO Cigarettes of Nevada, Inc. DBA Smoke 4 Less tax violations2021ATTTB$140,000
Shelby Savings Bank, SSB banking violation2022FDIC$140,000
Success Holding Group International, Inc. investor protection violation2017SEC$139,737
EGL, Inc. economic sanction violation2013OFAC$139,650
Banco do Brasil, S.A.Banco do Brasilfinancial serviceseconomic sanction violation2015OFAC$139,500
CCRP Investments LLC investor protection violation2016MO-SEC$139,269
Moon Capital Management, LP? investor protection violation2008SEC$139,071
U.S. Media Team, LLC and Cell Wireless Corp. investor protection violation2013AZ-CC$139,000
PeachCap Tax & Advisory, LLC investor protection violation2021SEC$138,813
JK Janitorial Software, LLC investor protection violation2018MO-SEC$138,401
First National Capital Markets, Inc. investor protection violation2019SEC$138,117
Bank of New YorkBank of New York Mellonfinancial serviceseconomic sanction violation2004OFAC$137,500
Ingersoll-Rand Co.Ingersoll Randindustrial equipmenteconomic sanction violation2003OFAC$137,500
Why Not Entertainment, L.L.C. investor protection violation2001AZ-CC$137,500
LEGENDARY PARTNERS LLC investor protection violation2024CA-DFPI$137,500
Tropical Trade investor protection violation2018MO-SEC$137,109
Platinum Universal Trades investor protection violation2024AZ-CC$137,000
Platinum Universal Trades investor protection violation2024AZ-CC$137,000
Anamar Communications, Inc. investor protection violation2002SEC$136,917
The Coca-Cola CompanyCoca-Cola Co.beverageseconomic sanction violation2006OFAC$136,500
Bank of Louisiana banking violation2019FDIC$136,100
Colonial Savings, F.A. banking violation2019OCC$136,000
Meredith Construction and Meredith Holding investor protection violation2011MO-SEC$136,000
The Huntington Investment Company investor protection violation2015FINRA$135,973
Synovus BankSynovus Financialfinancial servicesbanking violation2013FDIC$135,050
Doral Bank banking violation2013FDIC$135,000
Fulton Bank, National Association banking violation2013OCC$135,000
Dave Streiffer Company, Inc. tax violations2010ATTTB$135,000
Union Carbide Corporation (for World Ethanol Company)Dow Inc.chemicalstax violations2006ATTTB$135,000
Stillwater Capital Partners, Inc. and Stillwater Capital Partners, LLC investor protection violation2008CFTC$135,000
Regions BankRegions Financialfinancial servicesbanking violation2009FED$135,000
BANK OF THE WESTBank of Montrealfinancial servicesbanking violation2011FDIC$135,000
MetLife Securities, Inc.MetLifefinancial servicesinvestor protection violation2010IL-SEC$135,000
Edward D. Jones & Co. LPJones Financialfinancial servicesinvestor protection violation2016PA-BKG$135,000
RBC Capital Markets CorporationRoyal Bank of Canadafinancial servicesinvestor protection violation2010FINRA$135,000
Sigma Financial Corporation investor protection violation2004FINRA$135,000
BiscayneAmericas Advisers L.L.C. investor protection violation2022SEC$135,000
BTS Asset Management Inc. investor protection violation2023SEC$135,000
Linden Thomas Advisory Services LLC investor protection violation2023SEC$135,000
Longpoint Partners LP investor protection violation2024SEC$135,000
Amazon.com, Inc.Amazon.comretailingeconomic sanction violation2020OFAC$134,523
Sycamore Lane Partners LLC investor protection violation2018SEC$134,042
Omega Advisors, Inc.Omega Advisorsfinancial servicesinvestor protection violation2015SEC$134,026
ASMAC Financial, Inc. investor protection violation2010SEC$133,995
Abtech Holdings, Inc.? investor protection violation2018SEC$133,414
Engineering Dynamics Inc. economic sanction violation2008OFAC$132,791
First Kentucky Securities Corporation investor protection violation2019SEC$132,651
Parkland Securities, LLC investor protection violation2015MO-SEC$132,500
PEAK6 Capital Management investor protection violation2013SEC$132,217
Paritz & Company accounting fraud or deficiencies2017SEC$132,049
GREENBANK banking violation2011FDIC$132,000
Service Team Inc. and Hallmark Venture Group Inc. investor protection violation2017OK-SEC$132,000
Renasant Bank banking violation2021FDIC$132,000
Braverock Investments LLC investor protection violation2023SEC$132,000
XBT Corp Sarl dba First Global Credit investor protection violation2019SEC$131,952
Apogee & Company, LLC and FifthUp, LLC investor protection violation2024SC-INS$131,000
Child, Van Wagoner & Bradshaw, PLLC investor protection violation2015SEC$130,506
Duke and Duke LLC investor protection violation2021NJ-BOS$130,473
Riedl First Securities Co. of Kansas investor protection violation2014SEC$130,000
Financial Investments, Inc. investor protection violation2010CFTC$130,000
Noble Americas Corp.Vitolfinancial servicesinvestor protection violation2010CFTC$130,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.