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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
SCWorx Corp. investor protection violation2022SEC$125,000
IMC Chicago, LLC investor protection violation2022SEC$125,000
Infinity Capital Group, LLC investor protection violation2022CA-DFPI$125,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2022TX-SEC$125,000
K G Somani & Co. LLP accounting fraud or deficiencies2023PCAOB$125,000
SolarEdge Technologies, Inc. investor protection violation2023SEC$125,000
J.H. Darbie & Co., Inc. investor protection violation2023SEC$125,000
Eastone Equities, LLC investor protection violation2024SEC$125,000
Webull Financial LLC investor protection violation2024SEC$125,000
SogoTrade, Inc. investor protection violation2024SEC$125,000
Kudu Investment Holdings, LLC investor protection violation2024SEC$125,000
Covenant Management Group, LLC investor protection violation2013IN-SEC$124,000
Lehman Brothers Inc. investor protection violation2004FINRA$123,882
Simply Smart Homes, LLC and Smart Enterprises, LLC investor protection violation2017AZ-CC$123,750
Hazlett and Burt & Watson, Inc. investor protection violation2019SEC$123,456
The Evangeline Bank and Trust Company banking violation2015FDIC$123,000
Majestic Management Corp. investor protection violation2017KY-FIN$123,000
ECP Manager LP investor protection violation2019SEC$122,656
Foxhall Capital Management, Inc investor protection violation2013SEC$122,430
McGriff, Seibels & Williams of Texas, Inc.Truist Financialfinancial serviceseconomic sanction violation2011OFAC$122,408
Gardner Insurance Agency, Inc. investor protection violation2011AR-SEC$122,365
A.G. Edwards and Sons Inc.Wells Fargofinancial serviceseconomic sanction violation2008OFAC$122,358
SunocoEnergy Transferpipelinestax violations2021AL-AG$122,314
Theorem Fund Services LLC investor protection violation2023SEC$122,271
Thunderstruck Investments Limited investor protection violation2017MO-SEC$122,092
Oppenheimer & Co., Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2005MO-SEC$122,050
Warren Exploration, LLC investor protection violation2007AZ-CC$122,000
Mark VIII Holdings, LLC and International Mark VIII, LLC investor protection violation2016MO-SEC$121,225
London Metals Market LLC investor protection violation2013CFTC$121,000
Huntleigh Securities Corp. investor protection violation2010MO-SEC$120,400
FXPIPSESSION, LLC investor protection violation2023AZ-CC$120,004
BNY Mellon Capital Markets, LLCBank of New York Mellonfinancial servicesinvestor protection violation2015SEC$120,000
Cadent Financial Services LLC investor protection violation2009CFTC$120,000
Persistent Edge Management, LLC investor protection violation2008CFTC$120,000
Russell Investments Ireland Limited and Russell Investments Cayman Ltd. investor protection violation2007CFTC$120,000
North American Medical Products, Inc. investor protection violation2003SEC$120,000
Concert Global Group Limited and Concert Wealth Management, Inc. investor protection violation2016SEC$120,000
Macquarie Capital Investment Management LLC, et alMacquariefinancial servicesinvestor protection violation2015SEC$120,000
Brown Brothers Harriman & Co.Brown Brothers Harrimanfinancial servicesinvestor protection violation2014SEC$120,000
Royal Bank of Scotland Group plcNatWest Group PLCfinancial servicesinvestor protection violation2014SEC$120,000
Comprehensive Capital Management, Inc. investor protection violation2013SEC$120,000
Sofinnova Ventures, Inc. investor protection violation2018SEC$120,000
Chatelaine Ltd. tax violations2003NY-MANDA$120,000
Consolidated Management Advisors, Inc. and Consolidated Capital Management, Inc. investor protection violation2010AL-SEC$120,000
Ploutos Oil, LLC investor protection violation2019KY-FIN$120,000
Anchor Mortgage, LLC investor protection violation2009MD-SEC$120,000
Mansfield Corporation et al. investor protection violation2004OR-FIN$120,000
Consulting Dynamics investor protection violation2011OR-FIN$120,000
Strategic Capital Holdings, LLC et al. investor protection violation2020OR-FIN$120,000
FINTEGRA, LLC investor protection violation2014VA-SEC$120,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2018VT-FIN$120,000
Marex Spectron International Limited investor protection violation2020CFTC$120,000
EOX Holdings LLC investor protection violation2020CFTC$120,000
Futures International LLC investor protection violation2020CFTC$120,000
OTC Europe LLP investor protection violation2020CFTC$120,000
DebtTraders, Inc. investor protection violation2005FINRA$120,000
NFN8 Group, Inc. investor protection violation2022AL-SEC$120,000
DEZH Handyman investor protection violation2024WA-SEC$120,000
Imperium Advisors, LLC investor protection violation2007SEC$119,964
Abousaoui Financial, LLC investor protection violation2019IN-SEC$119,555
First Trust Portfolios L.P investor protection violation2004FINRA$118,680
Allied Trading Group investor protection violation2017MO-SEC$118,481
One Touch Marketing, Inc. investor protection violation2001SEC$118,387
Pop-N-Go, Inc. investor protection violation2015MO-SEC$117,880
Convergence Marketing, Inc. tax violations2013MA-AG$117,500
Birmingham Investments and Birmingham Capital Advisors, LLC investor protection violation2011FL-OFR$117,500
B.T.A. International, Inc. investor protection violation2018IL-SEC$117,000
Mamie McGrath, LLC investor protection violation2024FL-OFR$117,000
Lavish Auto Detailing LLC investor protection violation2023MT-FIN$116,264
U.S. Media Team, LLC investor protection violation2011AZ-CC$116,260
Tango Card, Inc. economic sanction violation2022OFAC$116,048
CLARKE ENERGY GROUP INC. investor protection violation2006VA-SEC$116,000
Sneva Alliance investor protection violation2007AZ-CC$115,282
Ashford Inc. investor protection violation2025SEC$115,231
Direct Transfer LLC investor protection violation2024SEC$115,231
Doeren Mayhew & Co. P.C. accounting fraud or deficiencies2004SEC$115,126
TD Bank, N.A.Toronto-Dominion Bankfinancial serviceseconomic sanction violation2021OFAC$115,005
Wells Fargo Bank, National AssociationWells Fargofinancial servicesbanking violation2005OCC$115,000
CMS Fund Advisers, Inc. investor protection violation2005SEC$115,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2018CA-DFPI$115,000
Vision Travel, Inc. aka Global Vision Travel investor protection violation2008CT-SEC$115,000
Madison Avenue Securities, LLC investor protection violation2015IL-SEC$115,000
Securities America, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2012MT-FIN$115,000
American Equities, Inc. investor protection violation2020WA-SEC$115,000
David Lerner Associates, Inc. investor protection violation2005FINRA$115,000
Providential Securities, Inc. investor protection violation2000FINRA$115,000
ND Cigars, Inc. tax violations2021ATTTB$115,000
Perini Capital, LLC investor protection violation2022SEC$115,000
eXp World Holdings, Inc. investor protection violation2023SEC$115,000
JM Financial Services investor protection violation2024MD-SEC$115,000
Driftwood Advisors, LLC investor protection violation2024SEC$115,000
Varian, Inc.Agilent Technologiesmiscellaneous manufacturingeconomic sanction violation2007OFAC$114,958
Schultz Investment Advisors, Inc. investor protection violation2005SEC$114,534
Marine Industrial Specialties Inc. tax violations2016ATTTB$114,412
Jacobs Tobacco Company tax violations2020ATTTB$114,174
Tucson Estate Financial Advisors, Inc. investor protection violation2000AZ-CC$114,080
A.G.P./Alliance Global Partners, LLC investor protection violation2024SEC$113,776
SMI Management & Research LLC investor protection violation2015ME-SEC$113,512
Soundpost Partners investor protection violation2013SEC$113,315
IDIAZ, LLC investor protection violation2019AZ-CC$113,000
Genesis Asset Managers, LLP economic sanction violation2012OFAC$112,500
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.