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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
Genesis Asset Managers, LLP economic sanction violation2012OFAC$112,500
Western Standard investor protection violation2013SEC$111,807
Formula Growth investor protection violation2014SEC$111,743
Societe GeneraleSociete Generalefinancial serviceseconomic sanction violation2011OFAC$111,259
Emerging Technologies Development Co. and Emerging Technologies Investment Group, L.L.C. investor protection violation2006MO-SEC$110,845
FX Trading, LLC investor protection violation2011CFTC$110,000
Distinctive Wines & Spirits, LLC tax violations2008ATTTB$110,000
Varel Holdings, Inc economic sanction violation2009OFAC$110,000
Henning-Carey Proprietary Trading, LLC investor protection violation2016SEC$110,000
Comerica BankComericafinancial servicestoxic securities abuses2008MI-AG$110,000
Ten X Holdings, LLC investor protection violation2017IL-SEC$110,000
REBEL HOLIDAY investor protection violation2007VA-SEC$110,000
ESS ENVIRONMENTAL, INC. investor protection violation2009VA-SEC$110,000
Capsource, Inc. investor protection violation2020MI-SEC$110,000
First Clearing Corporation investor protection violation2005FINRA$110,000
Stephens, Inc. investor protection violation2005FINRA$110,000
Stone & Youngberg, LLC investor protection violation2005FINRA$110,000
StratagemEq, Inc. investor protection violation2021NJ-BOS$110,000
Capital Management Group of Washington, D.C. investor protection violation2021DC-DISB$110,000
ORAG, LLC investor protection violation2022OR-FIN$110,000
StormX, Inc. investor protection violation2023WA-SEC$110,000
International Protective Services tax violations2012MA-AG$109,999
MUFG Union Bank, National AssociationU.S. Bancorpfinancial servicesbanking violation2019OCC$109,667
Great Point Partners investor protection violation2014SEC$109,597
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2004FINRA$109,527
Summit Planning Group, Inc. investor protection violation2023SEC$109,401
SPC Brands, Inc. and Spectrum Pet Care Inc. and Spectrum Pet Food, Inc. investor protection violation2016MO-SEC$109,290
HL.I Inc. investor protection violation2014PA-BKG$108,821
Midsouth Bank, National Association banking violation2019OCC$108,796
Westfort Energy Ltd. investor protection violation2006TN-SEC$108,773
Pacific Coast Investment Company investor protection violation2004WA-FIN$108,000
Philadelphia Investment Partners, LLC investor protection violation2022PA-BKG$108,000
Cutting Edge Supplements, LLC investor protection violation2021MO-SEC$107,853
SIX Financial Information USA Inc. investor protection violation2017SEC$107,707
Pristine Property & Investments, Inc. investor protection violation2005AZ-CC$107,704
HyperBranch Medical Technology Inc. economic sanction violation2016OFAC$107,691
RBC Centura Bank banking violation2007FED$106,930
Sunnyslope Capital Advisers, L.L.C. investor protection violation2024AZ-CC$106,801
NatCity Investments, Inc. investor protection violation2009MO-SEC$105,590
Deutsche Bank Trust Company AmericasDeutsche Bankfinancial servicesbanking violation2022FED$105,500
Solus Alternative Asset Management investor protection violation2014SEC$105,495
Loop Capital Markets, LLC investor protection violation2022SEC$105,456
Ieraci Landscaping, Inc. tax violations2013MA-AG$105,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2015DE-SEC$105,000
LendingClub Corp.LendingClub Corp.financial servicesinvestor protection violation2012MO-SEC$105,000
Pennsylvania 3 Well Development, LLP investor protection violation2008VA-SEC$105,000
Leland Energy, Inc. et al. investor protection violation2015WA-FIN$105,000
Bryn Mawr Trust CompanyWSFS Financial Corp.financial servicesbanking violation2021FED$105,000
CA Enterprises, doing business as Premier Services and Premier Legal Services bankruptcy professional violation2024DOJ_UTP$105,000
Noonan Capital Management, LLC investor protection violation2013SEC$104,825
B.Y.B. Entertainment, L.L.C. investor protection violation2010AZ-CC$104,524
Ridgeback Capital Management LP investor protection violation2014SEC$104,500
Marketing Dynamics, Inc. investor protection violation2022AZ-CC$104,216
Whoistrustee.com Limited dba Binaryoptionrobot.com investor protection violation2017MO-SEC$104,100
Fortress Investment Management, LLC investor protection violation2020SEC$104,097
African Gold Acquisition Corp. investor protection violation2023SEC$103,591
Key West Investment Group, LLC and Key West Property & Devolopment, Inc. investor protection violation2007MO-SEC$103,400
Investmark Advisory Group LLC investor protection violation2019SEC$103,107
Blyth & Associates, Inc. investor protection violation2019SEC$103,071
Partisan Alliance Corp. investor protection violation2019AZ-CC$103,000
T.C. Ziraat Bankasi banking violation2004NY-DFS$103,000
Level Field Charter Partners, LLC investor protection violation2024SEC$102,805
AIRCABLE OF ROANOKE, INC. AND DIGITAL BROADCAST CORP. investor protection violation2001VA-SEC$102,500
Bankers Life and Casualty Co.CNO Financialfinancial servicesinvestor protection violation2015MO-SEC$102,178
Blue Owl Technology Income Corp. investor protection violation2024TX-SEC$102,000
Katz, Sapper & Miller, LLP investor protection violation2019SEC$101,834
Drake Investment Options LLC investor protection violation2020MO-SEC$101,806
Halt, Buzas & Powell, Ltd. accounting fraud or deficiencies2008SEC$101,711
National Brokers of America Inc. investor protection violation2017OR-FIN$101,400
Eagle Strategies LLC investor protection violation2020SEC$101,090
Swift Trade Securities USA, Inc. investor protection violation2002FINRA$101,000
Mohlman Asset Management, LLC and Mohlman Asset Management Fund, LLC investor protection violation2017SEC$100,937
TD AmeritradeCharles Schwab Corp.financial servicesinvestor protection violation2014SEC$100,800
First Montauk Securities Corp. investor protection violation2008SEC$100,742
First Federal Savings Bank of Elizabethtown banking violation2013FDIC$100,000
T Bank, National Association banking violation2010OCC$100,000
North American Arms tax violations2010ATTTB$100,000
Benchmark Securities, LLC investor protection violation2015SEC$100,000
Bernardi Securities, Inc. investor protection violation2015SEC$100,000
First National Capital Markets, Inc. investor protection violation2015SEC$100,000
L.J. Hart and Company investor protection violation2015SEC$100,000
Martin Nelson & Co., Inc. investor protection violation2015SEC$100,000
Merchant Capital, L.L.C. investor protection violation2015SEC$100,000
Wells Nelson & Associates, LLC investor protection violation2015SEC$100,000
Worldwide Energy and Manufacturing USA Inc. investor protection violation2012SEC$100,000
Hope Advisors LLC investor protection violation2015CFTC$100,000
Tunney & Associates, P.C. investor protection violation2014CFTC$100,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2011CFTC$100,000
Diageo North America, Inc.Diageobeveragestax violations2008ATTTB$100,000
World Ethanol Co. tax violations2004ATTTB$100,000
Barsac, Inc. tax violations2003ATTTB$100,000
PWG Vintners USA, Inc. tax violations2003ATTTB$100,000
Kautz Vineyards, Inc. tax violations2003ATTTB$100,000
Citigroup Private Bank GP, Inc.Citigroupfinancial servicesinvestor protection violation2009CFTC$100,000
Aaristo Commodities and Futures DMCC investor protection violation2008CFTC$100,000
Farmers Cooperative Company investor protection violation2000CFTC$100,000
BANK OF AGRICULTURE AND COMMERCE banking violation2009FDIC$100,000
AL Amerilife First Financial, LLC banking violation2009FDIC$100,000
Spirit Airlines, Inc.Spirit Airlinesairlineseconomic sanction violation2008OFAC$100,000
National Australia Bank Ltd.National Australia Bankfinancial serviceseconomic sanction violation2007OFAC$100,000
IEPS Electronic, Inc economic sanction violation2004OFAC$100,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.