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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
IEPS Electronic, Inc economic sanction violation2004OFAC$100,000
First Tennessee Bank National AssociationFirst Horizon Nationalfinancial servicesbanking violation2009OCC$100,000
First National Bank of OmahaFirst National of Nebraskafinancial servicesbanking violation2009OCC$100,000
M.A.G. Capital LLC investor protection violation2009SEC$100,000
Regional Brokers, Inc. investor protection violation2007SEC$100,000
1st Global Capital Corp. investor protection violation2006SEC$100,000
Graycort Financial, LLC investor protection violation2006SEC$100,000
Digital Exchange Systems, Inc. accounting fraud or deficiencies2004SEC$100,000
LNB Bancorp, Inc. investor protection violation2004SEC$100,000
NGN Capital investor protection violation2017SEC$100,000
Oden Capital Management, LLC investor protection violation2017CFTC$100,000
Sidoti & Company LLC investor protection violation2017SEC$100,000
Western Pioneer, Inc. tax violations2017ATTTB$100,000
LKL Investment Counsel LLC investor protection violation2018SEC$100,000
Bantry Bay Capital, LLC investor protection violation2017SEC$100,000
Lion Biotechnologies, Inc. investor protection violation2017SEC$100,000
Congress Wealth Management LLC investor protection violation2016SEC$100,000
Constellation Wealth Advisors LLC investor protection violation2016SEC$100,000
Risk Paradigm Group, LLC investor protection violation2016SEC$100,000
Executive Monetary Management, LLC investor protection violation2016SEC$100,000
HT Partners LLC investor protection violation2016SEC$100,000
Prospera Financial Services, Inc. investor protection violation2016SEC$100,000
Schneider Downs Wealth Management Advisors, LP investor protection violation2016SEC$100,000
WFG Advisors, L.P. investor protection violation2016SEC$100,000
Keygent LLC investor protection violation2016SEC$100,000
MaloneBailey, LL investor protection violation2016SEC$100,000
Craig Scott Capital, LLC investor protection violation2016SEC$100,000
Cantella & Co. investor protection violation2016SEC$100,000
First Midstate Incorporated investor protection violation2016SEC$100,000
Cherokee Investment Partners, LLC and Cherokee Advisers, LLC investor protection violation2015SEC$100,000
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2015SEC$100,000
NW Capital Markets Inc. investor protection violation2015SEC$100,000
Mesirow Financial, Inc. investor protection violation2015SEC$100,000
Joe Jolly & Co., Inc. investor protection violation2015SEC$100,000
The Frazer Lanier Company, Incorporated investor protection violation2015SEC$100,000
Prager & Co., LLC investor protection violation2015SEC$100,000
Mackensen & Company, Inc. investor protection violation2015SEC$100,000
AMP Global Clearing LLC investor protection violation2018CFTC$100,000
The Phoenix Companies, Inc. investor protection violation2014SEC$100,000
PHL Variable Insurance Company investor protection violation2014SEC$100,000
UASNM, Inc. investor protection violation2014SEC$100,000
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2012SEC$100,000
Hanes Morgan & Co., Inc investor protection violation2011SEC$100,000
Envision Capital Management, Ltd. investor protection violation2011SEC$100,000
Beverly Hills Wealth Management, LLC investor protection violation2018SEC$100,000
Oaktree Capital Management, L.P.Brookfield Corporationdiversifiedinvestor protection violation2018SEC$100,000
Merriman Curhan Ford & Co. investor protection violation2009SEC$100,000
Commonwealth Equity Services, LLP d/b/a Commonwealth Financial Network investor protection violation2009SEC$100,000
Cushing Asset Management, LP investor protection violation2018SEC$100,000
BB&T Securities, LLCTruist Financialfinancial servicesinvestor protection violation2018SEC$100,000
Kelmoore Investment Company, Inc. investor protection violation2007SEC$100,000
Wilmington Trust CompanyM&T Bankfinancial servicesinvestor protection violation2007SEC$100,000
Kaplan & Co., Securities, Inc. investor protection violation2006SEC$100,000
Colley Asset Management, Inc. investor protection violation2005SEC$100,000
Jamison, Eaton & Wood, Inc. investor protection violation2003SEC$100,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2002SEC$100,000
Roundhill Securities, Inc. investor protection violation2002SEC$100,000
D.E. Frey and Company, Inc. investor protection violation2000SEC$100,000
F.W. Thompson Company Ltd. investor protection violation2000SEC$100,000
Dawson-Samberg Capital Management, Inc. investor protection violation2000SEC$100,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2000SEC$100,000
Lifeway Foods Inc. accounting fraud or deficiencies2019SEC$100,000
Digital Turbine Inc. accounting fraud or deficiencies2019SEC$100,000
ADT Inc.Apollo Global Managementprivate equity (including portfolio companies)investor protection violation2018SEC$100,000
Ancora Advisors LLC investor protection violation2018SEC$100,000
Corinthian Capital Group, LLC investor protection violation2019SEC$100,000
Account Management LLC investor protection violation2019SEC$100,000
Hogan, Sarzynski, Lynch, Surowka & DeWind LLP investor protection violation2008NY-AG$100,000
Interactive Brokers, LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2019NJ-AG$100,000
Laurel Wealth Advisors, Inc. investor protection violation2019SEC$100,000
Morgan Stanley & Co., LLCMorgan Stanleyfinancial servicesinvestor protection violation2013NJ-AG$100,000
New York State United Teachers investor protection violation2006NY-AG$100,000
Theglobe.com investor protection violation2001NY-AG$100,000
XBT Corp. SARL d/b/a First Global Credit investor protection violation2019CFTC$100,000
APPLIED BANK banking violation2011FDIC$100,000
FIRST CENTRAL SAVINGS BANK banking violation2010FDIC$100,000
PricewaterhouseCoopers, S.C.PricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2019PCAOB$100,000
Lone Star Value Management LLC investor protection violation2020SEC$100,000
Monsoon Capital, LLC investor protection violation2020SEC$100,000
Morgan Keegan & Co.Raymond James Financialfinancial servicesinvestor protection violation2005AL-SEC$100,000
Sovereign Funding, LLC investor protection violation2015AL-SEC$100,000
Prominence Homes, LLC investor protection violation2019AL-SEC$100,000
Benchmark Financial Services, Inc. investor protection violation2007CA-DFPI$100,000
Alpine Pictures, Inc. investor protection violation2011CA-DFPI$100,000
PIPS Inc. investor protection violation2006CT-SEC$100,000
Pacific Rim Investment Partners investor protection violation2006CT-SEC$100,000
New Castle Financial Services LLC investor protection violation2008CT-SEC$100,000
Markland Technologies, Inc. investor protection violation2008CT-SEC$100,000
Cynergy Advance Services, LLC investor protection violation2011CT-SEC$100,000
Air-Byrd Operations LLC investor protection violation2011CT-SEC$100,000
Air-Byrd/River Joint Venture investor protection violation2011CT-SEC$100,000
CherryHomes Joint Venture investor protection violation2011CT-SEC$100,000
MidAmerica Resources, Inc. aka MA Resources, Inc. investor protection violation2011CT-SEC$100,000
Regal Royalty Resource investor protection violation2011CT-SEC$100,000
Point Stratford Development, LLC fka Hollywood East/Area 51, LLC investor protection violation2012CT-SEC$100,000
Terra Energy Resources, Ltd. investor protection violation2013CT-SEC$100,000
Ironclad Investments, LLC investor protection violation2013CT-SEC$100,000
RNT Wealth Management LLC investor protection violation2016CT-SEC$100,000
Tyrol Group, LLC, Native American Tyrol Energy, LLC investor protection violation2017CT-SEC$100,000
CE Capital Limited aka CE Capital Ltd. investor protection violation2018CT-SEC$100,000
Signal Lake General Partner LLC investor protection violation2018CT-SEC$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.