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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
Signal Lake General Partner LLC investor protection violation2018CT-SEC$100,000
Signal Lake Management, LLC investor protection violation2018CT-SEC$100,000
Endeavor Management Solutions, LLC investor protection violation2018CT-SEC$100,000
Leland Energy, Inc. investor protection violation2018CT-SEC$100,000
Leland Tennessee Holdings, Inc. investor protection violation2018CT-SEC$100,000
Opportunity Drilling & Acquisition Fund, LLP investor protection violation2018CT-SEC$100,000
GHC Fund One LLC aka Gilbert Hill Fund I, LLC investor protection violation2019CT-SEC$100,000
Bermingham Wealth Strategies investor protection violation2019CT-SEC$100,000
North American Drilling Corporation investor protection violation2020CT-SEC$100,000
Native American Energy Group, Inc. investor protection violation2020CT-SEC$100,000
LendingClub Corp.LendingClub Corp.financial servicesinvestor protection violation2012FL-OFR$100,000
Alumin USA, Ltd. investor protection violation2018IL-SEC$100,000
Loyalty Investments LLC investor protection violation2009IN-SEC$100,000
Resources Planning Group, Inc. investor protection violation2009IN-SEC$100,000
Morgan Stanley D.W., Inc.Morgan Stanleyfinancial servicesinvestor protection violation2004KY-FIN$100,000
Lincoln Financial Advisors Corp.Lincoln Nationalfinancial servicesinvestor protection violation2013MA-SEC$100,000
Investment Professionals, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2017MA-SEC$100,000
CarrierEQ, Inc. dba AirFox investor protection violation2018MA-SEC$100,000
United Planners' Financial Services of America investor protection violation2019MA-SEC$100,000
Maxim Growth Fund, LP investor protection violation2005MD-SEC$100,000
Maxim Capital, LLC investor protection violation2005MD-SEC$100,000
GNC Franchising, LLC investor protection violation2006MD-SEC$100,000
Ardin Logistics, LLC investor protection violation2007MD-SEC$100,000
Energy Automation Systems, Inc. investor protection violation2008MD-SEC$100,000
Morgan Stanley & Co. Inc.Morgan Stanleyfinancial servicesinvestor protection violation2009MD-SEC$100,000
MultiVend, LLC dba Vendstar investor protection violation2009MD-SEC$100,000
Crystal Victoria Corp. and PlatinumTech Corp. investor protection violation2011MD-SEC$100,000
JPMorgan Chase Bank, N.A.JPMorgan Chasefinancial servicesinvestor protection violation2017MD-SEC$100,000
Mackrow Asset Management Group investor protection violation2019MI-SEC$100,000
Edward JonesJones Financialfinancial servicesinvestor protection violation2010MT-FIN$100,000
Pruco Securities, LLCPrudential Financialfinancial servicesinvestor protection violation2013NJ-BOS$100,000
NJLI Advisors L.L.C. investor protection violation2018NJ-BOS$100,000
Mirakill Brands, LLC investor protection violation2018NJ-BOS$100,000
BSI AG banking violation2000NY-DFS$100,000
Unlimited Cash Inc. investor protection violation2006OR-FIN$100,000
Douglas Network Enterprises Inc. investor protection violation2006OR-FIN$100,000
Corporate Executives Inc. investor protection violation2007OR-FIN$100,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2011OR-FIN$100,000
Securities America Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2015OR-FIN$100,000
Wall Street Financial Group Inc. investor protection violation2013PA-BKG$100,000
Trustmont Financial Group Inc. investor protection violation2013PA-BKG$100,000
MML Investors Services LLCMassachusetts Mutual Life Insurancefinancial servicesinvestor protection violation2015PA-BKG$100,000
Lehman Capital Advisors LLC investor protection violation2016PA-BKG$100,000
Harris Financial Management investor protection violation2018PA-BKG$100,000
Primitive Methodist Investment Foundation, Inc. investor protection violation2019PA-BKG$100,000
Carolina Linkages Inc. dba Carolinks investor protection violation2008SC-SEC$100,000
Scottrade Inc.Charles Schwab Corp.financial servicesinvestor protection violation2016TX-SEC$100,000
UBS FINANCIAL SERVICES, INC.UBSfinancial servicesinvestor protection violation2007VA-SEC$100,000
Capitol Securities Management, Inc. investor protection violation2020VA-SEC$100,000
Insurance Trends, Inc. investor protection violation2020CT-SEC$100,000
Pocketinns, Inc. investor protection violation2020NJ-BOS$100,000
Neighborhood National Bank banking violation2020OCC$100,000
WCAS Management Corporation investor protection violation2020SEC$100,000
Birinyi Associates, Inc. investor protection violation2020SEC$100,000
An L.A. Minute LLC investor protection violation2020SEC$100,000
Pathmaker Solutions, LLC investor protection violation2020DE-AG$100,000
Ameritas Investment Company LLCAmeritas Mutual Holding Companyfinancial servicesinvestor protection violation2020PA-BKG$100,000
Lightspeed Trading, LLC investor protection violation2021SEC$100,000
J.P. Turner & Company, LLC investor protection violation2015FINRA$100,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyfinancial servicesinvestor protection violation2009FINRA$100,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2009FINRA$100,000
Pruco SecuritiesPrudential Financialfinancial servicesinvestor protection violation2008FINRA$100,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2008FINRA$100,000
Northwestern Mutual Investment Services, LLCNorthwestern Mutualfinancial servicesinvestor protection violation2007FINRA$100,000
AllianceBernstein Investments, Inc.Equitable Holdingsfinancial servicesinvestor protection violation2007FINRA$100,000
Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2006FINRA$100,000
Berean Capital Incorporated investor protection violation2006FINRA$100,000
First Avantus Securities, Inc. investor protection violation2005FINRA$100,000
SunTrust Capital Markets, Inc.Truist Financialfinancial servicesinvestor protection violation2005FINRA$100,000
SunAmerica Securities, Inc.American International Groupfinancial servicesinvestor protection violation2004FINRA$100,000
National Planning Corp. investor protection violation2004FINRA$100,000
SII Investments, Inc. investor protection violation2004FINRA$100,000
David Lerner Assoc. investor protection violation2004FINRA$100,000
Hornblower & Weeks, Inc. investor protection violation2002FINRA$100,000
CUNA Brokerage Services, Inc.CUNA Mutualfinancial servicesinvestor protection violation2001FINRA$100,000
Kemper Distributors, Inc.Kemperfinancial servicesinvestor protection violation2000FINRA$100,000
Prudential Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2000FINRA$100,000
Insurance Trends, Inc. investor protection violation2020CT-SEC$100,000
StockCross Financial Services, Inc. investor protection violation2021CA-DFPI$100,000
Jax Acquisitions II LLC investor protection violation2021CT-BKG$100,000
WCO Holdings, LLC investor protection violation2021MO-SEC$100,000
Diastole Wealth Management, Inc. investor protection violation2021SEC$100,000
Parallax Health Sciences Inc. investor protection violation2021SEC$100,000
Symphony Communication Services, LLC investor protection violation2021CFTC$100,000
Voice of Guo Media, Inc. investor protection violation2022AZ-CC$100,000
Aralia Securities, Ltd. And Vintage Bullion DMC investor protection violation2021CFTC$100,000
Limerick Financial Group, LLC investor protection violation2022PA-BKG$100,000
TradeZero America Inc. investor protection violation2022SEC$100,000
TradeZero America, Inc. investor protection violation2022SEC$100,000
TBG Holdings Corporation investor protection violation2022SEC$100,000
Charles Pratt & Company, LLC investor protection violation2022SEC$100,000
New Harbor Financial Group, LLC investor protection violation2022MA-SEC$100,000
MOA Rifles, LLC tax violations2022ATTTB$100,000
PFP Entrust Corp. investor protection violation2022SEC$100,000
KF Pecksland, LLC investor protection violation2022CT-SEC$100,000
Visual Group, LLC investor protection violation2022CT-SEC$100,000
Cambria Capital, LLC investor protection violation2023SEC$100,000
Friedman, LLP accounting fraud or deficiencies2023PCAOB$100,000
Deridex, Inc. investor protection violation2023CFTC$100,000
BareIt Media LLC investor protection violation2023CFTC$100,000
Blackstone Wealth Solutions LLC investor protection violation2023CT-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.