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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
Blackstone Wealth Solutions LLC investor protection violation2023CT-SEC$100,000
H & Z Enterprises HI, LLC and H & Z Cultivation, LLC investor protection violation2023MO-SEC$100,000
Lansing Street Advisors, LLC investor protection violation2023PA-BKG$100,000
Macroclimate LLC investor protection violation2023SEC$100,000
Mortgage Industry Advisory Corporation investor protection violation2023SEC$100,000
Woodbury Financial Services, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2023SEC$100,000
SagePoint Financial, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2023SEC$100,000
Osaic Wealth, Inc. investor protection violation2023SEC$100,000
FSC Securities Corporation investor protection violation2023SEC$100,000
Somerset CPAs accounting fraud or deficiencies2023PCAOB$100,000
Bishop Insurance & Financial Services, Inc. and Atlantic Coast Wealth Fund III, LLC and Atlantic Coast Wealth Advisors, LLC investor protection violation2023SC-SEC$100,000
Skyshell Trading investor protection violation2023OR-FIN$100,000
Cambrian Homecare, Inc. investor protection violation2023CA-CRD$100,000
Duke and Duke Wealth Management, LLC investor protection violation2023PA-BKG$100,000
GeaSphere LLC investor protection violation2024SEC$100,000
LM Global Investments LLC dba Fratarcangeli Wealth Management investor protection violation2024SEC$100,000
PNC Investments LLCPNC Financial Servicesfinancial servicesinvestor protection violation2024PA-BKG$100,000
Twenty Acre Capital LP investor protection violation2024SEC$100,000
Cost Management Solutions, LLC investor protection violation2024CFTC$100,000
Demotech, Inc. investor protection violation2024SEC$100,000
Phillips Financial Services, LLC and Estate Planning Specialists, LLC investor protection violation2024AZ-CC$100,000
Fair Invest, LLC investor protection violation2024SEC$100,000
Family Legacy Capital Credit Management, LLC investor protection violation2025SEC$100,000
WPAM Advisers LLC investor protection violation2024SEC$100,000
NFC Investments, LLC investor protection violation2024SEC$100,000
Keshishian Ltd. tax violations2004NY-MANDA$99,969
Epic Equitable, LLC investor protection violation2011CO-SEC$99,700
Cresap, Inc. investor protection violation2004FINRA$99,458
Krauser Investment Group, LLC investor protection violation2014AZ-CC$99,347
Akbar & Associates Legal Corp. and Integrity Benefits Solution Corp. investor protection violation2018MO-SEC$99,337
Deloitte & ToucheDeloittebusiness servicesaccounting fraud or deficiencies2018SEC$99,057
BitGo, Inc economic sanction violation2020OFAC$98,830
Schulman Lobel Zand Katzen Williams & Blackman and LLP investor protection violation2020SEC$98,510
Mutual of Omaha BankFirst Citizens BancSharesfinancial servicesbanking violation2019OCC$98,415
Offshore Marine Laboratories economic sanction violation2013OFAC$97,695
Cohen Klingenstein LLC investor protection violation2021SEC$97,523
Embree Financial Group Inc. investor protection violation2021SEC$97,523
Minot DeBlois Advisors LLC investor protection violation2021SEC$97,523
Paratus Financial Inc. investor protection violation2021SEC$97,523
Wall Street Access investor protection violation2022SEC$97,523
TRANSPORTATION ALLIANCE BANK, INC. banking violation2010FDIC$97,500
Resource Trading Group Inc. investor protection violation2012OR-FIN$97,500
Branch Banking and Trust CompanyTruist Financialfinancial servicesinvestor protection violation2016SC-SEC$97,500
Safe Money Millionaire et al. investor protection violation2020MO-SEC$97,429
Synergy Oil, LLC investor protection violation2016MO-SEC$97,264
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2000FINRA$97,000
Stockman Kast Ryan & Co. LLP investor protection violation2022SEC$96,384
South Dakota Trust Company banking violation2020TX-FIN$95,625
Pegasus Investment Management, LLC investor protection violation2011SEC$95,469
Brown & Williamson Tobacco CorporationBritish American Tobaccotobaccotax violations2007ATTTB$95,000
Stolt-Nielson Transportation Group economic sanction violation2003OFAC$95,000
Swiss Re Financial Products CorporationSwiss Refinancial servicesinvestor protection violation2007SEC$95,000
Trinad Management, LLC investor protection violation2014SEC$95,000
Macklowe Gallery Ltd. tax violations2003NY-MANDA$95,000
Norand Management Solutions LLC investor protection violation2009MD-SEC$95,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2016TX-SEC$95,000
Highland Capital Partners LLC investor protection violation2022SEC$95,000
Canaan Management, LLC investor protection violation2022SEC$95,000
Titan Fund Management, LLC investor protection violation2022SEC$95,000
Secure Solutions, LLC investor protection violation2019KY-FIN$94,326
JCSD Capital, LLC investor protection violation2012SEC$94,222
Fortius Financial Advisors, LLC investor protection violation2016SEC$94,070
Caine Mitter and Associates Inc investor protection violation2024SEC$94,000
Advent Medical Products, Inc. investor protection violation2024NH-BSR$94,000
Fresh Start Credit Services, LLC investor protection violation2021MO-SEC$93,945
Antipodean Advisors investor protection violation2014SEC$93,672
Comprehensive Capital Management Inc. investor protection violation2019SEC$93,631
Ascension Investments, Inc. investor protection violation2010CO-SEC$92,748
Geluk Capital Management Ltd. investor protection violation2022SEC$92,688
VALIANT HEALTH CARE, INC. investor protection violation2012VA-SEC$92,528
FP Resources USA Inc investor protection violation2018SEC$92,383
Lobster Point Holdings Limited investor protection violation2018SEC$92,383
Scanwood Limited Inc. and AOS Inc. investor protection violation2019NH-BSR$92,342
Visionary Sports Entertainment, Inc. investor protection violation2009CO-SEC$92,307
International Music Network economic sanction violation2004OFAC$92,093
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2010MO-SEC$92,015
Strasbourger Pearson Tulcin Wolff Inc. investor protection violation2010MT-FIN$92,000
Wenima Development LLC and I Am America investor protection violation2022AZ-CC$92,000
FULCRUM SECURITIES, LLC investor protection violation2016VA-SEC$91,954
Banco Colpatria, S.A. economic sanction violation2010OFAC$91,849
Elysium Capital Group, L.L.C. investor protection violation2010AZ-CC$91,430
SPB LLC tax violations2017ATTTB$91,333
Airbnb Payments, Inc.Airbnb Inc.miscellaneous serviceseconomic sanction violation2022OFAC$91,172
Lanesborough Financial Group, LLC investor protection violation2015AZ-CC$90,910
Dock to Dock Trucking investor protection violation2010IN-SEC$90,750
UMPQUA BANKUmpqua Holdingsfinancial servicesbanking violation2008FDIC$90,240
Lifemark Securities Corp. investor protection violation2024SEC$90,125
Peregrine Financial Group, Inc. investor protection violation2000CFTC$90,000
FIRST BANK & TRUST banking violation2009FDIC$90,000
Goldman Sachs Bank USAGoldman Sachsfinancial servicesbanking violation2018FED$90,000
StateTrust Investments, Inc. investor protection violation2015SEC$90,000
Rothman Securities, Inc. investor protection violation2014SEC$90,000
BANK OF IDAHO banking violation2010FDIC$90,000
Sir Mortgage & Finance of Arizona, Inc. investor protection violation2010AZ-CC$90,000
Accelerated Mentoring LLC fka Internet Sales Institute LLC investor protection violation2013CT-SEC$90,000
Simon Greene Investment Advisory Firm investor protection violation2018IL-SEC$90,000
H. Beck, Inc. investor protection violation2012MA-SEC$90,000
Alpine Petroleum, LLC and Red Earth Resources, Inc. investor protection violation2008MD-SEC$90,000
Dreamakers, LLC investor protection violation2018MI-SEC$90,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2014NH-BSR$90,000
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020NH-BSR$90,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.