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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
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020NH-BSR$90,000
Cadaret Grant & Co. Inc.Atria Wealth Solutionsfinancial servicesinvestor protection violation2019PA-BKG$90,000
Banc of America Investment Services, Inc.Bank of Americafinancial servicesinvestor protection violation2005FINRA$90,000
Raymond James & Associates, Inc.Raymond James Financialfinancial servicesinvestor protection violation2005FINRA$90,000
E-Trade SecuritiesMorgan Stanleyfinancial servicesinvestor protection violation2001FINRA$90,000
Arcadia Wealth Management, Inc. investor protection violation2022SEC$90,000
Verde Bio Holdings Inc. investor protection violation2023SEC$90,000
Signature Selections, LLC tax violations2023ATTTB$90,000
Olayinka Oyebola & Co accounting fraud or deficiencies2023PCAOB$90,000
Howard Bailey Securities LLC investor protection violation2024SEC$90,000
GSSG Solar, LLC investor protection violation2024SEC$90,000
Greenhaven Road Investment Management, LP investor protection violation2024SEC$90,000
Windy Inc. investor protection violation2023SEC$89,979
Red Bull North America, Inc. economic sanction violation2014OFAC$89,775
TreyTrades LLC investor protection violation2022AZ-CC$89,425
HealthSource Chiropractic, Inc. investor protection violation2020VA-SEC$89,000
LFS RIA, LLC investor protection violation2019TX-SEC$88,933
Catamount Strategic Advisors, LLC investor protection violation2017CA-DFPI$88,511
Security Capital Research & Management Incorporated investor protection violation2014SEC$88,000
NGS Trust investor protection violation2002ID-SEC$87,750
Cobham Holdings, IncAdvent Internationalprivate equity (including portfolio companies)economic sanction violation2018OFAC$87,507
Pugsley Brewing LLC tax violations2011ATTTB$87,500
Shipyard Brewing Company LLC tax violations2011ATTTB$87,500
First Baird Bancshares, Inc. banking violation2006FED$87,500
Colonial Savings Federal Association banking violation2017OCC$87,500
OTC Global Partners, LLC investor protection violation2016SEC$87,499
American Honda Finance CorporationHondamotor vehicleseconomic sanction violation2017OFAC$87,255
J.J.B. Hilliard, W.L. Lyons, LLC investor protection violation2011IN-SEC$87,250
Ironman Capital Management investor protection violation2014SEC$87,226
NW Capital Markets Inc. investor protection violation2018SEC$87,065
NW Capital Markets Inc. investor protection violation2018SEC$87,065
SuperGlass Windshield Repair, Inc. investor protection violation2019VA-SEC$86,667
Fitbela Epro Limited investor protection violation2023WA-SEC$86,500
Evolve Bank & Trust banking violation2016DOJ_RIGHTS$86,000
Malachi Financial Products, Inc. investor protection violation2018SEC$85,858
Tier One, Inc. investor protection violation2007SEC$85,500
IPG Investment Advisors LLC investor protection violation2019SEC$85,294
Wilmington Savings Fund Society, Federal Savings BankWSFS Financial Corp.financial servicesbanking violation2019OCC$85,265
Sea Tel Inc. economic sanction violation2014OFAC$85,113
Capital City BankCapital City Bank Groupfinancial servicesbanking violation2007FED$85,045
Nichols Investment Management investor protection violation2015ME-SEC$85,017
Credit Lyonnais Rouse LimitedCredit Agricolefinancial servicesinvestor protection violation2005CFTC$85,000
E.H. Wachs Company, Inc. economic sanction violation2003OFAC$85,000
Metro Wine Distribution Co., Inc. tax violations2018ATTTB$85,000
Paradise Biryani Express, Inc. investor protection violation2014MD-SEC$85,000
Sensuss, Inc. investor protection violation2017MD-SEC$85,000
S.F. Ehrlich Associates Inc. investor protection violation2017PA-BKG$85,000
National Securities Corporation investor protection violation2005FINRA$85,000
Integral Financial, LLC investor protection violation2021SEC$85,000
MRA Advisory Group investor protection violation2023SEC$85,000
Paramount Bank banking violation2023FDIC$85,000
Droms Strauss Advisors Inc. investor protection violation2024SEC$85,000
TS Bank d/b/a Callahan Financial Planning investor protection violation2024SEC$85,000
Talkot Capital investor protection violation2013SEC$84,537
Bambu IP, LLC, Bambu Desserts & Drinks, Inc. investor protection violation2016VA-SEC$84,500
Harvest Capital Strategies LLC investor protection violation2015SEC$84,454
Stanley Drilling Equipment & Supply, Inc. economic sanction violation2013OFAC$84,240
Baker Tilly Hong Kong Limited accounting fraud or deficiencies2014SEC$84,101
Forge Markets LLC investor protection violation2022ME-SEC$84,096
Barwil Agencies NA, Inc. economic sanction violation2009OFAC$84,000
Fango, LLC investor protection violation2022MO-SEC$83,919
Fortpoint Investment Management investor protection violation2020WA-FIN$83,600
Two Triangle Consulting Group, LLC d/b/a Goldman Small Cap Research investor protection violation2021SEC$83,582
Newburyport Brewing Company tax violations2022ATTTB$83,070
Zimmer Dental Inc.Zimmer Biometmedical equipment and supplieseconomic sanction violation2007OFAC$82,850
MARKLEBANK banking violation2011FDIC$82,500
TangoPoint Partners, LLC investor protection violation2015FL-OFR$82,500
CIT Bank, National AssociationFirst Citizens BancSharesfinancial servicesbanking violation2020OCC$82,500
Blue Robin, Inc. economic sanction violation2015OFAC$82,260
Elite Business Strategies investor protection violation2017MT-FIN$82,200
Clark Schaefer Hackett & Co. investor protection violation2024SEC$80,881
Guaranty Bank and Trust Company banking violation2024FDIC$80,500
Stifel, Nicolaus & Company, Inc.Stifel Financialfinancial servicesinvestor protection violation2011IL-SEC$80,224
Capital One BankCapital One Financialfinancial servicesbanking violation2005WI-AG$80,032
Davenport & Company LLC investor protection violation2015SEC$80,000
Sterne, Agee & Leach, Inc. investor protection violation2015SEC$80,000
William Blair & Co., L.L.C. investor protection violation2015SEC$80,000
Enfinium Pty Ltd investor protection violation2012CFTC$80,000
San Diego Gas & Electric CompanySempra Energyutilities and power generationinvestor protection violation2010CFTC$80,000
Banque CIAL investor protection violation2007CFTC$80,000
Equidate Inc. investor protection violation2016SEC$80,000
Coastal Equities, Inc. and Coastal Investment Advisors, Inc. investor protection violation2017SEC$80,000
Columbia River Advisors, LLC investor protection violation2017SEC$80,000
Electronic Transaction Clearing Inc. investor protection violation2018SEC$80,000
Sharespost, Inc. investor protection violation2012SEC$80,000
Hedgeable Inc. investor protection violation2018SEC$80,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2018AL-SEC$80,000
Wall Street Radio, Inc. dba Winning on Wall Street investor protection violation2016CO-SEC$80,000
Capital Management Group Securities, LLC investor protection violation2013IL-SEC$80,000
Leland Energy, Inc. investor protection violation2016MI-SEC$80,000
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherfinancial servicesinvestor protection violation2013MO-SEC$80,000
AXA Advisors LLCEquitable Holdingsfinancial servicesinvestor protection violation2011OR-FIN$80,000
Tarpon Capital Management L.P. investor protection violation2005TX-SEC$80,000
Account Management LLC investor protection violation2020VT-FIN$80,000
Paramount Financial Advisors LLC investor protection violation2020WA-SEC$80,000
Total Asia Associates PLT accounting fraud or deficiencies2023PCAOB$80,000
The Eideard Group, LLC investor protection violation2023SEC$80,000
PlanNow, LLC investor protection violation2023OR-FIN$80,000
Muntz Financial, LLC investor protection violation2023PA-BKG$80,000
Baker Tilly US, LLP accounting fraud or deficiencies2024PCAOB$80,000
Beta Wealth Group, Inc. investor protection violation2024SEC$80,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.