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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
Poppin Kettle Franchising, Inc. investor protection violation2015CT-SEC$75,000
Trade-PMR Inc. investor protection violation2016CT-SEC$75,000
Synergy Oil, LLC investor protection violation2015FL-OFR$75,000
Big Spring Gold, LLC investor protection violation2017FL-OFR$75,000
Unlimited Cash, Inc. and Douglas Network Enterprises investor protection violation2007IL-SEC$75,000
International Energy and Resources, Inc. investor protection violation2007MD-SEC$75,000
David J. Deschaine Installations, Inc. investor protection violation2008ME-SEC$75,000
Wachovia Securities LLCWells Fargofinancial servicesinvestor protection violation2007ND-SEC$75,000
Caffe Diva Group Ltd et al. investor protection violation2002OR-FIN$75,000
Ruttenberg and Associates MVP Inc. investor protection violation2006OR-FIN$75,000
State Farm VP Management Corp.State Farm Insurancefinancial servicesinvestor protection violation2013PA-BKG$75,000
Bill Few Associates Inc. investor protection violation2014PA-BKG$75,000
Explore Financial Group investor protection violation2017PA-BKG$75,000
Northstar Energy Inc. investor protection violation2003TX-SEC$75,000
Merrill Lynch, Pierce, Fenner & Smith, IncorporatedBank of Americafinancial servicesinvestor protection violation2006VA-SEC$75,000
Hydro Alternative Energy, Inc. investor protection violation2015WA-FIN$75,000
Southwest Group, LLC investor protection violation2020CFTC$75,000
SQN Capital Management, LLC investor protection violation2020SEC$75,000
Franklin Templeton Investments Corp.Franklin Resourcesfinancial servicesinvestor protection violation2020SEC$75,000
Fabrizia Spirits, LLC tax violations2020ATTTB$75,000
The Joseph Project investor protection violation2021AZ-CC$75,000
First Standard Financial Company, LLC investor protection violation2020NJ-BOS$75,000
Spear, Leeds & Kellogg, L.P.Goldman Sachsfinancial servicesinvestor protection violation2004FINRA$75,000
M.H. Meyerson, & Co., Inc. investor protection violation2002FINRA$75,000
NDB Capital Markets, LP investor protection violation2001FINRA$75,000
Momentum Securities, LLC investor protection violation2001FINRA$75,000
Asensio & Company, Inc. investor protection violation2000FINRA$75,000
Botta Trading, LLC investor protection violation2000FINRA$75,000
Independent Financial Group, LLC investor protection violation2021TX-SEC$75,000
Cryotherm USA, Inc. investor protection violation2021MO-SEC$75,000
TFS Securities, Inc. investor protection violation2021NJ-BOS$75,000
Plug N Go Electrix, LLC investor protection violation2021MD-SEC$75,000
Scanwood Limited Inc. and AOS, Inc. investor protection violation2022NH-BSR$75,000
Spruce Investment Advisors, LLC investor protection violation2022SEC$75,000
Nonotuck Investment Group, LLC investor protection violation2022MA-SEC$75,000
Buckman Advisory Group, LLC investor protection violation2022SEC$75,000
Lend Academy Investments, LLC investor protection violation2022SEC$75,000
Steward Capital Management, Inc. investor protection violation2022SEC$75,000
KPMG S.p.AKPMGbusiness servicesaccounting fraud or deficiencies2022PCAOB$75,000
Two Point Capital Management, Inc. investor protection violation2022SEC$75,000
Osage Pacific Advisors, Inc. investor protection violation2022MD-SEC$75,000
Green Stream Holdings Inc. investor protection violation2023SEC$75,000
Blue & Co., LLC accounting fraud or deficiencies2023PCAOB$75,000
Ustocktrade LLC investor protection violation2023SEC$75,000
Bluestone Capital Management LLC investor protection violation2023SEC$75,000
Pan-China Singapore PAC accounting fraud or deficiencies2024PCAOB$75,000
L&L CPAs, PA accounting fraud or deficiencies2024PCAOB$75,000
IDEX CorporationIDEX Corp.industrial equipmentinvestor protection violation2024SEC$75,000
HI2 Investment Management, LLC investor protection violation2024SEC$75,000
Voya Financial Advisors, Inc.Voya Financialfinancial servicesinvestor protection violation2024AZ-CC$75,000
Stilwell Value LLC investor protection violation2024SEC$75,000
BSC, LP investor protection violation2024SEC$75,000
Lightspeed Financial Services Group LLC investor protection violation2024SEC$75,000
Paulson Investment Company, LLC investor protection violation2024SEC$75,000
Voya Financial Advisors, Inc.Voya Financialfinancial servicesinvestor protection violation2024AZ-CC$75,000
Accell Audit & Compliance, PA accounting fraud or deficiencies2024SEC$75,000
COASTAL BANK OF GEORGIA, THE banking violation2010FDIC$74,580
BNB Wealth Management, LLC investor protection violation2020SEC$74,417
Church Pension Fund economic sanction violation2004OFAC$74,294
IRTH Communications, LLC investor protection violation2020SEC$74,233
Elysium Capital Group, L.L.C. investor protection violation2010AZ-CC$74,100
KPMG LLP (KPMG Canada)KPMGbusiness servicesaccounting fraud or deficiencies2005SEC$73,682
Franchise Equity Group, Inc. and Franchise Equity Consortium investor protection violation2019WA-FIN$73,643
Glacial Lakes Energy tax violations2014ATTTB$73,541
Heritage Development Partners LLC investor protection violation2024VA-SEC$73,500
Merus Capital Partners investor protection violation2013SEC$73,465
JP Morgan Chase & Co.JPMorgan Chasefinancial serviceseconomic sanction violation2004OFAC$73,281
PLS, CPA investor protection violation2021SEC$73,028
Dallas Distilleries Incorporated tax violations2022ATTTB$73,000
SPA' LADI-DA FRANCHISE, INC. investor protection violation2009VA-SEC$72,928
Morgan Financial, L.L.C. investor protection violation2012AZ-CC$72,784
Wisconsin Retirement & Insurance Advisors, LLC investor protection violation2019WI-FIN$72,651
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2012NH-BSR$72,500
Perpetual Financial investor protection violation2023FL-OFR$72,500
CITIGROUP GLOBAL MARKETS INCCitigroupfinancial servicesinvestor protection violation2004VA-SEC$72,486
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2022DE-SEC$72,255
Uphold HQ Inc. economic sanction violation2023OFAC$72,230
Sanwa Bank economic sanction violation2003OFAC$72,220
Industrial Maritime Carriers Worldwide, L.L.C. economic sanction violation2010OFAC$72,072
Quadra Pay Land, LLC and Eavenson Family LP investor protection violation2006MD-SEC$72,000
Wagner Capital Management, LLC investor protection violation2019AZ-CC$71,928
Metis Wealth Advisors, LLC investor protection violation2015SEC$71,489
Koon Financial Planning & Consulting, LLC investor protection violation2012IN-SEC$71,268
South Shore Bank banking violation2021FED$71,000
Storm Crow Investments, LLC investor protection violation2015MO-SEC$70,784
MedCap Management & Research LLC investor protection violation2008SEC$70,632
Compass BankPNC Financial Servicesfinancial servicesbanking violation2009FED$70,625
Aisling Capital investor protection violation2017SEC$70,456
Li & Co. accounting fraud or deficiencies2018SEC$70,143
Cargile Investment Management Inc. investor protection violation2019SEC$70,140
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2013DE-AG$70,077
International Finance Bank banking violation2014FDIC$70,000
German American BancorpGerman American Bancorpfinancial servicesbanking violation2013FDIC$70,000
Brotherhood America's Oldest Winery, Ltd. tax violations2011ATTTB$70,000
SuttonBrook Capital Management investor protection violation2014SEC$70,000
Sharpe Signa, LLC and Haeres Capital, LLC investor protection violation2015CFTC$70,000
Friedberg Mercantile Group, Inc. investor protection violation2014CFTC$70,000
Golden State Vintners tax violations2000ATTTB$70,000
UNION CREDIT BANK banking violation2006FDIC$70,000
Sunset Investment Group, Inc. investor protection violation2001SEC$70,000
NEW FRONTIER BANK banking violation2014FDIC$70,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.