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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
NEW FRONTIER BANK banking violation2014FDIC$70,000
Princeville State Bank banking violation2012FDIC$70,000
Nick Lynn Technologies, Inc. investor protection violation2013AR-SEC$70,000
FIRM GRIP BUSINESS MANAGEMENT investor protection violation2008VA-SEC$70,000
Iverson Genetic Diagnostics, Inc. investor protection violation2016WA-FIN$70,000
Finser International Corporation investor protection violation2020SEC$70,000
SWS Financial Services investor protection violation2009FINRA$70,000
Schwab Capital Markets, L.P.UBSfinancial servicesinvestor protection violation2004FINRA$70,000
Luxury Management Group, LLC investor protection violation2022AZ-CC$70,000
CMG Capital Management Group, Inc. investor protection violation2022SEC$70,000
Goldstone Financial Group, LLC investor protection violation2022SEC$70,000
StarVest Management, Inc. investor protection violation2022SEC$70,000
Ridgeview Asset Management Partners, LLC investor protection violation2022SEC$70,000
72 Vest Level Three LLC investor protection violation2023IL-SEC$70,000
First Interstate BankFirst Interstate Bancsystemfinancial servicesbanking violation2024FED$70,000
AZ Apice Capital Management LLC investor protection violation2024SEC$70,000
Offshore Financial Facilitiators investor protection violation2000FL-OFR$69,900
Hynes Financial Services, LLC investor protection violation2022MA-SEC$69,888
Flash Forward Publications LLC investor protection violation2017MO-SEC$69,412
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020CO-SEC$69,338
Credentia Group investor protection violation2013SEC$69,204
First New York Securities L.L.C. investor protection violation2009SEC$69,008
Daniel G. Falk & Associates, P.C. investor protection violation2005MD-SEC$68,800
Irridelco International Corp. economic sanction violation2004OFAC$68,750
Shacksbury Holdings Inc. tax violations2023ATTTB$68,631
BANK OF THE WESTBank of Montrealfinancial servicesbanking violation2010FDIC$68,200
P.A.W. Capital Partners, L.P. investor protection violation2014SEC$68,000
RIMA Senvest Management, LLC investor protection violation2014SEC$68,000
Sankaty Advisors, LLC investor protection violation2014SEC$68,000
Owen-Joseph Asset Management Corp.? investor protection violation2000SEC$68,000
DJL & Associates, L.L.C. investor protection violation2009AZ-CC$67,849
Investment Professionals Inc.Ameriprise Financialfinancial servicesinvestor protection violation2014SEC$67,800
United Radio, Inc. d/b/a BlueStar economic sanction violation2008OFAC$67,574
Wells Fargo Bank, N.AWells Fargofinancial serviceseconomic sanction violation2010OFAC$67,500
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2014SEC$67,200
Lakshmi Wealth Management LLC et al. investor protection violation2016IL-SEC$66,941
Datex-Ohmeda, Inc.General Electricdiversifiedeconomic sanction violation2007OFAC$66,547
SWS Financial Services investor protection violation2004FINRA$66,468
Four Points Capital Partners LLC investor protection violation2016MT-FIN$66,348
AT&C Corporation economic sanction violation2004OFAC$66,250
ACE LimitedChubb Limitedfinancial serviceseconomic sanction violation2019OFAC$66,212
Del Mar Asset Management, LP investor protection violation2014SEC$66,000
From The Sea To You Inc. investor protection violation2019ME-SEC$66,000
Ashmore Family Foundation investor protection violation2008ND-SEC$65,223
Prudential Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2002CFTC$65,000
Sea Gear Marine Supply Inc. tax violations2018ATTTB$65,000
Woodbury Financial Services, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2009SEC$65,000
Hudson Housing Capital LLC investor protection violation2018SEC$65,000
Excel Industries, Inc. tax violations2019ATTTB$65,000
American Bondholders Foundation, LLC investor protection violation2020SEC$65,000
Gunderson Capital Management, Inc. investor protection violation2014CA-DFPI$65,000
K3 Enterprises, Inc. investor protection violation2010MD-SEC$65,000
Central Missouri Commodities, Inc. investor protection violation2008MO-SEC$65,000
Dexter Group, LLC investor protection violation2014NJ-BOS$65,000
The Wilson Williams Financial Group investor protection violation2006TX-SEC$65,000
M&W Financial Inc. investor protection violation2007TX-SEC$65,000
CI FRANCHISE COMPANY, LLC investor protection violation2016VA-SEC$65,000
Rchain Cooperative investor protection violation2020WA-FIN$65,000
WebRotator, Inc. investor protection violation2019WA-FIN$65,000
Vstock Transfer LLC investor protection violation2020SEC$65,000
Lehman Brothers, Inc. investor protection violation2001FINRA$65,000
NMJ Group investor protection violation2021WA-SEC$65,000
Gries & Associates, LLC accounting fraud or deficiencies2024PCAOB$65,000
ClearPath Capital Partners LLC investor protection violation2024SEC$65,000
Grays Peak Ventures LLC investor protection violation2024SEC$65,000
MML Investors Services, LLCMassachusetts Mutual Life Insurancefinancial servicesinvestor protection violation2024VA-SEC$65,000
Lichter, Yu and Associates, Inc., et al.? investor protection violation2018SEC$64,900
Network Hardware Resale LLC economic sanction violation2014OFAC$64,758
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2013AK-DBS$64,661
Bellingham Investment Management investor protection violation2016CA-DFPI$64,120
Sempra Metal Ltd. economic sanction violation2004OFAC$64,000
Fidelity Brokerage Services, Inc. dba Fidelity InvestmentsFidelity Investmentsfinancial serviceseconomic sanction violation2005OFAC$63,853
SMP Investments I, LLC investor protection violation2015SEC$63,750
First Command Brokerage Services, Inc. investor protection violation2022CO-SEC$63,232
First Security Bank, Utah economic sanction violation2003OFAC$63,200
CRT Enterprises, LLC and Platinum Financial Advisors, LLC and Sterling-Meridian, LLC investor protection violation2007MO-SEC$63,194
Cargill IncorporatedCargillagribusinesstax violations2011ATTTB$63,000
Wren's Oil Field Recovery Co. investor protection violation2009IN-SEC$63,000
Project Goshen, Inc. investor protection violation2008MD-SEC$63,000
Paul Winkler, Inc. investor protection violation2019AL-SEC$62,954
Weinberg & Baer LLC accounting fraud or deficiencies2018SEC$62,899
EFG Asset Management (Americas) Corp. investor protection violation2019SEC$62,505
Bremen Investment Company, LLC and Harvest Marketplace, LLC investor protection violation2016MO-SEC$62,500
Hard Asset Management, Inc. investor protection violation2004SEC$62,439
Franklin AAA Holdings, LLC investor protection violation2016AZ-CC$62,426
First Citizens Asset Management, Inc. investor protection violation2019SEC$62,418
Rudney Associates, Inc. investor protection violation2004SEC$62,330
ALEXANDER PERRY CORPORATION investor protection violation2013VA-SEC$62,000
Mortgage Protection Services and Lead System Inc. banking violation2015WI-FIN$62,000
Charles Schwab & Co.Charles Schwab Corp.financial servicesinvestor protection violation2014SEC$61,800
Lashley Wealth Management, Inc., investor protection violation2024MO-SEC$61,762
Savannah Solar International, Inc. and Savannah Solar International, LLC investor protection violation2021VA-SEC$61,611
Select Money Management, Inc. investor protection violation2019SEC$61,558
Hakan Agro Commodities Trading Co. economic sanction violation2004OFAC$61,526
La Colombe Distilling, LLC tax violations2022ATTTB$61,510
Wellington Sports Club, LLC investor protection violation2019MS-SEC$61,270
Oppenheimer & Co.Oppenheimer Holdingsfinancial servicesinvestor protection violation2014SEC$61,200
Vinpak Inc. tax violations2019ATTTB$61,000
Stifel, Nicolaus & Company Inc.Stifel Financialfinancial servicesinvestor protection violation2014NE-DBF$61,000
Ramius Securities L.L.C. investor protection violation2001FINRA$61,000
Axius Holdings, LLC investor protection violation2014SEC$60,881
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.