Basic Search  |  Summaries  |  Advanced Search

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearAgencyPenalty Amount sort icon
Axius Holdings, LLC investor protection violation2014SEC$60,881
Cygs, LLC investor protection violation2017SEC$60,879
Charles Schwab & Co, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2004FINRA$60,869
BASF Corp.BASFchemicalseconomic sanction violation2004OFAC$60,500
DKM Certified Public Accountants, Inc. investor protection violation2015SEC$60,043
Lee's Snack Shop, Inc. anti-money-laundering deficiencies2015FINCEN$60,000
Central States Capital Markets, LLC investor protection violation2015SEC$60,000
Loop Capital Markets, LLC investor protection violation2015SEC$60,000
The Northern Trust CompanyNorthern Trustfinancial servicesinvestor protection violation2015SEC$60,000
National Securities Corporation investor protection violation2014SEC$60,000
Stifel Nicolaus & Co.Stifel Financialfinancial servicesinvestor protection violation2014SEC$60,000
Knelman Asset Management Group investor protection violation2013SEC$60,000
Sebastiani Vineyards tax violations2003ATTTB$60,000
Star Tobacco Inc tax violations2002ATTTB$60,000
Railex LLC tax violations2017ATTTB$60,000
Advantage Investment Management, LLC investor protection violation2016SEC$60,000
Municipal Capital Markets Group, Inc. investor protection violation2016SEC$60,000
Comerica Securities, Inc.Comericafinancial servicesinvestor protection violation2015SEC$60,000
U.S. Bank Municipal Securities GroupU.S. Bancorpfinancial servicesinvestor protection violation2015SEC$60,000
Lazarus Management Company LLC investor protection violation2014SEC$60,000
JSK Associates, Inc. investor protection violation2011SEC$60,000
Sands Brothers Asset Management LLC investor protection violation2010SEC$60,000
Axiom Capital Management, Inc. investor protection violation2010SEC$60,000
MCL Financial Group, Inc. investor protection violation2007SEC$60,000
McLaughlin, Piven & Vogel investor protection violation2009DE-AG$60,000
Three Bridge Wealth Advisors, LLC investor protection violation2019SEC$60,000
TSP Capital Management Group, LLC investor protection violation2020SEC$60,000
Next Financial Group, Inc.Atria Wealth Solutionsfinancial servicesinvestor protection violation2012AL-SEC$60,000
Laidlaw & Company (UK) Ltd. fka Sands Brothers International Ltd. investor protection violation2009CT-SEC$60,000
QFC Consulting, Inc. investor protection violation2013FL-OFR$60,000
VFG, LLC fka Voyager Financial Group, LLC investor protection violation2014FL-OFR$60,000
Salt Lake City Wireless, LLC aka Salt Lake Wireless, LLC investor protection violation2005ID-SEC$60,000
The Maxim Group, LLC investor protection violation2011IL-SEC$60,000
LaHarpe-NRG, LLC investor protection violation2014IL-SEC$60,000
Bio-NRG, LLC investor protection violation2014IL-SEC$60,000
Berry Resources, Inc. investor protection violation2012KY-FIN$60,000
Game Designs LLC investor protection violation2020KY-FIN$60,000
PSA Equities, Inc. and PSA Financial Advisors, Inc. investor protection violation2008MD-SEC$60,000
Ascension Energy Group, Inc. investor protection violation2016MI-SEC$60,000
Blockweather Holdings, LLC investor protection violation2018MI-SEC$60,000
Wedgewood Properties, LLC investor protection violation2018MI-SEC$60,000
Cuprill Wealth Coaching, LLC investor protection violation2015MO-SEC$60,000
Ferry Capital Management LLC investor protection violation2020NC-SEC$60,000
Ultimate Ventures Inc. investor protection violation2007OR-FIN$60,000
THC Pharmaceutical, Inc. investor protection violation2016OR-FIN$60,000
Becker, Jackson & Reed LLC investor protection violation2018OR-FIN$60,000
Miraculum Inc. investor protection violation2019PA-BKG$60,000
IL Enterprises LLC investor protection violation2016SC-SEC$60,000
Kleinheinz Capital Partners Inc. investor protection violation2002TX-SEC$60,000
EARTHWALK COMMUNICATIONS, INC. investor protection violation2006VA-SEC$60,000
H. BECK, INC. investor protection violation2008VA-SEC$60,000
CHRISTIAN WEALTH MANAGEMENT, LLC investor protection violation2016VA-SEC$60,000
NEXT FINANCIAL GROUP, INC.Atria Wealth Solutionsfinancial servicesinvestor protection violation2017VA-SEC$60,000
D.A. Davidson and Co. investor protection violation2018VT-FIN$60,000
Doing Business, Inc. investor protection violation2016WA-FIN$60,000
Anthone Properties, LLC investor protection violation2005WA-FIN$60,000
The Investment Counsel, LLC investor protection violation2016WI-FIN$60,000
Spiderworx Media LLC investor protection violation2020SEC$60,000
Dragonchain, Inc. investor protection violation2021WA-SEC$60,000
Smart Acquisitions, L.L.C. and Smart Enterprises, L.L.C. and Simply Smart Homes, L.L.C. investor protection violation2020AZ-CC$60,000
Salomon Whitney LLC investor protection violation2011FINRA$60,000
Leonard & Company investor protection violation2009FINRA$60,000
Brinker Capital Securities, Inc. investor protection violation2005FINRA$60,000
Chase Investment Services Corp.JPMorgan Chasefinancial servicesinvestor protection violation2005FINRA$60,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2005FINRA$60,000
Ettro Capital Management Corp. investor protection violation2021SEC$60,000
Legacy Funding Services, LLC investor protection violation2022SEC$60,000
Investment Capital Advisors, LLC investor protection violation2022PA-BKG$60,000
Avantax Investment Services, Inc. investor protection violation2022VT-FIN$60,000
Magna Bures Oil investor protection violation2022KY-FIN$60,000
CliftonLarsonAllen Wealth Advisors, LLC investor protection violation2022PA-BKG$60,000
SyndiCap Investment and Securities Management, LLC et al. investor protection violation2023VA-SEC$60,000
Benecke Economics investor protection violation2023SEC$60,000
McElhenny Sheffield Capital Management LLC investor protection violation2023SEC$60,000
Trowbridge Capital Partners LLC investor protection violation2023SEC$60,000
Alpine 4 Holdings, Inc. investor protection violation2023SEC$60,000
Omnia Wellness Inc. investor protection violation2023SEC$60,000
Vivic Corp. investor protection violation2023SEC$60,000
Far East Ship Supply tax violations2023ATTTB$60,000
Mazars USA LLP accounting fraud or deficiencies2024PCAOB$60,000
SW Audit accounting fraud or deficiencies2024PCAOB$60,000
Wayzata Investment Partners LLC investor protection violation2024SEC$60,000
De Visser Gray LLP accounting fraud or deficiencies2024PCAOB$60,000
Professional Financial Strategies Inc. investor protection violation2024SEC$60,000
Mcnamara Capital Investment Group investor protection violation2024IL-SEC$60,000
GRID 202 LLC investor protection violation2024SEC$60,000
Morgan Keegan & Co.Raymond James Financialfinancial servicesinvestor protection violation2012AR-SEC$59,659
Folger Nolan Fleming Douglas Capital Management Inc. investor protection violation2019SEC$59,478
Wilkay Corp. tax violations2002CA-LACDA$59,400
Ireland & Sando LLC investor protection violation2023ND-SEC$59,250
LOG CABIN BBQ, LLC investor protection violation2010VA-SEC$59,216
General Reinsurance CorporationBerkshire Hathawaydiversifiedeconomic sanction violation2011OFAC$59,130
Lebanese Arak Corporation tax violations2008ATTTB$59,000
Bank of Boston and Sure Trade economic sanction violation2004OFAC$58,944
Phoenix Funding, LLC investor protection violation2012AZ-CC$58,905
THE FIRST STATE BANK banking violation2010FDIC$58,900
TRANSCOMMUNITY FINANCIAL CORP. investor protection violation2006VA-SEC$58,900
Eternal Presence, Inc. investor protection violation2002AZ-CC$58,780
Jalapenos Leadership Industries, LLC investor protection violation2017CA-DFPI$58,500
Mariposa Wine Company LLC D/B/A Mariposa Wine Company tax violations2021ATTTB$58,437
First Trust & Savings Bank of Albany, Illinois banking violation2017FDIC$58,232
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.