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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
Hampton Capital Markets, LLC investor protection violation2014AZ-CC$50,000
Trager, L.L.C. investor protection violation2019AZ-CC$50,000
Capstone Investments investor protection violation2006CA-DFPI$50,000
Blueray Technologies L.L.C. and Blue Ray Technologies, Inc. investor protection violation2008CA-DFPI$50,000
TechnoVision Management, LLC investor protection violation2017CA-DFPI$50,000
Accelerated Wealth, LLC investor protection violation2017CO-SEC$50,000
Accelerated Wealth, LLC investor protection violation2017CO-SEC$50,000
SkiHawk Capital Partners, LLC and SkiHawk Financial, Inc. investor protection violation2017CO-SEC$50,000
J. Lawson & Associates, Inc. investor protection violation2010CT-SEC$50,000
Movies for a Better World, LLC investor protection violation2012CT-SEC$50,000
Sky Watch Media, Inc. investor protection violation2012CT-SEC$50,000
Maxcomusa Group Inc. investor protection violation2013CT-SEC$50,000
Steadfast Holdings Group, Inc. fka Beere Financial Group, Inc. investor protection violation2013CT-SEC$50,000
Stead-Fast Custom Linings, LLC investor protection violation2013CT-SEC$50,000
Method Films, Inc. aka Method Films, LLC investor protection violation2013CT-SEC$50,000
Mohr & Moore, LLC investor protection violation2013CT-SEC$50,000
Stilas Financial Services, S.A. investor protection violation2013CT-SEC$50,000
Hybrid Automotive Technologies, Inc. investor protection violation2013CT-SEC$50,000
Northeast Development Corp. investor protection violation2013CT-SEC$50,000
Rescon Technology Corp. investor protection violation2013CT-SEC$50,000
The African Diamond Company, Inc. nka Coal Corporation investor protection violation2013CT-SEC$50,000
Speed of Thought Trading Corp. investor protection violation2013CT-SEC$50,000
Meyers Associates, L.P. investor protection violation2015CT-SEC$50,000
Wilmington Trust Co.M&T Bankfinancial servicesinvestor protection violation2005DE-SEC$50,000
Southern 2000, Inc. investor protection violation2000FL-OFR$50,000
Allen Financial Group, Inc. investor protection violation2000FL-OFR$50,000
Cantella & Co., Inc. investor protection violation2002FL-OFR$50,000
The Undetectables Movie, LLC investor protection violation2018GA-SEC$50,000
Resonanceoptions investor protection violation2019GA-SEC$50,000
Inkjet Plus, Inc. investor protection violation2014HI-SEC$50,000
Hubadex, Inc. investor protection violation2005IL-SEC$50,000
Metro Suburban Realty investor protection violation2007IL-SEC$50,000
Merit Inter Group Ltd. investor protection violation2008IL-SEC$50,000
Quantum Biomod Corp. investor protection violation2009IL-SEC$50,000
PrimeVest Financial Services, Inc. investor protection violation2010IL-SEC$50,000
InfrAegis Inc. et al. investor protection violation2010IL-SEC$50,000
Revelle Resources Inc. investor protection violation2012IL-SEC$50,000
Old Carco, LLC fka Chrysler, LLC investor protection violation2009IN-SEC$50,000
Rogpex, Inc. investor protection violation2004KY-FIN$50,000
Allied Energy, Inc. investor protection violation2010KY-FIN$50,000
FWG Investments LLC investor protection violation2020KY-FIN$50,000
Capital Investment Group, Inc. investor protection violation2018MA-SEC$50,000
SII Investments, Inc. investor protection violation2018MA-SEC$50,000
Joe Karsner & Associates, LLC investor protection violation2008MD-SEC$50,000
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2008MD-SEC$50,000
New Image, LLC investor protection violation2010MD-SEC$50,000
Kitchen Concepts, Inc. investor protection violation2011MD-SEC$50,000
Wells Fargo Advisors LLCWells Fargofinancial servicesinvestor protection violation2012MD-SEC$50,000
AIM Holdings I, LLC investor protection violation2012MD-SEC$50,000
LBC Real Estate Development, Inc. investor protection violation2012MD-SEC$50,000
Triune, LLC dba Baja Fresh investor protection violation2012MD-SEC$50,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2013MD-SEC$50,000
First Management Group Investments, Inc. investor protection violation2013MD-SEC$50,000
The Borrowing Station, LLC investor protection violation2013MD-SEC$50,000
Chelsea Financial Group, LLC investor protection violation2013MD-SEC$50,000
Bimbo Foods Bakeries Distribution, LLCBimbo Groupfood productsinvestor protection violation2015MD-SEC$50,000
CIT Investments, Ltd. investor protection violation2017ME-SEC$50,000
Saltwater Harbor Financial, LLC investor protection violation2018ME-SEC$50,000
NYLIFE Securities LLCNew York Life Insurancefinancial servicesinvestor protection violation2019ME-SEC$50,000
Harbinger Asset Management, L.L.C. investor protection violation2016MI-SEC$50,000
Raymond James & Associates, Inc.Raymond James Financialfinancial servicesinvestor protection violation2020MI-SEC$50,000
Efficient Creation Innovations, Inc. aka ECI and Broit Light investor protection violation2012MN-FIN$50,000
Kensington Capital Management, Ltd. investor protection violation2014MN-FIN$50,000
Son & Carter, Inc. investor protection violation2006MO-SEC$50,000
Surgioscopy, LLC investor protection violation2019MO-SEC$50,000
Brixon Group investor protection violation2004MS-SEC$50,000
MetLife Securities, Inc.MetLifefinancial servicesinvestor protection violation2006MS-SEC$50,000
Stifel, Nicolaus & Company, Inc.Stifel Financialfinancial servicesinvestor protection violation2017MS-SEC$50,000
Cetera Investment Services LLC investor protection violation2016MT-FIN$50,000
Concorde Investment Services, LLC investor protection violation2019NH-BSR$50,000
Santander Securities, LLCBanco Santanderfinancial servicesinvestor protection violation2019NH-BSR$50,000
GT Advanced Technologies Inc. investor protection violation2020NH-BSR$50,000
J.C.G. Check Cashing Corp. anti-money-laundering deficiencies2003NY-DFS$50,000
Bandco Check Cashing Services, Inc. anti-money-laundering deficiencies2004NY-DFS$50,000
Raglin Industries LLC et al. investor protection violation2008OK-SEC$50,000
Northwest Communications Inc. investor protection violation2001OR-FIN$50,000
National Equipment Providers LLC investor protection violation2003OR-FIN$50,000
Spa Marketing LLC investor protection violation2003OR-FIN$50,000
99 Crossings LLC investor protection violation2020OR-FIN$50,000
Lumentrades Financial Incorporated investor protection violation2020OR-FIN$50,000
Financial Triumph Associates investor protection violation2014PA-BKG$50,000
River Wealth Advisors LLC investor protection violation2016PA-BKG$50,000
Stonehouse Asset Management Inc. investor protection violation2017PA-BKG$50,000
Wesleyan Investment Foundation Inc. investor protection violation2018PA-BKG$50,000
Strategic Point Investment Advisors LLC and Progressive Financial Strategies LLC investor protection violation2009RI-FIN$50,000
7 Oaks Pharmaceutical Corp. investor protection violation2014SC-SEC$50,000
Securian Financial Services Inc.Securian Financialfinancial servicesinvestor protection violation2009TX-SEC$50,000
Chestnut Exploration Partners Inc. investor protection violation2012TX-SEC$50,000
The Investment Center Inc. investor protection violation2016TX-SEC$50,000
Great Oklahoma Oil Deal, LLP investor protection violation2008VA-SEC$50,000
EnStyle Wedding Designs International, LLC investor protection violation2009VA-SEC$50,000
PACIFIC WEST SECURITIES, INC. investor protection violation2014VA-SEC$50,000
WealthForge Securities, LLC and WealthForge Holdings, Inc. investor protection violation2020VA-SEC$50,000
Family First Advanced Estate Planning and Family First Insurance Services investor protection violation2006WA-FIN$50,000
Payday Today USA.com, Inc. investor protection violation2001WA-FIN$50,000
Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesinvestor protection violation2007WI-FIN$50,000
Physicians Development Group, LLC and Physicians Senior Care Fund, LLC investor protection violation2020CO-SEC$50,000
USI-Tech Limited investor protection violation2020SC-SEC$50,000
PNC Capital Markets LLCPNC Financial Servicesfinancial servicesinvestor protection violation2016FINRA$50,000
SIGMA Financial Corporation investor protection violation2009FINRA$50,000
Intersecurities, Inc. investor protection violation2009FINRA$50,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.