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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
Intersecurities, Inc. investor protection violation2009FINRA$50,000
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.financial servicesinvestor protection violation2008FINRA$50,000
Jefferies & Company, Inc.Jefferies Financial Groupdiversifiedinvestor protection violation2008FINRA$50,000
JMP Securities, LLC investor protection violation2008FINRA$50,000
Pacific Crest Securities, Inc. investor protection violation2008FINRA$50,000
McLaughlin, Piven and Vogel Securities Inc. investor protection violation2006FINRA$50,000
Credit Suisse First Boston, L.L.C.UBSfinancial servicesinvestor protection violation2004FINRA$50,000
Fleet Securities, Inc. investor protection violation2001FINRA$50,000
Rokk3r, Inc. investor protection violation2021SEC$50,000
HQDA Elderly Life Network Corp. investor protection violation2021SEC$50,000
Asta Funding, Inc. investor protection violation2021SEC$50,000
Cetera Investment Services LLC investor protection violation2021AR-SEC$50,000
RBSM LLP accounting fraud or deficiencies2021PCAOB$50,000
The Cavanaugh Group Inc. investor protection violation2021SEC$50,000
Tradier Brokerage Inc. investor protection violation2021SEC$50,000
CUNA Brokerage Services, Inc.CUNA Mutualfinancial servicesinvestor protection violation2021AR-SEC$50,000
Black Hill Capital Partners Inc. investor protection violation2021CA-DFPI$50,000
Dale Matheson Carr-Hilton LaBonte LLP accounting fraud or deficiencies2021PCAOB$50,000
Redwood Wealth Management, LLC investor protection violation2021SEC$50,000
Revere Securities, LLC investor protection violation2021SEC$50,000
Sage Financial Design, Inc. investor protection violation2022CT-SEC$50,000
Business Solutions Consulting, LLC investor protection violation2022FL-OFR$50,000
JLKZ CPA LLP accounting fraud or deficiencies2022PCAOB$50,000
WWC, P.C. accounting fraud or deficiencies2022PCAOB$50,000
Corona Associates Capital Management, LLC investor protection violation2022SEC$50,000
QVR, LLC investor protection violation2022SEC$50,000
Polaris Equity Management, Inc. investor protection violation2022SEC$50,000
KPMG Accountants N.V.KPMGbusiness servicesaccounting fraud or deficiencies2022PCAOB$50,000
Hay & Watson accounting fraud or deficiencies2022PCAOB$50,000
Raymond James & Associates, Inc.Raymond James Financialfinancial servicesinvestor protection violation2022SC-SEC$50,000
WSG Advisors, LLC investor protection violation2022SC-SEC$50,000
Alvarez & Associates, Inc. accounting fraud or deficiencies2022PCAOB$50,000
TangleTrade Management and Inception Capital Management investor protection violation2022WA-SEC$50,000
E. Magnus Oppenheim & Co. Inc investor protection violation2023SEC$50,000
Datatex Investment Services, Inc. investor protection violation2023SEC$50,000
RT LLP accounting fraud or deficiencies2023PCAOB$50,000
Hemp Naturals Inc. investor protection violation2023SEC$50,000
LiveWire Ergogenics Inc. investor protection violation2023SEC$50,000
Barzily & Co. accounting fraud or deficiencies2023PCAOB$50,000
Boyle CP LLC accounting fraud or deficiencies2023SEC$50,000
BPM LLP accounting fraud or deficiencies2023PCAOB$50,000
Snows Acquisition, LLC investor protection violation2023MA-SEC$50,000
WDC Advisors, LLC investor protection violation2023PA-BKG$50,000
Banorte Asset Management Inc. investor protection violation2023SEC$50,000
Hansen and Associates Financial Group Inc investor protection violation2023SEC$50,000
Lloyd George Management (HK) Limited investor protection violation2023SEC$50,000
Carl M. Hennig, Inc. investor protection violation2023SEC$50,000
Deloitte AuditDeloittebusiness servicesaccounting fraud or deficiencies2023PCAOB$50,000
Da Hua CPAs accounting fraud or deficiencies2023PCAOB$50,000
Eagan Capital Management, LLC investor protection violation2023SEC$50,000
Blue Owl Credit Income Corp. investor protection violation2024TN-SEC$50,000
Blue Owl Technology Income Corp. investor protection violation2024TN-SEC$50,000
Groundwork Wealth Management, LLC investor protection violation2024PA-BKG$50,000
CIBC World Markets, Inc.Canadian Imperial Bank of Commercefinancial servicesinvestor protection violation2024AZ-CC$50,000
Yusufali & Associates, LLC accounting fraud or deficiencies2024PCAOB$50,000
Bush & Associates CPA LLC accounting fraud or deficiencies2024PCAOB$50,000
CIBC World Markets, Inc.Canadian Imperial Bank of Commercefinancial servicesinvestor protection violation2024AZ-CC$50,000
Marketxt, Inc. investor protection violation2005SEC$49,965
First Allied Securities, Inc. and First Allied Advisory Services, Inc. investor protection violation2019CT-SEC$49,266
Sorrento Pacific Financial, LLCAtria Wealth Solutionsfinancial servicesinvestor protection violation2019SEC$49,162
MyBank banking violation2018FED$49,000
Black Diamond Wealth Management, LLC investor protection violation2023PA-BKG$49,000
Windsor Asset Management investor protection violation2004MD-SEC$48,919
FRONTIER BANK banking violation2008FDIC$48,895
ATP Tour, Inc. economic sanction violation2013OFAC$48,600
ZBS Group LLP investor protection violation2019SEC$48,461
COASTAL COMMUNITY BANK banking violation2010FDIC$48,455
Ameriprise Advisor Services Inc.Ameriprise Financialfinancial servicesinvestor protection violation2009RI-FIN$48,411
DH Products, LLC investor protection violation2012CO-SEC$48,250
Valor Capital Asset Management LLC investor protection violation2016TX-SEC$48,000
Fountain Capital Management, LLC investor protection violation2005AZ-CC$47,833
Infinity Fuels, Inc. investor protection violation2017AZ-CC$47,795
River Bank banking violation2013FDIC$47,500
Aegis Oil, LLC and Aegis Disposal Systems, LLC investor protection violation2017WA-FIN$47,500
The Place to Shoot, Inc. tax violations2007ATTTB$47,485
Greenleaf Companies, LLC and The Real Estate Company of Missouri investor protection violation2010MO-SEC$47,472
American AirlinesAmerican Airlinesairlineseconomic sanction violation2003OFAC$47,250
Octopi Brewing, LLC tax violations2024ATTTB$47,043
Zions Public Finance Inc.Zions Bancorporationfinancial servicesinvestor protection violation2024SEC$47,000
Monroe Bank & Trust banking violation2018FDIC$46,800
Monroe Bank & Trust banking violation2018FDIC$46,800
The Washington Trust Co. tax violations2015CT-AG$46,740
BANCORPSOUTH BANKCadence Bankfinancial servicesbanking violation2011FDIC$46,500
Carhart Capital Management, LLC investor protection violation2016FL-OFR$46,500
Seabury & Smith Inc.Marsh & McLennanfinancial serviceseconomic sanction violation2005OFAC$46,341
Ascend Capital, LLC investor protection violation2003SEC$46,258
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020TX-SEC$46,073
The Bank banking violation2005FED$46,050
LendingClub Corp.LendingClub Corp.financial servicesinvestor protection violation2015CA-DFPI$46,000
Chisu International Corporation economic sanction violation2022OFAC$45,908
Mercury Capital investor protection violation2012SEC$45,747
Mastermind Vodka Inc. tax violations2019ATTTB$45,600
AflacAssist.com, LLC investor protection violation2015MO-SEC$45,570
SAVINGS BANK OF MENDOCINO COUNTY banking violation2008FDIC$45,375
McLean Asset Management Corporation investor protection violation2012NH-BSR$45,300
Benchmark Capital Advisors LLC investor protection violation2019SEC$45,182
United Gold Direct, LLC investor protection violation2020CA-DFPI$45,112
Humane Society of Harrisburg Area accounting fraud or deficiencies2023PA-AG$45,055
Mian, Inc. dba Tower Package Store anti-money-laundering deficiencies2014FINCEN$45,000
Navigators International Management Co., Ltd. investor protection violation2011SEC$45,000
Parallel Products of Kentucky, Inc. tax violations2005ATTTB$45,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.