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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
Financial Fiduciaries, LLC investor protection violation2018SEC$40,000
360 Financial, Inc. investor protection violation2017SEC$40,000
Commerce Bank Capital Markets Group investor protection violation2015SEC$40,000
Estrada Hinojosa & Company, Inc. investor protection violation2015SEC$40,000
1st Discount Brokerage, Inc. investor protection violation2012SEC$40,000
Indian River Beverage Corporation tax violations2018ATTTB$40,000
CapitalWorks Investment Partners, LLC investor protection violation2006SEC$40,000
Hutchens Investment Management, Inc.? investor protection violation2006SEC$40,000
Gerald Klein & Associate, Inc. and Klein Pavlis & Peasley Financial, Inc investor protection violation2005SEC$40,000
Renberg Capital Management, Inc. investor protection violation2002SEC$40,000
Pryor, McClendon, Counts & Co., Inc. investor protection violation2002SEC$40,000
Tiffany Capital Advisors, Inc. investor protection violation2001SEC$40,000
Prospera Financial Services, Inc. investor protection violation2000SEC$40,000
Charter Capital Management, LLC investor protection violation2019SEC$40,000
Libertad Bank SSB banking violation2012FDIC$40,000
SEATTLE BANK banking violation2011FDIC$40,000
Amadeus Wealth Advisors, LLC investor protection violation2019SEC$40,000
BDO Auditores, S.L.P.BDO Internationalbusiness servicesaccounting fraud or deficiencies2017PCAOB$40,000
Naya Ventures, LLC investor protection violation2020SEC$40,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2019AR-SEC$40,000
Mirae Asset Wealth Management (USA) Inc. investor protection violation2018CA-DFPI$40,000
Conestoga Trust investor protection violation2017CO-SEC$40,000
Prosper Marketplace, Inc.Prosper Marketplacefinancial servicesinvestor protection violation2012CT-SEC$40,000
Ameritrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2009DE-SEC$40,000
Strategic Strategies, Inc. investor protection violation2002FL-OFR$40,000
WM Financial Services, Inc. investor protection violation2003FL-OFR$40,000
Asset Capital Consulting, Inc. investor protection violation2014FL-OFR$40,000
Premier Marketing & Investments, Inc. investor protection violation2001ID-SEC$40,000
EMI Sun Village, Inc. et al. investor protection violation2007ID-SEC$40,000
Bikini Vending, Inc. investor protection violation2005IL-SEC$40,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2007IL-SEC$40,000
Lockhart and Rosenburg, Inc. investor protection violation2018IL-SEC$40,000
Nations Trust First Initiatives investor protection violation2004MD-SEC$40,000
Checkmake Financial, Inc. investor protection violation2006MD-SEC$40,000
American River Capital, Inc. et al. investor protection violation2009MD-SEC$40,000
Retro Wall Street Advisors et al. investor protection violation2015MD-SEC$40,000
Mongolian Gold Standard, LLC investor protection violation2018MD-SEC$40,000
Endeavor Management Solutions LLC investor protection violation2017ME-SEC$40,000
River East Financial, Ltd. investor protection violation2016MI-SEC$40,000
Patriots Energy Group, Inc. investor protection violation2016MI-SEC$40,000
Creative Wealth Strategies, Inc. investor protection violation2017MI-SEC$40,000
Advantage Real Estate Consultants, LLC investor protection violation2017MI-SEC$40,000
Atos Ltd.Atosinformation technologyinvestor protection violation2017MI-SEC$40,000
Treasure Enterprise, LLC investor protection violation2017MI-SEC$40,000
Safe Harbor Retirement Solutions, LLC investor protection violation2018MN-FIN$40,000
Planet EV's Inc. investor protection violation2007MO-SEC$40,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2018MS-SEC$40,000
Securities America, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2016NE-DBF$40,000
Spartan Capital Securities LLC investor protection violation2013NH-BSR$40,000
J.D. Nicholas & Associates investor protection violation2013NH-BSR$40,000
Blackwell Donaldson & Company investor protection violation2005OR-FIN$40,000
Intelicloud Holdings Inc. investor protection violation2014OR-FIN$40,000
Cannacea LLC investor protection violation2017OR-FIN$40,000
Platinum Trading Company investor protection violation2019OR-FIN$40,000
Compass Energy Holdings, Inc. investor protection violation2013SC-SEC$40,000
SagePoint Financial Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2017SC-SEC$40,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2019SC-SEC$40,000
Lincoln Financial Securities CorporationLincoln Nationalfinancial servicesinvestor protection violation2010TX-SEC$40,000
Lowell & Company Inc. investor protection violation2019TX-SEC$40,000
World Trend Financial Planning Services, Ltd investor protection violation2019VA-SEC$40,000
Financial Services International Corp. investor protection violation2012WA-FIN$40,000
Navian Capital Securities LLC investor protection violation2020SEC$40,000
Blue Water Financial, LLC investor protection violation2020PA-BKG$40,000
Gerring Capital Partners, LLC investor protection violation2020PA-BKG$40,000
Alpine Securities Corporation investor protection violation2010FINRA$40,000
CIBC World Markets Corp.Canadian Imperial Bank of Commercefinancial servicesinvestor protection violation2005FINRA$40,000
Emmet & Co., Inc. investor protection violation2005FINRA$40,000
Loop Capital Markets, LLC investor protection violation2005FINRA$40,000
Popular Securities, Inc. investor protection violation2005FINRA$40,000
Sterling Financial Investment Group investor protection violation2002FINRA$40,000
Fleet Securities, Inc. investor protection violation2001FINRA$40,000
Herzog, Heine, Geduld, Inc. investor protection violation2001FINRA$40,000
Banc of America Securities LLCBank of Americafinancial servicesinvestor protection violation2001FINRA$40,000
Herring Bank banking violation2021FDIC$40,000
Fame Route, LLC investor protection violation2021KY-FIN$40,000
Moody Reid Financial investor protection violation2021MO-SEC$40,000
PKF O'Connor Davies, LLP accounting fraud or deficiencies2022PCAOB$40,000
New Tobacco King tax violations2022ATTTB$40,000
EIX Acquisition Company Corp. investor protection violation2022SC-SEC$40,000
CBD USA Grown, Inc. investor protection violation2022PA-BKG$40,000
Grant Thornton LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2022PCAOB$40,000
Principal Solar Inc. investor protection violation2023SEC$40,000
Ciro E. Adams, CPA, LLC accounting fraud or deficiencies2023PCAOB$40,000
Mancera, S.C. accounting fraud or deficiencies2023PCAOB$40,000
Plante & Moran, PLLC accounting fraud or deficiencies2023PCAOB$40,000
GGToor, Inc. investor protection violation2023SEC$40,000
KPMG ArgentinaKPMGbusiness servicesaccounting fraud or deficiencies2023PCAOB$40,000
KPMG Auditores Independentes Ltda.KPMGbusiness servicesaccounting fraud or deficiencies2023PCAOB$40,000
My Private Bullion investor protection violation2024OR-FIN$40,000
Grant Thornton Bharat LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2024PCAOB$40,000
Accell Audit & Compliance, P.A. accounting fraud or deficiencies2024PCAOB$40,000
Sunbeam Management, LLC investor protection violation2024SEC$40,000
CSG Advisors Inc. investor protection violation2024SEC$40,000
Montague DeRose & Associates LLC investor protection violation2024SEC$40,000
Phoenix Advisors LLC investor protection violation2024SEC$40,000
Kirkpatrick, Pettis, Smith, Polian Inc. investor protection violation2004FINRA$39,935
Buckson Realty Brokerage, Inc. investor protection violation2000DE-SEC$39,934
Peruvian Resources Management USA, LLC investor protection violation2008WA-FIN$39,791
Tital Funding Group 1, LLC and Titan Capital Holdings LLC investor protection violation2019AZ-CC$39,740
Sidney Frank Importing Co., Inc. tax violations2016CT-AG$39,630
RIVER CITY BANK, INC. banking violation2007FDIC$39,515
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.