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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
Infinity Financial Investment Corp. and Wallstreet-Analysis Investments investor protection violation2006MD-SEC$35,000
Morgan Stanley & Co. Inc.Morgan Stanleyfinancial servicesinvestor protection violation2008MD-SEC$35,000
ABCSP Inc. investor protection violation2010MD-SEC$35,000
The Calvary Group, LLC investor protection violation2019MD-SEC$35,000
Revere Securities LLC investor protection violation2014ME-SEC$35,000
Tin Thanh Electricity Steam Industrial Corp. and Tin Thanh Oakwood Bank Corp. banking violation2018MN-FIN$35,000
Sanders Morris Harris Inc. investor protection violation2014MS-SEC$35,000
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2012NH-BSR$35,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2015NH-BSR$35,000
Wells Fargo Advisors Financial Network, LLCWells Fargofinancial servicesinvestor protection violation2016NH-BSR$35,000
Pro-Tech Enterprises, LLC investor protection violation2012NJ-BOS$35,000
Westchester Check Cashing, Inc. anti-money-laundering deficiencies2004NY-DFS$35,000
Cetera Advisors LLC investor protection violation2017OR-FIN$35,000
Inland Pacific Energy Center LLC investor protection violation2017OR-FIN$35,000
Wellington Sports Club LLC et al. investor protection violation2018OR-FIN$35,000
Para Firm Corporation investor protection violation2015SC-SEC$35,000
SWS Financial Services Inc. investor protection violation2008TX-SEC$35,000
Advisory Financial Group, Inc. investor protection violation2000VA-SEC$35,000
ANY TEST FRANCHISING, INC. investor protection violation2013VA-SEC$35,000
INDEPENDENT FINANCIAL GROUP, LLC investor protection violation2014VA-SEC$35,000
MAXIMIZED LIVING HEALTH CENTERS LLC investor protection violation2017VA-SEC$35,000
Retirement and College Financial Services of Vermont LLC investor protection violation2019VT-FIN$35,000
Urban Traffic investor protection violation2019WA-FIN$35,000
AlderEgo Holdings, Inc. and Carfield Family, Inc. investor protection violation2019WA-FIN$35,000
Beacon Development Group investor protection violation2007WA-FIN$35,000
Sukarne SA de CV investor protection violation2020CFTC$35,000
Carlin Equities Corporation investor protection violation2004FINRA$35,000
FutureTrade Securities, L.L.C investor protection violation2004FINRA$35,000
Mutual Service Corporation, Inc. investor protection violation2001FINRA$35,000
Cornerstone Securities Corporation investor protection violation2001FINRA$35,000
Yarel + Partners accounting fraud or deficiencies2022PCAOB$35,000
Seek Insurance, LLC and Elite Benefits Group, LLC investor protection violation2023AZ-CC$35,000
BDO TaiwanBDO Internationalbusiness servicesaccounting fraud or deficiencies2023PCAOB$35,000
Black Spade Acquisition Co investor protection violation2023SEC$35,000
ReShape Lifesciences Inc. investor protection violation2023SEC$35,000
Cherry Bekaert LLP accounting fraud or deficiencies2023PCAOB$35,000
Bain Wealth Management Group, LLC investor protection violation2023OR-FIN$35,000
Rede Wealth, LLC investor protection violation2023VA-SEC$35,000
Manning Elliott LLP accounting fraud or deficiencies2023PCAOB$35,000
Bank of New YorkBank of New York Mellonfinancial serviceseconomic sanction violation2004OFAC$34,623
Brandywine Financial Group Inc. investor protection violation2017PA-BKG$34,500
ROLFund.com and Crunkland Records, Ltd. and Crunkvest Ltd. investor protection violation2007MO-SEC$34,390
MoneyGram Payment Systems, IncMadison Dearborn Partnersprivate equity (including portfolio companies)economic sanction violation2021OFAC$34,328
Consolidated Wealth Holdings, Inc. investor protection violation2015ID-SEC$34,325
National City BankPNC Financial Servicesfinancial servicesbanking violation2009OCC$34,265
Macian Wealth Management, LLC investor protection violation2017CA-DFPI$34,236
Betty Foodmart tax violations2021AL-AG$34,219
CWS Capital Partners, LLC investor protection violation2015CA-DFPI$34,140
Provident Bank banking violation2003FED$34,100
LBBW (Schweiz) AG tax violations2015DOJ_TAX$34,000
Tryp Technologies Inc. investor protection violation2021WA-SEC$34,000
Swineford National BankFulton Financialfinancial servicesbanking violation2013OCC$33,880
Winter, Kloman, Moter & Repp, S.C. investor protection violation2018SEC$33,848
Santa Rita Partners, Inc. investor protection violation2011CA-DFPI$33,846
Platte Valley Bank banking violation2017FED$33,785
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020WA-FIN$33,753
New Mexico Wineries, Inc. tax violations2014ATTTB$33,606
Bank of Hampton RoadsAtlantic Union Banksharesfinancial servicesbanking violation2011FED$33,600
Meyers Associates, L.P. investor protection violation2015MT-FIN$33,531
Ogilvie Security Advisors Corp. investor protection violation2010IN-SEC$33,525
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2013CA-DFPI$33,520
Glenn A. Libertore Financial Services investor protection violation2002AZ-CC$33,460
Ryan International Airlines, Inc. economic sanction violation2004OFAC$33,214
Investment Research Corp investor protection violation2019SEC$33,188
DB Investment Managers, Inc. investor protection violation2005SEC$33,159
Volvo Construction Equipment North America, Inc.Volvomotor vehicleseconomic sanction violation2009OFAC$33,000
EPMedsystems, Inc. economic sanction violation2007OFAC$33,000
GasTech Engineering Corp. economic sanction violation2006OFAC$33,000
Salomon Lillian Gallery tax violations2003NY-MANDA$33,000
Pharyn Resources, Inc. investor protection violation2017MO-SEC$33,000
Merrill Lynch, Pierce, Fenner & Smith, IncorporatedBank of Americafinancial servicesinvestor protection violation2006VA-SEC$33,000
TENGFEI, INC. investor protection violation2009VA-SEC$33,000
Parke Bank banking violation2019FDIC$32,931
Leader Capital Corp. investor protection violation2005ID-SEC$32,825
Plutus Financial, Inc. dba Abra and Plutus Lending, LLC and Abra Boost, LLC investor protection violation2023SC-SEC$32,800
David Lerner Associates, Inc. investor protection violation2004FINRA$32,711
S&T BANKS&T Bancorpfinancial servicesbanking violation2010FDIC$32,640
Bank of Pontiac banking violation2005FED$32,550
DaimlerChryslerStellantismotor vehicleseconomic sanction violation2004OFAC$32,500
First State Bank of Illinois banking violation2016FDIC$32,500
Schmidt Baking Distribution, LLC investor protection violation2019MD-SEC$32,500
RealizedEquityServices LLC investor protection violation2018WA-FIN$32,500
Horizon Commercial Real Estate Funding, Inc. and Sunshine Inn, Inc. investor protection violation2012WA-FIN$32,500
Chase Investment Services Corp.JPMorgan Chasefinancial servicesinvestor protection violation2009FINRA$32,500
First Union Brokerage Services, Inc.Wells Fargofinancial servicesinvestor protection violation2001FINRA$32,500
Cooperstown Distillery, LLC tax violations2021ATTTB$32,500
AltoTerra Capital Partners Ltd. investor protection violation2024WA-SEC$32,500
HSBC Bank USA, N.A.HSBCfinancial serviceseconomic sanction violation2013OFAC$32,400
Bio Check Cor economic sanction violation2003OFAC$32,000
Citizen Cider LLC tax violations2018ATTTB$32,000
Arizona Spirits LLC tax violations2018ATTTB$32,000
Traverse Bay Investments Company, Ltd. investor protection violation2012IN-SEC$32,000
lntellicloud Holdings, Inc. investor protection violation2014NH-BSR$32,000
TENGFEI, INC. investor protection violation2013VA-SEC$32,000
Oracle Stone Ltd. investor protection violation2017WA-FIN$32,000
Research Money Management, LLC investor protection violation2016WA-FIN$32,000
Emigrant Bank economic sanction violation2023OFAC$31,867
Mavixbtc Ltd. investor protection violation2019MO-SEC$31,844
Lufthansa Cargo AGLufthansaairlineseconomic sanction violation2005OFAC$31,787
Beneficial Mutual Savings Bank banking violation2012FDIC$31,750
Santander Securities, LLCBanco Santanderfinancial servicesinvestor protection violation2018NH-BSR$31,562
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.