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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
Santander Securities, LLCBanco Santanderfinancial servicesinvestor protection violation2018NH-BSR$31,562
EquityAlert.com, Inc. and Innotech Corporation investor protection violation2003SEC$31,555
MGPI Processing Inc.MGP Ingredientsagribusinesstax violations2018ATTTB$31,500
WORLD ONLINE 247, INC. investor protection violation2003VA-SEC$31,500
ACME Furniture Industry, Inc. economic sanction violation2007OFAC$31,336
Brecek & Young Advisors, Inc. investor protection violation2004FINRA$31,224
MacKenzie Realty Capital, Inc. investor protection violation2015MO-SEC$31,000
Young Oil Corporation investor protection violation2006RI-FIN$31,000
Capital Energy Group LLC investor protection violation2018WA-FIN$31,000
Opportunity Bank of Montana banking violation2024FED$31,000
Ambit Capital Pvt. Ltd. investor protection violation2012SEC$30,910
SunTrust BankTruist Financialfinancial serviceseconomic sanction violation2005OFAC$30,800
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2016NH-BSR$30,800
PlainsCapital Bank and PrimeLendingHilltop Holdingsfinancial servicesbanking violation2011FED$30,780
Brews N' Views tax violations2022ME-AG$30,735
Industrial Technical Services, Inc. tax violations2015CT-AG$30,543
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2012MT-FIN$30,500
The Park National BankPark National Corp.financial servicesbanking violation2011OCC$30,415
BANK OF KENTUCKY, INC., THETruist Financialfinancial servicesbanking violation2009FDIC$30,415
Teledyne Technologies, Inc.Teledyne Technologiesmiscellaneous manufacturingeconomic sanction violation2012OFAC$30,385
Brenntag Great Lakes, LLCBrenntagwholesalerstax violations2010ATTTB$30,381
Park Financial Group, Inc. investor protection violation2007SEC$30,373
Industria Compozioni Stampate SpA economic sanction violation2004OFAC$30,248
FIRST BANK banking violation2007FDIC$30,100
U.S. Airways Group, Inc.American Airlinesairlineseconomic sanction violation2004OFAC$30,100
FIRST BANK banking violation2007FDIC$30,100
Boros & Farrington Accountancy Corporation accounting fraud or deficiencies2014SEC$30,000
Patrizio & Zhao LLC accounting fraud or deficiencies2013SEC$30,000
Vin Divino, Ltd. tax violations2008ATTTB$30,000
Kane Warehousing, Inc. tax violations2007ATTTB$30,000
Allied Domecq Spirits & Wine USA, Inc. tax violations2004ATTTB$30,000
School Business Consulting, Inc investor protection violation2016SEC$30,000
IMC Asset Management, Inc. investor protection violation2013SEC$30,000
Egan-Jones Ratings Company investor protection violation2013SEC$30,000
BNY Mellon Shareowner ServicesBank of New York Mellonfinancial servicesinvestor protection violation2010MA-AG$30,000
Corbin-Pacific, Inc. tax violations2002NH-AG$30,000
WestPark Capital investor protection violation2014NJ-AG$30,000
Weaver and Tidwell, L.L.P. accounting fraud or deficiencies2017PCAOB$30,000
Overland Mortgage Corp. investor protection violation2010AR-SEC$30,000
Capital Markets Advisory, LLC fka Carr Miller Capital Investments, LLC investor protection violation2012AR-SEC$30,000
M-Corp International, Ltd. and M-Corp International investor protection violation2002AZ-CC$30,000
RG Capital Management, LLC investor protection violation2017CA-DFPI$30,000
Southern Connecticut Financial Services, Inc. investor protection violation2007CT-SEC$30,000
Java's Brewin Development, Inc. investor protection violation2008CT-SEC$30,000
TDA Advantage Trust investor protection violation2010CT-SEC$30,000
First Capital Services, Inc. investor protection violation2000FL-OFR$30,000
Brookes Ventures, LLC dba Aulterra International investor protection violation2016ID-SEC$30,000
Conestoga Settlement Trust et al. investor protection violation2018ID-SEC$30,000
Genesis Worldwide, Inc. investor protection violation2003IL-SEC$30,000
Christian Dream Builder Financial Planning, Inc. investor protection violation2005IL-SEC$30,000
Millennium Associates investor protection violation2005IL-SEC$30,000
David A. Noyes & Company investor protection violation2008IN-SEC$30,000
Cana Financial Advisors, LLC investor protection violation2012IN-SEC$30,000
Hallmark Investments, Inc. investor protection violation2013IN-SEC$30,000
Ocean International Marketing BV and Churchill Associates, Ltd. investor protection violation2004MD-SEC$30,000
Sterling Advance Marketing, Inc. investor protection violation2004MD-SEC$30,000
Dr. eBill.com, Inc. investor protection violation2006MD-SEC$30,000
On The Mark Construction Co. investor protection violation2009MD-SEC$30,000
Word Professional Institute investor protection violation2011MD-SEC$30,000
PASCO Community Development Foundation, Inc. investor protection violation2011MD-SEC$30,000
KFK Enterprises.org et al. investor protection violation2012MD-SEC$30,000
Inspired Capital Management investor protection violation2015MD-SEC$30,000
Diplomat Consulting Services, LLC investor protection violation2016MI-SEC$30,000
Park City Distributors investor protection violation2016MI-SEC$30,000
OE Capital Ventures, LLC investor protection violation2016MI-SEC$30,000
Victory H2O Distribution, LLC investor protection violation2017MI-SEC$30,000
Zuvan Technologies, Inc. investor protection violation2018MI-SEC$30,000
LA Developers, LLC investor protection violation2020MI-SEC$30,000
Funky Shark, LLC investor protection violation2012MT-FIN$30,000
Joseph Stone Capital, LLC investor protection violation2017MT-FIN$30,000
Principal Life Insurance CompanyPrincipal Financialfinancial servicesinvestor protection violation2004ND-SEC$30,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2005ND-SEC$30,000
Montgomery, Goff & Bullis P.C. investor protection violation2009ND-SEC$30,000
JonesTrading Institutional Services LLC investor protection violation2013NH-BSR$30,000
WCM Financial Services and Equity Options, Inc. investor protection violation2013OR-FIN$30,000
CFG Solutions, LLC investor protection violation2013OR-FIN$30,000
One World Energy Advisors, LLC investor protection violation2017OR-FIN$30,000
Woodbridge Structured Funding LLC investor protection violation2017PA-BKG$30,000
Roche Asset Management LLC investor protection violation2018PA-BKG$30,000
Kestra Investment Services LLC investor protection violation2019PA-BKG$30,000
Morgan Stanley & Co. Inc.Morgan Stanleyfinancial servicesinvestor protection violation2011SC-SEC$30,000
Legend Securities Inc. investor protection violation2016SC-SEC$30,000
Conestoga Trust investor protection violation2017SC-SEC$30,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2016TN-SEC$30,000
Mountain States Capital Inc. investor protection violation2000TX-SEC$30,000
SMH Capital Inc. investor protection violation2008TX-SEC$30,000
Richards, Merrill & Peterson Inc. investor protection violation2016TX-SEC$30,000
GLOBALINK SECURITIES, INC. investor protection violation2001VA-SEC$30,000
KAT-5, LLP investor protection violation2008VA-SEC$30,000
Phoenix Technologies LLC investor protection violation2009VA-SEC$30,000
TRIUNE, LLC investor protection violation2012VA-SEC$30,000
Thornton Investment Management PLLC investor protection violation2020VT-FIN$30,000
Yellowstone Capital, LLC and Bainbridge Views, LLC and Imperium Builder, LLC investor protection violation2016WA-FIN$30,000
Southeast Investments, N.C., Inc. investor protection violation2016WA-FIN$30,000
Ashland Partners L.P. investor protection violation2014WA-FIN$30,000
Blue Chip Focus Fund, LP et al. investor protection violation2013WA-FIN$30,000
Mike Watson Investments, LLC and Mike Watson Capital, LLC investor protection violation2010WA-FIN$30,000
Austin & Associates investor protection violation2006WA-FIN$30,000
Great Northern Financial Services, Inc. investor protection violation2004WA-FIN$30,000
Park View School, Inc. investor protection violation2020SEC$30,000
Funding the Gap, LLC investor protection violation2020SEC$30,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.