Basic Search  |  Summaries  |  Advanced Search

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearAgencyPenalty Amount sort icon
Funding the Gap, LLC investor protection violation2020SEC$30,000
BOSC, Inc. investor protection violation2005FINRA$30,000
Pershing LLC investor protection violation2005FINRA$30,000
Prager, Sealy & Co., LLC investor protection violation2005FINRA$30,000
National Financial Services, L.L.C. investor protection violation2001FINRA$30,000
Datek Online Brokerage Services, LLC investor protection violation2001FINRA$30,000
Reliabank Dakota banking violation2021FDIC$30,000
GSE Properties, LLC and 544 South Joint Venture investor protection violation2021SC-INS$30,000
Sommers Financial Management, LLC investor protection violation2021WA-SEC$30,000
Davos Brands LLC tax violations2022ATTTB$30,000
Robert C. Duncan Accountancy Corporation accounting fraud or deficiencies2022PCAOB$30,000
Hall & Company Certified Public Accountants & Consultants, Inc. accounting fraud or deficiencies2022PCAOB$30,000
J.H. Smith Partners & Co., LLC investor protection violation2022PA-BKG$30,000
BDO RCS Auditores IndependentesBDO Internationalbusiness servicesaccounting fraud or deficiencies2022PCAOB$30,000
KPMG Samjong Accounting Corp.KPMGbusiness servicesaccounting fraud or deficiencies2022PCAOB$30,000
Altair Management Partners, Inc. investor protection violation2023PA-BKG$30,000
MSPC Certified Public Accountants and Advisors, A Professional Corporation accounting fraud or deficiencies2023PCAOB$30,000
BAYTREE CAPITAL AMA LLC investor protection violation2023MI-SEC$30,000
BATES INVESTMENT GROUP, LLC investor protection violation2023MI-SEC$30,000
TT Capital Management investor protection violation2023PA-BKG$30,000
K.R. Margetson Ltd accounting fraud or deficiencies2023PCAOB$30,000
DBEX-coin.net investor protection violation2023MI-SEC$30,000
McKenna & Sullivan, Inc. investor protection violation2023PA-BKG$30,000
Blue Owl Technology Income Corp investor protection violation2023AZ-CC$30,000
Blue Owl Technology Income Corp. investor protection violation2023AZ-CC$30,000
ENCORE ACQUISITIONS, LLC investor protection violation2023MI-SEC$30,000
R. Bolko CPA P.A accounting fraud or deficiencies2024PCAOB$30,000
Credicorp Capital Advisors LLC investor protection violation2024SEC$30,000
Monex Asset Management Inc. investor protection violation2024SEC$30,000
Bates Investment Group, LLC investor protection violation2024MI-SEC$30,000
Xenia Partners, LLC investor protection violation2023SD-INS$30,000
Ubay International Trading Inc. investor protection violation2024WA-SEC$30,000
Stifel, Nicolaus & Co.Stifel Financialfinancial servicesinvestor protection violation2024WA-SEC$30,000
Crowe MacKay LLP accounting fraud or deficiencies2024PCAOB$30,000
Grant Thornton LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2024PCAOB$30,000
Prescient Capital Partners, Ltd. investor protection violation2012SEC$29,968
BENNINGTON STATE BANK, THE banking violation2008FDIC$29,800
FNC Insurance Agency, Inc. tax violations2015CT-AG$29,550
TradeStation Crypto, Inc. investor protection violation2024AZ-CC$29,412
TradeStation Crypto, Inc. investor protection violation2024MA-SEC$29,411
Santos, Postal & Company, P.C. investor protection violation2016SEC$29,076
Imperial Bank economic sanction violation2004OFAC$29,000
eCity, Inc. investor protection violation2012MO-SEC$29,000
Carret Securities LLC investor protection violation2002ND-SEC$29,000
C & C Franchising, Inc. d/b/a Jani-King of Hampton Roads investor protection violation2015VA-SEC$29,000
MVP Group Inc. investor protection violation2022WA-SEC$29,000
Thrasher & Chambers Wealth Management, LLC investor protection violation2024MO-SEC$29,000
Elite Benefits Group, LLC investor protection violation2023AZ-CC$28,985
National Bank of Pakistan, New York economic sanction violation2015OFAC$28,800
Brenntag Southeast, Inc.Brenntagwholesalerstax violations2010ATTTB$28,739
Prosper Marketplace, Inc.Prosper Marketplacefinancial servicesinvestor protection violation2009MD-SEC$28,706
Petro America Corp. investor protection violation2010MO-SEC$28,660
The Bank of Monroe banking violation2015FED$28,640
The Stock Exchange Trading Company, LLC investor protection violation2019MO-SEC$28,379
Richard Dudgeon, Inc. tax violations2014CT-AG$28,322
DHL Airways, IncDHL Groupfreight and logisticseconomic sanction violation2004OFAC$28,073
Oracle Forex Fund, LP investor protection violation2016MO-SEC$28,030
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020SC-SEC$28,007
Amboy Bank banking violation2020FED$28,000
JC Management, Inc. investor protection violation2004SEC$27,991
Keybank National AssociationKeyCorpfinancial servicesbanking violation2007OCC$27,750
Securities Compliance Group, Ltd. investor protection violation2018SEC$27,655
Progress Marketing Management, LLC investor protection violation2019MO-SEC$27,645
Walker Financial Advisors, Inc. investor protection violation2013CA-DFPI$27,600
Bank of New YorkBank of New York Mellonfinancial serviceseconomic sanction violation2004OFAC$27,500
Cheap Tickets, Inc. economic sanction violation2004OFAC$27,500
Playboy Enterprises, Inc economic sanction violation2003OFAC$27,500
West Town Savings Bank banking violation2012FDIC$27,500
Front Row Ticket Agency Inc. investor protection violation2015NH-BSR$27,500
vFinance Investments, Inc. investor protection violation2009FINRA$27,500
The Hubbard Group, PC and Holding Group International, Ltd. investor protection violation2010MO-SEC$27,450
Zulutoys Limited investor protection violation2016MO-SEC$27,367
First Community Bank banking violation2016FED$27,285
Unifi Manufacturing, Inc.Unifi Inc.miscellaneous manufacturingtax violations2016CT-AG$27,075
COWLITZ BANK banking violation2003FDIC$27,000
Procesadora Campofresco, Inc., economic sanction violation2014OFAC$27,000
Bank of Guam economic sanction violation2013OFAC$27,000
AAA Venture Business Brokers, Ltd. investor protection violation2014IL-SEC$27,000
Biery, LLC d/b/a Madsen Donuts investor protection violation2019VA-SEC$27,000
Choice Investments, Inc. investor protection violation2000FINRA$27,000
JP Morgan ChaseJPMorgan Chasefinancial serviceseconomic sanction violation2004OFAC$26,980
Fort Dodge Animal HealthZoetispharmaceuticalseconomic sanction violation2004OFAC$26,956
DAN Services, Inc. tax violations2011CT-AG$26,955
Seacoast National BankSeacoast Banking Corporation of Floridafinancial servicesbanking violation2013OCC$26,950
Pacific Capital Bank, National Association banking violation2007OCC$26,845
COMMUNITY FIRSTBANK OF CHARLESTON banking violation2009FDIC$26,840
Berry Resources, Inc. et al. investor protection violation2014CA-DFPI$26,700
vFinance Investments, Inc. investor protection violation2008SEC$26,559
MAGNOLIA BANK, INCORPORATED banking violation2011FDIC$26,500
JEFFERSON PILOT SECURITIESLincoln Nationalfinancial servicesinvestor protection violation2003VA-SEC$26,500
Commercial Bank banking violation2021FED$26,500
Mokan Wealth Management, Inc. investor protection violation2024MO-SEC$26,286
MUTUAL BANK banking violation2008FDIC$26,250
Medicaid Planning Specialists, Inc. investor protection violation2014MS-SEC$26,200
Napa Smith Holdings, LLC tax violations2013ATTTB$26,000
Marlin Firearms CompanySturm, Ruger & Companymiscellaneous manufacturingtax violations2009ATTTB$26,000
Rainmaker Securities, Inc. investor protection violation2016IL-SEC$26,000
TROPICAL SMOOTHIE ET AL. investor protection violation2008VA-SEC$26,000
ETF Trend Trading investor protection violation2016NH-BSR$25,997
Solar Evolution, Inc. investor protection violation2012MO-SEC$25,985
DRY CLEANING & MARGO SLOAN investor protection violation2004VA-SEC$25,900
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.