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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
Talking Water, LLC et al. investor protection violation2014CO-SEC$25,000
Preferred Spectrum Investments, LLC et al. investor protection violation2016CO-SEC$25,000
Candy King of America, Inc. investor protection violation2006CT-SEC$25,000
Millenco, L.L.C. investor protection violation2007CT-SEC$25,000
Energy Automation Systems, Inc. investor protection violation2007CT-SEC$25,000
Advantage Capital Corp. investor protection violation2007CT-SEC$25,000
Westrock Advisors, Inc. investor protection violation2008CT-SEC$25,000
Press-A-Print International LLC investor protection violation2009CT-SEC$25,000
Royal Burgundy International, Inc. investor protection violation2010CT-SEC$25,000
Forman Financial Services, LLC investor protection violation2010CT-SEC$25,000
Blue Coast Financial Group, Inc. investor protection violation2010CT-SEC$25,000
Portfolio Timing Service dba PTS Asset Management investor protection violation2011CT-SEC$25,000
Ulysses Partners, LLC investor protection violation2014CT-SEC$25,000
Essex Financial Services, Inc. investor protection violation2015CT-SEC$25,000
Harbor Vista Wealth Management LLC investor protection violation2016CT-SEC$25,000
Meyers Associates, L.P. nka Windsor Street Capital, L.P. investor protection violation2017CT-SEC$25,000
MetLife Securities, Inc.MetLifefinancial servicesinvestor protection violation2012DC-DISB$25,000
Scanlon & Associates investor protection violation2001FL-OFR$25,000
Hornor, Townsend & Kent, Inc. investor protection violation2002FL-OFR$25,000
Todderwatch.com, Inc. investor protection violation2002FL-OFR$25,000
Leland Energy, Inc. investor protection violation2015FL-OFR$25,000
Leland Kentucky Holdings, Inc. investor protection violation2015FL-OFR$25,000
Cumberland Revenue Drilling Fund, LLP investor protection violation2015FL-OFR$25,000
Derrick Management Inc. investor protection violation2019GA-SEC$25,000
Blazin' Enterprises, Inc. and Craft Enterprises, LLC investor protection violation2012HI-SEC$25,000
Avenue Capital Investment, Inc. investor protection violation2003ID-SEC$25,000
McDonald Investments, Inc. investor protection violation2003ID-SEC$25,000
Cache Private Capital Diversified Fund LLC investor protection violation2017ID-SEC$25,000
Hardy Asset Management investor protection violation2006IL-SEC$25,000
Corporate I Communications & Technology, Inc. investor protection violation2017IN-SEC$25,000
Royal Alliance Associates, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2013MA-SEC$25,000
Financial Sources, Inc. investor protection violation2005MD-SEC$25,000
Medwell Group, Inc. investor protection violation2006MD-SEC$25,000
Financial Sources, Inc. investor protection violation2007MD-SEC$25,000
Credit Solution and Financial Services, Inc. investor protection violation2008MD-SEC$25,000
Telkonet, Inc. and Telkonet Communications, Inc. investor protection violation2008MD-SEC$25,000
WEI Mortgage Corp. investor protection violation2010MD-SEC$25,000
The Endowment TEI Fund, L.P. investor protection violation2011MD-SEC$25,000
L3 Investments Corp. investor protection violation2012MD-SEC$25,000
Global Gold, LLC investor protection violation2012MD-SEC$25,000
VipBinary.com et al. investor protection violation2012MD-SEC$25,000
Inter Reef Ltd. dba Profitable Sunrise investor protection violation2013MD-SEC$25,000
Giordano Asset Management, LLC and Harbor Investment Solutions, LLC investor protection violation2013MD-SEC$25,000
Alms and Associates, Inc. investor protection violation2013MD-SEC$25,000
InteliCloud Holdings, Inc. investor protection violation2014ME-SEC$25,000
R.A.M. Developments, LLC investor protection violation2008MO-SEC$25,000
Crossroads Media, Inc. investor protection violation2006MS-SEC$25,000
Positive News Increase, Inc. investor protection violation2006MS-SEC$25,000
Quadra Pay Land, LLC and Eavenson Family LP investor protection violation2006MS-SEC$25,000
W & R Insurance Agency of Montana, Inc. investor protection violation2005MT-FIN$25,000
Waddell & Reed, Inc.Macquariefinancial servicesinvestor protection violation2005MT-FIN$25,000
Linsco Private Ledger Corp. investor protection violation2000ND-SEC$25,000
Cooper Capital, Inc. investor protection violation2015NH-BSR$25,000
Grady and Associates, LLC investor protection violation2019NH-BSR$25,000
BHS (New York) Corporation anti-money-laundering deficiencies2005NY-DFS$25,000
Wilshire-Pennington Group Inc. investor protection violation2018OK-SEC$25,000
The Sheffield Group investor protection violation2000OR-FIN$25,000
High Tech Travel Services Corporation investor protection violation2000OR-FIN$25,000
Skylink Telecommunications Corp. investor protection violation2001OR-FIN$25,000
Full Power Group Inc. investor protection violation2001OR-FIN$25,000
Courant Consulting Group Inc. investor protection violation2001OR-FIN$25,000
21 Century Power investor protection violation2001OR-FIN$25,000
GBS Funding investor protection violation2003OR-FIN$25,000
Northwest Paytele Communications Inc. investor protection violation2005OR-FIN$25,000
International Business Development Ltd. investor protection violation2011OR-FIN$25,000
Spectrum Wealth Management LLC investor protection violation2018PA-BKG$25,000
Malaguti Wealth Management LLC investor protection violation2018PA-BKG$25,000
Cerebrum Financial Services LLC investor protection violation2019PA-BKG$25,000
Hattier, Sanford & Reynoir LLP investor protection violation2007TN-SEC$25,000
Ameritas Investment CorporationAmeritas Mutual Holding Companyfinancial servicesinvestor protection violation2003TX-SEC$25,000
Abshier Webb Donnelly & Baker Inc. investor protection violation2009TX-SEC$25,000
Milkie/Ferguson Investments Inc. investor protection violation2009TX-SEC$25,000
Trade-PMR Inc. investor protection violation2018TX-SEC$25,000
Mintage Mining LLC et al. investor protection violation2019TX-SEC$25,000
SCOTT & STRINGFELLOW LLC investor protection violation2011VA-SEC$25,000
Skrimp Shack LLC investor protection violation2020VA-SEC$25,000
Pacific West Securities, Inc. investor protection violation2014WA-FIN$25,000
CS Note Holdco, LLC investor protection violation2010WA-FIN$25,000
Smoke Zone LLC tax violations2020ATTTB$25,000
Green Square Capital Louisville LLC investor protection violation2020KY-FIN$25,000
Haddon Wealth Management LLC investor protection violation2020PA-BKG$25,000
SoluTech, Inc. investor protection violation2020SEC$25,000
Practical Wealth Advisors, LLC investor protection violation2020PA-BKG$25,000
Applied BioSciences Corp. investor protection violation2020SEC$25,000
SB Financial Group investor protection violation2020WI-FIN$25,000
Newbridge Securities Corporation investor protection violation2011FINRA$25,000
Equity Station, Inc. investor protection violation2010FINRA$25,000
Investors Capital Corp. investor protection violation2009FINRA$25,000
ProEquities, Inc.Dai-ichi Lifefinancial servicesinvestor protection violation2009FINRA$25,000
National Securities Corporation investor protection violation2009FINRA$25,000
Dalton Kent Securities Group, Inc. investor protection violation2001FINRA$25,000
Credit Suisse First Boston CorporationUBSfinancial servicesinvestor protection violation2001FINRA$25,000
Lutheran Brotherhood Securities Corp. investor protection violation2001FINRA$25,000
1-800DAYTRADE.COM, Inc. investor protection violation2000FINRA$25,000
The Short Interest, LLC and The Short Manager, LLC investor protection violation2021OR-FIN$25,000
Securities America, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2021VA-SEC$25,000
Morgan & Company LLP accounting fraud or deficiencies2021PCAOB$25,000
Fortem Resources, Inc. investor protection violation2021SEC$25,000
TruTankless, Inc. investor protection violation2021SEC$25,000
ShiftPixy, Inc. investor protection violation2021SEC$25,000
Daniels Corporate Advisory Company, Inc. investor protection violation2021SEC$25,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.