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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
Daniels Corporate Advisory Company, Inc. investor protection violation2021SEC$25,000
Igen Networks Corp. investor protection violation2021SEC$25,000
Emperor Investments, Inc. investor protection violation2021SEC$25,000
Legacy Investment Advisors, LLC investor protection violation2021PA-BKG$25,000
Luminary Capital, LLC investor protection violation2021PA-BKG$25,000
Canton Hathaway LLC investor protection violation2021SEC$25,000
Carmel Capital Management LLC investor protection violation2021SEC$25,000
Castle Wealth Planning LLC investor protection violation2021SEC$25,000
Harold Davidson & Associates Inc. investor protection violation2021SEC$25,000
John A. Bysko Associates investor protection violation2021SEC$25,000
Madden Funds Management Ltd. investor protection violation2021SEC$25,000
Medallion Wealth Advisors LLC investor protection violation2021SEC$25,000
Mighty Oak Strong America Investment Company investor protection violation2021SEC$25,000
O'Brien Greene & Co. Inc. investor protection violation2021SEC$25,000
Quantitative Asset Management LLC investor protection violation2021SEC$25,000
Summit Financial Advisors Inc. investor protection violation2021SEC$25,000
Westbourne Investments Inc. investor protection violation2021SEC$25,000
Capital Portfolio Management Inc. investor protection violation2021SEC$25,000
Pioneer Square Advisors, LLC investor protection violation2021WA-SEC$25,000
Newman Ladd Capital Advisors, LLC investor protection violation2021SEC$25,000
Disciplined Capital Management LLC investor protection violation2021SEC$25,000
Andalusian Wealth Management, LLC investor protection violation2022PA-BKG$25,000
Gutt Financial Management, LLC investor protection violation2022SEC$25,000
Hinsdale Associates, Inc. investor protection violation2022SEC$25,000
Personal Financial Planning, Inc. investor protection violation2022SEC$25,000
Stone Run Capital, LLC investor protection violation2022SEC$25,000
Watermark Securities, Inc. investor protection violation2022SEC$25,000
Shirtted, LLC investor protection violation2022FL-OFR$25,000
Platinum Tickets, LLC investor protection violation2022PA-BKG$25,000
Safe Investing Services investor protection violation2022PA-BKG$25,000
Greenbrush Brewing Co. tax violations2022ATTTB$25,000
Adirondack Financial Services Corp. investor protection violation2022SEC$25,000
ARS Capital Advisors, Inc. investor protection violation2022SEC$25,000
MaloneBailey, LLP accounting fraud or deficiencies2022PCAOB$25,000
Abu Nawas Beverage Company LLC tax violations2022ATTTB$25,000
Graystone Company Inc. investor protection violation2023SEC$25,000
SFLMaven Corp. investor protection violation2023SEC$25,000
Mackie Financial Group, LLC investor protection violation2023TN-SEC$25,000
Pacific Investors Group, LLC et al. investor protection violation2023WA-SEC$25,000
Jendrach Accounting and Professional Services accounting fraud or deficiencies2023PCAOB$25,000
Moore MSLL Lima Lucchesi Auditores e Contadores Ltda. accounting fraud or deficiencies2023PCAOB$25,000
Guney Bagimsiz Denetim Ve Serbest Muhasebeci Mali Musavirlik A.S accounting fraud or deficiencies2023PCAOB$25,000
Mah & Associates, LLP accounting fraud or deficiencies2023PCAOB$25,000
PIPS TRAILEXCH investor protection violation2023AZ-CC$25,000
Berkower LLC accounting fraud or deficiencies2024PCAOB$25,000
Fontanella Associates LLC CPA & Consulting Firm accounting fraud or deficiencies2024PCAOB$25,000
Freedman & Goldberg, C.P.A.'s, P.C. accounting fraud or deficiencies2024PCAOB$25,000
Sassetti LLC accounting fraud or deficiencies2024PCAOB$25,000
KKM CPA Associates PLLC accounting fraud or deficiencies2024PCAOB$25,000
JTA Securities Management Inc DBA Titan Securities investor protection violation2022NH-BSR$25,000
BSR & Co. LLP accounting fraud or deficiencies2024PCAOB$25,000
Barton CPA PLLC accounting fraud or deficiencies2024PCAOB$25,000
Crowe Hussain Chaudhury & Co. accounting fraud or deficiencies2024PCAOB$25,000
RSM Brasil Auditores Independentes Sociedade Simples accounting fraud or deficiencies2024PCAOB$25,000
Monarch Wealth Management, LLC investor protection violation2024MO-SEC$25,000
Aegis Capital Corp. investor protection violation2024MT-FIN$25,000
FQI Capital Management, LLC investor protection violation2024TX-SEC$25,000
REB Financial investor protection violation2013NH-BSR$24,900
Pro Trader Institute, LLC and National Market Enterprises, Inc. investor protection violation2016MO-SEC$24,869
Bank of New YorkBank of New York Mellonfinancial serviceseconomic sanction violation2003OFAC$24,750
Vee-Marine Int'l Corp. economic sanction violation2003OFAC$24,750
Research Investment Group, Inc. investor protection violation2004SEC$24,721
First United Bank and Trust Company banking violation2013FDIC$24,640
TEMECULA VALLEY BANK banking violation2009FDIC$24,600
Accelerated Success, Inc. investor protection violation2001AZ-CC$24,561
Miller Brewing Co.Molson Coors Beveragebeveragestax violations2004ATTTB$24,500
Miller Brewing Co.Molson Coors Beveragebeveragestax violations2004ATTTB$24,500
Putnam County Bank banking violation2020FED$24,500
SYRINGA BANK banking violation2007FDIC$24,480
Section 8 Creations, Inc. investor protection violation2014MO-SEC$24,430
Amvest Securities, Inc. investor protection violation2006IL-SEC$24,400
Towle Farm Mortgage Investors, LLC investor protection violation2019NH-BSR$24,350
Grand Canyon Education, Inc.Grand Canyon Education Inc.miscellaneous servicestax violations2014CT-AG$24,345
D.B. McKenna & Co., Inc. investor protection violation2024ME-SEC$24,241
Metro Bank banking violation2013FDIC$24,200
Legacy Prosperity Partners, LLC investor protection violation2018WI-FIN$24,196
Aggressive Advertising Associates, LLC investor protection violation2012ME-SEC$24,085
John Middleton, Inc.Altriatobaccotax violations2005ATTTB$24,000
Matrix Petroleum, Inc. investor protection violation2006ME-SEC$24,000
Inland National Securities Inc. investor protection violation2013ND-SEC$24,000
DCS Resources Inc. investor protection violation2005OK-SEC$24,000
CTOption investor protection violation2020WI-FIN$24,000
Farmers and Merchants Bank banking violation2021FDIC$24,000
Wells Fargo Bank, N.A.Wells Fargofinancial serviceseconomic sanction violation2013OFAC$23,937
Vesper Corp. economic sanction violation2007OFAC$23,800
Paseo Biofuels, LLC investor protection violation2006MO-SEC$23,692
Infinium Software, Inc. tax violations2015CT-AG$23,595
Arizona Metro Direct Information Services Inc. investor protection violation2001OR-FIN$23,500
CRITTER CONTROL INC.Rollins Inc.miscellaneous servicesinvestor protection violation2018VA-SEC$23,500
NORTHWEST GEORGIA BANK banking violation2010FDIC$23,485
Vanguard Advisers Inc.Vanguard Groupfinancial servicesinvestor protection violation2017PA-BKG$23,480
Katherine Cowdin, Inc. tax violations2013CT-AG$23,437
Toyota Motor Credit CorporationToyotamotor vehicleseconomic sanction violation2013OFAC$23,400
First Data Resources, LLCFiservbusiness serviceseconomic sanction violation2015OFAC$23,336
Ekholm Wealth Management investor protection violation2015CA-DFPI$23,260
US Bancorp Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2001ND-SEC$23,250
Save.Win LLC investor protection violation2020TN-SEC$23,210
Wayne Bank and Trust Company banking violation2017FED$23,000
MID AMERICA BANK banking violation2010FDIC$23,000
Global Victory Capital Investment Group and Phase 7 Media Group, Inc. investor protection violation2015CA-DFPI$23,000
Seascape Management Co., LLC investor protection violation2007ID-SEC$23,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.