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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
A&F Financial Securities, Inc. investor protection violation2011CT-SEC$20,000
John Thomas Financial investor protection violation2011CT-SEC$20,000
RMV Holding Company, LLC investor protection violation2013CT-SEC$20,000
Cantone Research Inc. investor protection violation2017CT-SEC$20,000
AFT Logistics, LLC nka Equity One Contractors LLC investor protection violation2018CT-SEC$20,000
Great Heritage Investments, LLC investor protection violation2020CT-SEC$20,000
AllianceBernstein L.P.Equitable Holdingsfinancial servicesinvestor protection violation2012DE-SEC$20,000
Security Asset Management, Inc. and Security Asset Capital Corp. investor protection violation2001FL-OFR$20,000
LT Lawrence & Co., Inc. investor protection violation2001FL-OFR$20,000
FFP Securities, Inc. investor protection violation2003FL-OFR$20,000
Investors Capital Corp. investor protection violation2004FL-OFR$20,000
Gordon Gelley & Co., PLLC investor protection violation2013FL-OFR$20,000
212 Advisory Group, LLC investor protection violation2019GA-SEC$20,000
Royal Wealth Management, Inc. dba Northstar Capital investor protection violation2012ID-SEC$20,000
Brooke's Ventures LLC investor protection violation2020ID-SEC$20,000
SBU, Inc. investor protection violation2003IL-SEC$20,000
Geneva Securities, Inc. investor protection violation2003IL-SEC$20,000
Pro-Matrix Technologies, L.L.C. investor protection violation2003IL-SEC$20,000
Downline Builders International investor protection violation2003IL-SEC$20,000
Public Communication Services, Inc. aka Sprawlnet.com, Inc. investor protection violation2004IL-SEC$20,000
Rapid Technologies Group, Inc. aka Event Horizon Technologies Software, Inc. investor protection violation2004IL-SEC$20,000
Berwick Black Cattle Co. and Source of Champions investor protection violation2005IL-SEC$20,000
Erudite Systems, Inc. et al. investor protection violation2006IL-SEC$20,000
A&O Life Fund, LLC et al. investor protection violation2009IL-SEC$20,000
Accurate Financial Group Ltd. investor protection violation2010IL-SEC$20,000
21st Sentry Technologies, Inc. and Futurecom Global, Inc. investor protection violation2010IL-SEC$20,000
Diversified Liquid Asset Holdings LLC investor protection violation2010IL-SEC$20,000
Insider Real Estate, Inc. investor protection violation2012IL-SEC$20,000
Scanlan Realty & Investments, Ltd. investor protection violation2012IL-SEC$20,000
Full Circle Strategies, Ltd. investor protection violation2012IL-SEC$20,000
Mega Cash Flow Investments, Inc. investor protection violation2012IL-SEC$20,000
Alpha Wealth Group investor protection violation2013IL-SEC$20,000
COR Development Group, Inc. investor protection violation2013IL-SEC$20,000
Sports Dimensions, Inc. investor protection violation2016IL-SEC$20,000
QBITI, LLC investor protection violation2018IL-SEC$20,000
Rockwell Gold Investments investor protection violation2011IN-SEC$20,000
Geo-Sensors/Re-Con Drilling & Exploration, Inc. investor protection violation2011KY-FIN$20,000
Remington Wealth Management, LLC investor protection violation2013KY-FIN$20,000
Encore Energy, Inc. investor protection violation2018KY-FIN$20,000
Mid-Atlantic Estate Planning, Inc. investor protection violation2004MD-SEC$20,000
Winning Mortgages, LLC investor protection violation2007MD-SEC$20,000
American High Technology Center, Inc. and Kalimantan Mining, LLC investor protection violation2007MD-SEC$20,000
Celebration Financial, Inc. and Funding Advisors, Inc. investor protection violation2009MD-SEC$20,000
Rodney International investor protection violation2010MD-SEC$20,000
100 Miles, LLC investor protection violation2010MD-SEC$20,000
EBN Marketing, LLC investor protection violation2014MD-SEC$20,000
Dream Marketing and SEO, Inc. investor protection violation2014MD-SEC$20,000
Aurora Investment Management Group, LLC investor protection violation2015MD-SEC$20,000
Law Office of Greg S. Friedman investor protection violation2015MD-SEC$20,000
Famous Characters, LLC investor protection violation2016MD-SEC$20,000
Premier Marketing Solutions, LLC investor protection violation2018MD-SEC$20,000
Columbia Financial Advisors LLC investor protection violation2018MD-SEC$20,000
Halliday Financial, LLC investor protection violation2015ME-SEC$20,000
IBA Consulting, LLC investor protection violation2016MI-SEC$20,000
Scorsesi Makeup, LLC investor protection violation2016MI-SEC$20,000
Tauban, Inc. investor protection violation2016MI-SEC$20,000
JAC Investments, LLC investor protection violation2016MI-SEC$20,000
OSAD, LLC investor protection violation2016MI-SEC$20,000
Cunningham Energy, LLC investor protection violation2016MI-SEC$20,000
Shaar 2, LLC investor protection violation2017MI-SEC$20,000
Meadowbrook Investment Advisors, LLC investor protection violation2017MI-SEC$20,000
CoreCap Investments, LLC investor protection violation2018MI-SEC$20,000
Wesleyan Investment Foundation, Inc. investor protection violation2018MI-SEC$20,000
CBIG CCS, LLC investor protection violation2019MI-SEC$20,000
Severn Funding & Investment Ltd. investor protection violation2020MI-SEC$20,000
Heartland Production and Recovery, LLC investor protection violation2020MI-SEC$20,000
BC Holdings and Investments, LLC investor protection violation2020MI-SEC$20,000
Mintage Mining, LLC investor protection violation2020MI-SEC$20,000
Authotecq Systems, Inc. investor protection violation2012MN-FIN$20,000
Career Development Services International, LLC investor protection violation2018MN-FIN$20,000
Schuster Financial LLC investor protection violation2020MN-FIN$20,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2009MO-SEC$20,000
JAD-LJD Investments, L.L.C. investor protection violation2015MO-SEC$20,000
Assemblies of God Credit Union investor protection violation2016MO-SEC$20,000
Aspen Wealth Management, Inc. investor protection violation2017MO-SEC$20,000
Elite Investment Advisors, LLC investor protection violation2018MO-SEC$20,000
Schaefer Wealth Management, Inc. investor protection violation2018MO-SEC$20,000
Berthel Fisher and Company Financial Services Inc.Berthel Fisherfinancial servicesinvestor protection violation2004ND-SEC$20,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2004ND-SEC$20,000
Pelican Development L.L.C. investor protection violation2009ND-SEC$20,000
Landolt Securities Inc. investor protection violation2014ND-SEC$20,000
A.G. Edwards & Sons Inc.Wells Fargofinancial servicesinvestor protection violation2003NE-DBF$20,000
Focus Capital Wealth Management Inc. investor protection violation2013NH-BSR$20,000
Keystone Equity Group Inc. investor protection violation2011OK-SEC$20,000
Arvest Asset Management investor protection violation2013OK-SEC$20,000
R&J Financial Inc. investor protection violation2017OK-SEC$20,000
Baxter, Banks and Smith Ltd. investor protection violation2000OR-FIN$20,000
Leading Solutions Inc. investor protection violation2002OR-FIN$20,000
BAK Ventures, Inc. investor protection violation2011OR-FIN$20,000
Capital Guardian Inc. investor protection violation2012OR-FIN$20,000
Equity Options Inc. of Bend investor protection violation2013OR-FIN$20,000
DayTradingBuddy LLC investor protection violation2014OR-FIN$20,000
Starline Solutions, LLC investor protection violation2020OR-FIN$20,000
Private Advisor Group LLC investor protection violation2017PA-BKG$20,000
RWM Asset Management LLC investor protection violation2019PA-BKG$20,000
Klein Pavlis & Peasley Financial, Inc. investor protection violation2019PA-BKG$20,000
Morgan Keegan & Co. Inc.Raymond James Financialfinancial servicesinvestor protection violation2010RI-FIN$20,000
Meridian Capital Advisers, LLC investor protection violation2013SC-SEC$20,000
Brooks Communications LLC investor protection violation2016SC-SEC$20,000
Charles Balcom and Consultants Ltd. investor protection violation2017SD-INS$20,000
Protrader Securities Corporation investor protection violation2001TX-SEC$20,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.