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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
Protrader Securities Corporation investor protection violation2001TX-SEC$20,000
Asset Planning Group Inc. investor protection violation2002TX-SEC$20,000
Cornerstone Ministries Investments Inc. et al. investor protection violation2005TX-SEC$20,000
Butler Freeman Tally Financial Group LLC investor protection violation2007TX-SEC$20,000
IMS Securities Inc. investor protection violation2012TX-SEC$20,000
Brazos Securities Inc. investor protection violation2018TX-SEC$20,000
FRA Wealth Management LLC investor protection violation2019TX-SEC$20,000
Woodland Resources LLC et al. investor protection violation2020TX-SEC$20,000
IAC SECURITIES, INC. investor protection violation2002VA-SEC$20,000
ALPHACOM, INC. investor protection violation2002VA-SEC$20,000
L-O-T Development Wells, LLP investor protection violation2008VA-SEC$20,000
enTerra Seven, LLP investor protection violation2008VA-SEC$20,000
KAT-5-2, LLP investor protection violation2008VA-SEC$20,000
GREAT AMERICAN ADVISORS, INC. investor protection violation2010VA-SEC$20,000
Cellairis Franchise, Inc. investor protection violation2010VA-SEC$20,000
Stratus Franchising, LLC investor protection violation2011VA-SEC$20,000
ATLANTIC SUN CONTROL, INC. investor protection violation2013VA-SEC$20,000
LINCOLN FINANCIAL SECURITIESLincoln Nationalfinancial servicesinvestor protection violation2018VA-SEC$20,000
Bayhill Advisors, Inc. investor protection violation2018WA-FIN$20,000
TreeFree Biomass Solutions, Inc. investor protection violation2016WA-FIN$20,000
Sigh of Relief, Life and Financial, Inc. and SOR Capital, LLC investor protection violation2015WA-FIN$20,000
Signed, Sealed & Delivered, Inc. investor protection violation2006WA-FIN$20,000
LDS Securities, LLC investor protection violation2003WA-FIN$20,000
Senior Estate Planning Group, Inc. et al. investor protection violation2002WA-FIN$20,000
MGMC, LP investor protection violation2020MI-SEC$20,000
CBIG CCS, LLC investor protection violation2020MI-SEC$20,000
Liggett & Webb, P.A. accounting fraud or deficiencies2020PCAOB$20,000
Halydean Corp. investor protection violation2020WA-SEC$20,000
Biogenic, Inc. investor protection violation2020MI-SEC$20,000
Black Box Fund investor protection violation2020MI-SEC$20,000
11th Hour Funding, LLC investor protection violation2020MI-SEC$20,000
Strategic Wealth Partners, LLC investor protection violation2021VA-SEC$20,000
Olympus Securities, LLC investor protection violation2010FINRA$20,000
Pulse Trading, Inc. investor protection violation2004FINRA$20,000
Windsor Capital Advisors, Inc. investor protection violation2001FINRA$20,000
Prudential Securities IncorporatedWells Fargofinancial servicesinvestor protection violation2001FINRA$20,000
Pershing Trading Company, L.P. investor protection violation2001FINRA$20,000
ING Barings LLC investor protection violation2001FINRA$20,000
CyBerBroker, Inc. investor protection violation2001FINRA$20,000
Summit Trading, Inc. investor protection violation2001FINRA$20,000
E-TRADE Securities, Inc.Morgan Stanleyfinancial servicesinvestor protection violation2000FINRA$20,000
E-TRADE Securities, Inc.Morgan Stanleyfinancial servicesinvestor protection violation2000FINRA$20,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyfinancial servicesinvestor protection violation2021SD-SEC$20,000
Sara, Inc. tax violations2021ATTTB$20,000
Remote Mowers, LLC investor protection violation2021KY-FIN$20,000
Haskell & White LLP accounting fraud or deficiencies2021PCAOB$20,000
Commonwealth Equity Services, LLC dba Commonwealth Financial Network investor protection violation2021CT-BKG$20,000
Mid America Bank banking violation2021FDIC$20,000
Freedom Capital Advisors, LLC investor protection violation2021SC-SEC$20,000
MintBuilder.com LLC investor protection violation2021MT-FIN$20,000
BMKR LLP accounting fraud or deficiencies2022PCAOB$20,000
FX Binary Option aka FXBOT investor protection violation2022OR-FIN$20,000
Liebman Goldberg & Hymowitz LLP accounting fraud or deficiencies2022PCAOB$20,000
Shanghai Perfect C.P.A. Partnership accounting fraud or deficiencies2022PCAOB$20,000
Rosland Capital LLC investor protection violation2022WA-SEC$20,000
Grant Thornton Auditores Independentes Ltda.Grant Thorntonbusiness servicesaccounting fraud or deficiencies2022PCAOB$20,000
KCCW Accountancy Corporation accounting fraud or deficiencies2022PCAOB$20,000
High Desert Naturals et al. investor protection violation2022AZ-CC$20,000
SFA Commercial LLC investor protection violation2022WA-SEC$20,000
Dedicated Investment Advisers LLC investor protection violation2023PA-BKG$20,000
CohnReznick LLP accounting fraud or deficiencies2023PCAOB$20,000
FINANCIAL PRODUCT DISTRIBUTORS, LLC investor protection violation2023MI-SEC$20,000
PAYMENT SERVICING GROUP investor protection violation2023MI-SEC$20,000
UPSTATE LAW GROUP, LLC investor protection violation2023MI-SEC$20,000
Greenbacker Renewable Energy Company, LLC investor protection violation2023OR-FIN$20,000
Megaannum Capital, LLC investor protection violation2023PA-BKG$20,000
Collaborative Financial Consulting LLC investor protection violation2023SEC$20,000
Luther Speight & Company, LLC investor protection violation2023SEC$20,000
Collaborative Financial Consulting, LLC investor protection violation2023CA-DFPI$20,000
WWW.EXNOWAPP.VIP investor protection violation2023OR-FIN$20,000
Titan Securities investor protection violation2023TX-INS$20,000
Bradesco Global Advisors Inc. investor protection violation2024SEC$20,000
InSight Securities Inc. investor protection violation2024SEC$20,000
Artemis Capital Group LLC investor protection violation2024CT-SEC$20,000
DEFIEO.CO investor protection violation2024MI-SEC$20,000
Key Client Fiduciary Advisors, LLC investor protection violation2024NJ-BOS$20,000
Keystone Investment Advisors, LLC investor protection violation2024PA-BKG$20,000
Stars Stripes Inc. investor protection violation2024WA-SEC$20,000
BDO Chartered Accountants & AdvisorsBDO Internationalbusiness servicesaccounting fraud or deficiencies2024PCAOB$20,000
BUSINESS MAKEOVER, LLC investor protection violation2024AL-SEC$20,000
Surepipstrade.com investor protection violation2024MI-SEC$20,000
Puretradeoption.com investor protection violation2024MI-SEC$20,000
Abratradershubs.com investor protection violation2024MI-SEC$20,000
BitPrimePipsFX.com investor protection violation2024MI-SEC$20,000
J P Morgan Private Wealth Advisors, LLCJPMorgan Chasefinancial servicesinvestor protection violation2024PA-BKG$20,000
Beautiplus LLC investor protection violation2024WA-SEC$20,000
Halpern & Associates, LLC accounting fraud or deficiencies2024PCAOB$20,000
MASTER'S BUSINESS ALLIANCE TRUST investor protection violation2024AL-SEC$20,000
Sweetwater Mining Corp. investor protection violation2024CO-SEC$20,000
Blackwater Assets, Inc. investor protection violation2024IL-SEC$20,000
Fxtrade24online.com investor protection violation2024MI-SEC$20,000
Nova Tech LTD investor protection violation2024MI-SEC$20,000
Vimoptionpro.com investor protection violation2024MI-SEC$20,000
Omfxcoin Ltd. investor protection violation2024MI-SEC$20,000
County Bank banking violation2005FED$19,960
Hughes Environmental Engineering, Inc. tax violations2016CT-AG$19,808
Deutsche Bank Trust Company AmericasDeutsche Bankfinancial serviceseconomic sanction violation2013OFAC$19,800
JG Enterprise, LLC investor protection violation2019AZ-CC$19,772
UCI Wealth Advisors LLC investor protection violation2016ID-SEC$19,700
Josef and Anni Albers Foundation, Inc. tax violations2013CT-AG$19,635
Badger Bank banking violation2019FDIC$19,600
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.