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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
Delta FX Trade investor protection violation2018AZ-CC$15,000
Senior Benefit Advisors, Inc. investor protection violation2008CA-DFPI$15,000
Alii Consulting investor protection violation2017CA-DFPI$15,000
Candide Group, LLC investor protection violation2017CA-DFPI$15,000
Opes Capital Group, LLC investor protection violation2019CA-DFPI$15,000
Vision Securities, Inc. investor protection violation2006CT-SEC$15,000
Casimir Capital L.P. investor protection violation2009CT-SEC$15,000
American Capital Partners, LLC investor protection violation2009CT-SEC$15,000
Elite Manufacturing, LLC investor protection violation2010CT-SEC$15,000
Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesinvestor protection violation2010CT-SEC$15,000
Charles Morgan Securities, Inc. investor protection violation2011CT-SEC$15,000
Aegis Capital Corp. investor protection violation2012CT-SEC$15,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2013DC-DISB$15,000
Delaware Financial Insurance and Investment, Inc. investor protection violation2001DE-SEC$15,000
The Rockwell Financial Group, Inc. investor protection violation2003DE-SEC$15,000
The Morgan Group investor protection violation2000FL-OFR$15,000
Morgan Carlton Financial Corp. investor protection violation2000FL-OFR$15,000
Morgan Commercial Private Investment Bankers investor protection violation2000FL-OFR$15,000
D. Dean Hooley, II & Associates investor protection violation2002FL-OFR$15,000
T.H.E. Financial Group, Ltd. investor protection violation2003FL-OFR$15,000
Brookstreet Securities Corp. investor protection violation2004FL-OFR$15,000
Meyers Associates, L.P. investor protection violation2004FL-OFR$15,000
Lee County Acceptance Corp. investor protection violation2007FL-OFR$15,000
Ephesians 6:11 LLC investor protection violation2014FL-OFR$15,000
World Group Securities, Inc.Aegonfinancial servicesinvestor protection violation2004ID-SEC$15,000
C&C Capital, LLC investor protection violation2010ID-SEC$15,000
United Private Capital, Inc. investor protection violation2015IL-SEC$15,000
US Business Brokers, Inc. investor protection violation2015IL-SEC$15,000
European Assets, Inc. investor protection violation2016IL-SEC$15,000
Lifetime Financial Growth of Ohio, LLC investor protection violation2014IN-SEC$15,000
StatNet Corp. investor protection violation2011KY-FIN$15,000
US Energy Partners, Inc. investor protection violation2012KY-FIN$15,000
US Energy Partners, Inc. investor protection violation2012KY-FIN$15,000
Lawstar, Inc. investor protection violation2004MD-SEC$15,000
Van On State, LLC investor protection violation2005MD-SEC$15,000
E-Commerce Network.com, LLC and Wealth Systems, Inc. investor protection violation2005MD-SEC$15,000
My Plan Management group, LLC investor protection violation2005MD-SEC$15,000
Principal Investors Fund, Inc. investor protection violation2008MD-SEC$15,000
KH Funding Co. investor protection violation2008MD-SEC$15,000
SCDC Management Company, LLC investor protection violation2010MD-SEC$15,000
JEI Self-Learning Systems, Inc. investor protection violation2013MD-SEC$15,000
RBC Capital Market LLC investor protection violation2015MD-SEC$15,000
Daekyo America, Inc. investor protection violation2018MD-SEC$15,000
The Baltimore Land Trust Development Group, LP investor protection violation2019MD-SEC$15,000
Sound Investment Equity, LLC investor protection violation2019MD-SEC$15,000
Geckler Companies, Inc. investor protection violation2013MN-FIN$15,000
Hurting Kind Films, LLC investor protection violation2014MN-FIN$15,000
Creative Wealth Strategies, Inc. dba Adams-Hansen & Associates investor protection violation2015MN-FIN$15,000
Goldview Capital Management LP and Goldview Investment Group LLC investor protection violation2019MN-FIN$15,000
Tri-City Baptist Church, Inc. investor protection violation2004MO-SEC$15,000
Professional Resource Network, LLC investor protection violation2005MO-SEC$15,000
Andrew Garrett, Inc. investor protection violation2008MO-SEC$15,000
Datatex Investment Services, Inc. investor protection violation2009MO-SEC$15,000
Peak Wealth Group, LLC investor protection violation2014MO-SEC$15,000
Crossroads Asset Management, LLC investor protection violation2015MO-SEC$15,000
MWA Financial Services, Inc. investor protection violation2016MO-SEC$15,000
Mad Baby Pictures, LLC investor protection violation2017MO-SEC$15,000
Beacon Wealth Advisory, LLC investor protection violation2019MO-SEC$15,000
Consumer Concepts Investments, Inc. investor protection violation2006MS-SEC$15,000
Brookstreet Securities Corp. investor protection violation2008MS-SEC$15,000
TelexFREE, Inc. investor protection violation2015MT-FIN$15,000
TelexFREE, LLC investor protection violation2015MT-FIN$15,000
Rothschild Investment Corporation investor protection violation2008ND-SEC$15,000
ABC Financial Planning investor protection violation2017NH-BSR$15,000
Rupali Exchange, Inc. anti-money-laundering deficiencies2004NY-DFS$15,000
Transworld Transmitting Corp. anti-money-laundering deficiencies2004NY-DFS$15,000
Spelman & Co. Inc. investor protection violation2007OK-SEC$15,000
CUNA Brokerage Services Inc.CUNA Mutualfinancial servicesinvestor protection violation2014OK-SEC$15,000
The Baker Group investor protection violation2019OK-SEC$15,000
Data Technology Group investor protection violation2002OR-FIN$15,000
Las Vegas 220 SMR investor protection violation2002OR-FIN$15,000
Westminster Holdings Ltd et al. investor protection violation2002OR-FIN$15,000
Omni Advisor Group Inc. investor protection violation2004OR-FIN$15,000
Childcare Seekers Onestop Inc. investor protection violation2006OR-FIN$15,000
Prosper Marketplace Inc.Prosper Marketplacefinancial servicesinvestor protection violation2009OR-FIN$15,000
Richards, Merrill & Peterson, Inc. investor protection violation2016OR-FIN$15,000
IFS Securities Inc. investor protection violation2018PA-BKG$15,000
Oil2 Holdings, Inc. and Couch Financial Services Incorporated investor protection violation2014SC-SEC$15,000
Quinn Financial Partners LLC investor protection violation2013TN-SEC$15,000
Jones Wealth Management, LLC investor protection violation2020TN-SEC$15,000
Supertrade Securities Inc. investor protection violation2000TX-SEC$15,000
Lehman Brothers Inc. investor protection violation2006TX-SEC$15,000
Financial Consulting Services investor protection violation2016TX-SEC$15,000
Sunlight Investments investor protection violation2018TX-SEC$15,000
TIRE RECYCLERS, INC. investor protection violation2001VA-SEC$15,000
WASHINGTON SQUARE SECURITIES investor protection violation2002VA-SEC$15,000
CAC Capital Corporation investor protection violation2006VA-SEC$15,000
C & D MANAGEMENT COMPANY investor protection violation2008VA-SEC$15,000
GREYSTONE CAPITAL investor protection violation2008VA-SEC$15,000
GRISWOLD SPECIAL CARE, INC. investor protection violation2009VA-SEC$15,000
CAPITOL SECURITIES MANAGEMENT investor protection violation2010VA-SEC$15,000
PLAY N TRADE FRANCHISE, INC. investor protection violation2010VA-SEC$15,000
THE BUFFALO EXTENSION LLP investor protection violation2011VA-SEC$15,000
Manhattan Pizza Company, LLC and Luv'nberry investor protection violation2014VA-SEC$15,000
GLOBAL RETAILERS, LLC investor protection violation2015VA-SEC$15,000
Pelican's Snoballs VA LLC investor protection violation2016VA-SEC$15,000
Montessori School Franchising, LLC investor protection violation2017VA-SEC$15,000
Stock Investment Management Inc. investor protection violation2018VT-FIN$15,000
Creative Money LLC investor protection violation2017WA-FIN$15,000
All Wave Engineering, Inc. investor protection violation2016WA-FIN$15,000
Adams Financial Concepts, LLC investor protection violation2014WA-FIN$15,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.