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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
Adams Financial Concepts, LLC investor protection violation2014WA-FIN$15,000
New Earth Renewable Energy Inc. investor protection violation2013WA-FIN$15,000
Yofast, LP investor protection violation2013WA-FIN$15,000
ECO Motor Company, Inc. investor protection violation2011WA-FIN$15,000
Texas State Energy Corp. investor protection violation2011WA-FIN$15,000
LionHearted Entertainment, Inc. investor protection violation2006WA-FIN$15,000
Runnymede Capital Partners and Runnymede Capital Management investor protection violation2005WA-FIN$15,000
Millennium Marketing and Management, LLC investor protection violation2005WA-FIN$15,000
MA Quik Framing Inc. investor protection violation2005WA-FIN$15,000
DBH Growth Fund investor protection violation2004WA-FIN$15,000
Western Gateway Region Rural Broadband Company, Inc investor protection violation2020AZ-CC$15,000
Banner Co-op, Inc. investor protection violation2020MI-SEC$15,000
MFG Investments, LLC investor protection violation2020PA-BKG$15,000
603 Financial, Inc. dba Goddard Financial Planning investor protection violation2020WA-SEC$15,000
S.G. Long & Company investor protection violation2020TX-SEC$15,000
FSC Securities Corporation investor protection violation2009FINRA$15,000
Lincoln Investment Planning, Inc. investor protection violation2009FINRA$15,000
Delta Asset Management Company, L.L.C. investor protection violation2004FINRA$15,000
Deutsche Bank Securities, Inc.Deutsche Bankfinancial servicesinvestor protection violation2004FINRA$15,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2001FINRA$15,000
Penson Financial Services, Inc. investor protection violation2001FINRA$15,000
Allmerica Investments, Inc. investor protection violation2001FINRA$15,000
Superior Investment Performance Inc. dba Everyield Investments investor protection violation2021PA-BKG$15,000
Legacy Wealth Advisors, Inc. investor protection violation2021TX-SEC$15,000
LaTour Asset Management, LLC investor protection violation2021MO-SEC$15,000
Mitchell Retirement Group, LLC investor protection violation2021PA-BKG$15,000
Slack & Company LLC accounting fraud or deficiencies2021PCAOB$15,000
Zenith Sterling Advisers LLC investor protection violation2022MO-SEC$15,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2022OK-SEC$15,000
Arthur Zaske & Associates, LLC investor protection violation2022SEC$15,000
N.V.N.G. Investments, Inc. investor protection violation2022SEC$15,000
Stock Management LLC dba Ben Heeb & Associates investor protection violation2022WA-SEC$15,000
Ameritas Investment Co.Ameritas Mutual Holding Companyfinancial servicesinvestor protection violation2022NV-SEC$15,000
Transchemical Incorporated tax violations2022ATTTB$15,000
SLS Agricultural Consulting and Management, LLC investor protection violation2022OK-SEC$15,000
VBit Technologies Inc investor protection violation2022WA-SEC$15,000
DevCoH, LLC investor protection violation2022MO-SEC$15,000
Osage Pacific Advisors investor protection violation2022WA-SEC$15,000
Independent Investment Advisors, LLC investor protection violation2023SC-SEC$15,000
Pantheon Investments, LLC investor protection violation2023TN-SEC$15,000
Black Diamond Lifeplan Fund et al. investor protection violation2023CT-SEC$15,000
Pensionmark Securities, LLC investor protection violation2023ME-SEC$15,000
Cornerstone Wealth Partners, LLC investor protection violation2024CA-DFPI$15,000
The Tri-County Bank banking violation2023NE-DBF$15,000
True Horizon Wealth Advisors, LLC investor protection violation2024PA-BKG$15,000
Gainvest Legal Corp investor protection violation2024SEC$15,000
Viking Wealth Management, LLC investor protection violation2024PA-BKG$15,000
Anderson Business Advisors, LLC and Anderson Global Business Group, LLC investor protection violation2024MT-FIN$15,000
Xenia Partners LLC investor protection violation2024VA-SEC$15,000
Stryker Sustainability Solutions, Inc.Strykermedical equipment and suppliestax violations2013CT-AG$14,995
Barclays Bank PLCBarclaysfinancial serviceseconomic sanction violation2004OFAC$14,970
American Express Centurion BankAmerican Expressfinancial servicestax violations2012CT-AG$14,970
Pond Equities Corp. investor protection violation2007RI-FIN$14,960
Integra Burlington MA, Inc. tax violations2012CT-AG$14,940
Securities Services Network, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2002FL-OFR$14,938
Union Bank of CAU.S. Bancorpfinancial serviceseconomic sanction violation2003OFAC$14,913
Don Francisco Cigars LLC tax violations2018ATTTB$14,881
CED Technologies International, Inc. tax violations2016CT-AG$14,880
Buraness Management, LLC investor protection violation2011MO-SEC$14,827
PREMIER BANK banking violation2008FDIC$14,800
Hantz Bank banking violation2018FDIC$14,800
UBS (USA) IncUBSfinancial serviceseconomic sanction violation2003OFAC$14,750
SUN SECURITY BANK banking violation2008FDIC$14,700
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020MT-FIN$14,700
UTF Trucking, Inc. tax violations2014CT-AG$14,655
March First Manufacturing, LLC tax violations2024ATTTB$14,655
MGPI of Indiana LLCMGP Ingredientsagribusinesstax violations2018ATTTB$14,625
Thermon Manufacturing CompanyThermon Group Holdingsindustrial equipmenteconomic sanction violation2009OFAC$14,613
Calivin Bird & Associates, LLC and Island Falls Financial, Inc. investor protection violation2007MO-SEC$14,605
Locumtenens.com, LLC tax violations2013CT-AG$14,603
Sierra Financial Advisors, LLC investor protection violation2010SEC$14,599
Fred C. Church, Inc. tax violations2012CT-AG$14,565
Mar Cor Purification, Inc.Xylemmiscellaneous servicestax violations2015CT-AG$14,543
North American Credit Card Association, Inc. tax violations2014CT-AG$14,535
IndeCorp Corporation economic sanction violation2005OFAC$14,520
RANDALL STATE BANK banking violation2008FDIC$14,500
AMERICAN ENTERPRISE BANK OF FLORIDA banking violation2011FDIC$14,500
Allegiant Retirement Group investor protection violation2016MO-SEC$14,500
Tidewater Financial Group PC investor protection violation2016NH-BSR$14,500
Urban and Sons Insulation Co.,Inc. tax violations2015CT-AG$14,483
PREMIERBANK banking violation2006FDIC$14,455
Jefferies & Company, Inc.Jefferies Financial Groupdiversifiedinvestor protection violation2006CT-SEC$14,450
FR&J Investments Group Corp. investor protection violation2005OK-SEC$14,350
Power Service Concepts, Inc. tax violations2013CT-AG$14,336
SANDERSON STATE BANK banking violation2008FDIC$14,300
Latham Consulting Group, LLC tax violations2015CT-AG$14,198
Glotel, Inc. tax violations2013CT-AG$14,145
AMG Marketing Services, LLC tax violations2015CT-AG$14,100
Chevron/TexacoChevronoil and gaseconomic sanction violation2003OFAC$14,071
Cornerstone Staffing Solutions, Inc. tax violations2015CT-AG$14,055
Bank-Fund Staff Federal Credit Union economic sanction violation2005OFAC$14,000
Cumberland Valley National Bank & Trust Company banking violation2003OCC$14,000
Louis Dreyfus Commodities Grand Junction LLCLouis Dreyfusfinancial servicestax violations2017ATTTB$14,000
Clear Mountain Bank banking violation2018FED$14,000
LPL Financial, LLCLPL Financialfinancial servicesinvestor protection violation2013IN-SEC$14,000
Barrington Capital Management, Inc. investor protection violation2007MO-SEC$14,000
US Petroleum LLC investor protection violation2003ND-SEC$14,000
RAHFCO Management Group LLC investor protection violation2010ND-SEC$14,000
SAXBY'S COFFEE, INC. investor protection violation2008VA-SEC$14,000
AMERIPRISE FINANCIAL SERVICES, INC.Ameriprise Financialfinancial servicesinvestor protection violation2016VA-SEC$14,000
Access Securities, Inc. investor protection violation2001FINRA$14,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.