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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
Monex Deposit Company et al. investor protection violation2020MN-FIN$10,000
Wyoming Financial Securities, Inc. investor protection violation2005MO-SEC$10,000
King's Country Music Show investor protection violation2006MO-SEC$10,000
Eidelman Financial Management, Inc. investor protection violation2008MO-SEC$10,000
Guardian Financial Group, LLC investor protection violation2008MO-SEC$10,000
Premier Capital Advisors, Inc. investor protection violation2009MO-SEC$10,000
Trinity Capital Management, LLC investor protection violation2014MO-SEC$10,000
Quantum Business Golf International, Inc. et al. investor protection violation2016MO-SEC$10,000
Assemblies of God Loan Fund investor protection violation2017MO-SEC$10,000
MTW Investment Financing, LLC investor protection violation2005MS-SEC$10,000
Mowdy Financial, LLC investor protection violation2006MS-SEC$10,000
Glacier Wealth, Inc. investor protection violation2015MT-FIN$10,000
Kairos Properties LLC investor protection violation2016MT-FIN$10,000
Youngevity International, Inc. investor protection violation2016MT-FIN$10,000
Woodstock Financial Group Inc. investor protection violation2019MT-FIN$10,000
Assemblies of God Loan Fund investor protection violation2005ND-SEC$10,000
Cadaret, Grant & Co., Inc.Atria Wealth Solutionsfinancial servicesinvestor protection violation2008NE-DBF$10,000
Recycled Asphalt Shingle Technology LLC investor protection violation2013NH-BSR$10,000
J.D. Nicholas & Associates investor protection violation2015NH-BSR$10,000
Flagship Harbor Advisors, LLC investor protection violation2018NH-BSR$10,000
ACCA Enterprises LLC investor protection violation2017NM-SEC$10,000
Cherokee Energy Company LLC investor protection violation2003OK-SEC$10,000
Waddell & Reed Inc.Macquariefinancial servicesinvestor protection violation2008OK-SEC$10,000
The O.N. Equity Sales Company investor protection violation2012OK-SEC$10,000
Premier Capital LLC investor protection violation2013OK-SEC$10,000
LeMans Portfolio Design LLC investor protection violation2019OK-SEC$10,000
T.S. Phillips Investment Inc. investor protection violation2019OK-SEC$10,000
San Clemente Securities investor protection violation2000OR-FIN$10,000
U.S. Securities Intl. Corp. investor protection violation2002OR-FIN$10,000
Safe Systems, Inc. investor protection violation2012OR-FIN$10,000
Genesis Holdings Group, Inc. and Phoenix Development Group, Inc. investor protection violation2012OR-FIN$10,000
Philippine Gold Importation Venture investor protection violation2012OR-FIN$10,000
Grace Financial Group, LLC investor protection violation2014OR-FIN$10,000
Nativeone Institutional Trading, LLC investor protection violation2014OR-FIN$10,000
Redwine & Company, Inc. investor protection violation2014OR-FIN$10,000
Invest Northwest, L.L.C. investor protection violation2015OR-FIN$10,000
Comprehensive Capital Management Inc. investor protection violation2013PA-BKG$10,000
Quattro Advisors LLC investor protection violation2013PA-BKG$10,000
EPG Advisory LLC investor protection violation2013PA-BKG$10,000
Montchanin Asset Management LLC investor protection violation2014PA-BKG$10,000
IBN Financial Services Inc. investor protection violation2014PA-BKG$10,000
Wall Private Wealth LLC investor protection violation2017PA-BKG$10,000
Iron Will Advisory Group investor protection violation2017PA-BKG$10,000
MidAmerica Financial Services Inc. investor protection violation2015PA-BKG$10,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2016PA-BKG$10,000
PMN Inc. dba Portfolio Management Network Inc. investor protection violation2018PA-BKG$10,000
Kairos Capital Advisors LLC investor protection violation2018PA-BKG$10,000
The McMahon Team LLC investor protection violation2019PA-BKG$10,000
Barrett & Co. investor protection violation2015RI-FIN$10,000
Pinnacle Management Group LLC investor protection violation2011SC-SEC$10,000
PDP Management LP investor protection violation2011SC-SEC$10,000
Benchmark Capital Investment, LLC investor protection violation2013SC-SEC$10,000
WR&A Financial Services LLC investor protection violation2015SC-SEC$10,000
Sonos Capital Advisors, LLC investor protection violation2015SC-SEC$10,000
Investment Advisory Center Inc. investor protection violation2015SC-SEC$10,000
Drummond & Associates Financial Services LLC investor protection violation2015SC-SEC$10,000
Boardroom Private Investment Group investor protection violation2016SC-SEC$10,000
KPM Financial LLC investor protection violation2017SC-SEC$10,000
PowerOne Corporation investor protection violation2018SC-SEC$10,000
Wesleyan Investment Foundation Inc. investor protection violation2018SD-INS$10,000
Edward D. Jones & Co. L.P.Jones Financialfinancial servicesinvestor protection violation2019SD-INS$10,000
Westminster Securities Corporation investor protection violation2000TN-SEC$10,000
Goldis Financial Group Inc. investor protection violation2001TN-SEC$10,000
MONY Securities Corporation investor protection violation2003TN-SEC$10,000
Continental Broker-Dealer Corp. investor protection violation2004TN-SEC$10,000
Shanklin Capital Management Inc. investor protection violation2005TN-SEC$10,000
The Williams Financial Group Inc. investor protection violation2000TX-SEC$10,000
Lone Star Securities Inc. investor protection violation2003TX-SEC$10,000
Pruco Securities LLCPrudential Financialfinancial servicesinvestor protection violation2004TX-SEC$10,000
FlexVest Securities Group Inc. investor protection violation2005TX-SEC$10,000
Kaizen Management LP investor protection violation2005TX-SEC$10,000
MDK Financial Group Inc. investor protection violation2006TX-SEC$10,000
Linsco/Private Ledger Corp. investor protection violation2006TX-SEC$10,000
Windward Partners LLC investor protection violation2007TX-SEC$10,000
IMS Securities Inc. investor protection violation2008TX-SEC$10,000
Calandro Advisory Services Inc. investor protection violation2009TX-SEC$10,000
Investors Capital Corp. investor protection violation2009TX-SEC$10,000
Caprock Securities Inc. investor protection violation2009TX-SEC$10,000
808 Investments LLC et al. investor protection violation2009TX-SEC$10,000
Lorintine Capital LP investor protection violation2020TX-SEC$10,000
FIDELITY ASSURANCE ASSOCIATES investor protection violation2005VA-SEC$10,000
SUNAMERICA SECURITIES, INC.American International Groupfinancial servicesinvestor protection violation2006VA-SEC$10,000
COMTEL, INC. investor protection violation2007VA-SEC$10,000
McKean County 3 Well, LLP, investor protection violation2008VA-SEC$10,000
King Lombardi Acquisitions, Inc. d/b/a VR Business Brokers investor protection violation2008VA-SEC$10,000
JTH TAX, INC. D/B/A LIBERTY TAX SERVICE investor protection violation2008VA-SEC$10,000
AAMCO TRANSMISSIONS, INC.Icahn Enterprisesdiversifiedinvestor protection violation2013VA-SEC$10,000
J.W. KORTH & COMPANY, LP investor protection violation2015VA-SEC$10,000
DIVERSIFIED REAL ESTATE HOLDING LLC investor protection violation2016VA-SEC$10,000
PRESTON WEALTH ADVISORS, LLC investor protection violation2016VA-SEC$10,000
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2019VA-SEC$10,000
Lincoln Financial Securities CorporationLincoln Nationalfinancial servicesinvestor protection violation2010VT-FIN$10,000
Retirement Base Camp investor protection violation2019WA-FIN$10,000
Investment Hiker, LLC investor protection violation2018WA-FIN$10,000
Reign Capital Management, LLC investor protection violation2017WA-FIN$10,000
Northwest Crest, LLC and NW Crest Capital, LLC investor protection violation2017WA-FIN$10,000
Your Local Market, LLC investor protection violation2014WA-FIN$10,000
Cirrus Partners, Inc. investor protection violation2014WA-FIN$10,000
MRG International, Inc. investor protection violation2014WA-FIN$10,000
SPF, INC investor protection violation2013WA-FIN$10,000
Dinotech Corp. investor protection violation2013WA-FIN$10,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.