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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
Dinotech Corp. investor protection violation2013WA-FIN$10,000
Brunhaver Financial Services, LLC investor protection violation2012WA-FIN$10,000
Better World Materials Inc. investor protection violation2012WA-FIN$10,000
L&L International Holdings, Inc. investor protection violation2009WA-FIN$10,000
Valkyrie, Inc. investor protection violation2009WA-FIN$10,000
Pine Canyon Enterprises, Inc. investor protection violation2007WA-FIN$10,000
Mana, LLC investor protection violation2005WA-FIN$10,000
U.S. Recycling Corp. and Metals Recycling Depot, Inc. investor protection violation2001WA-FIN$10,000
Selway Asset Management Inc. investor protection violation2020ID-SEC$10,000
Englebert Financial Advisors, LLC investor protection violation2020PA-BKG$10,000
Idaho Bourbon Distillers, LLC tax violations2020ATTTB$10,000
Crossroads Community Church Inc. investor protection violation2020KY-FIN$10,000
Ionx Capital Holdings Inc. investor protection violation2020KY-FIN$10,000
Conestoga Trust investor protection violation2020MO-SEC$10,000
Da Hua CPAs accounting fraud or deficiencies2020PCAOB$10,000
East Asia Sentinel Limited accounting fraud or deficiencies2020PCAOB$10,000
Ruihua Certified Public Accountants accounting fraud or deficiencies2020PCAOB$10,000
Zhonghua Certified Public Accountants LLP accounting fraud or deficiencies2020PCAOB$10,000
Jones Simkins LLC accounting fraud or deficiencies2020PCAOB$10,000
REACH Genetics Inc. investor protection violation2020WA-SEC$10,000
Chrysology Capital Group, L.L.C. investor protection violation2021AZ-CC$10,000
Priority Wealth Advisors, Inc. investor protection violation2020CA-DFPI$10,000
Neighborhood Networks Publishing, Inc. investor protection violation2020CA-DFPI$10,000
Volumetric Fund, Inc. investor protection violation2021CT-BKG$10,000
Lead Point Wealth Management, LLC investor protection violation2021KY-FIN$10,000
Accura Transaction Management, LLC investor protection violation2020MI-SEC$10,000
Cantone Research, Inc. investor protection violation2020NJ-BOS$10,000
OTR, Inc. investor protection violation2020SEC$10,000
Spelman & Co. investor protection violation2009FINRA$10,000
Tejas Securities Group, Inc. investor protection violation2005FINRA$10,000
UBS International Inc.UBSfinancial servicesinvestor protection violation2005FINRA$10,000
Mid-Atlantic Capital Corporation investor protection violation2004FINRA$10,000
Options Trading Associates, LLC investor protection violation2004FINRA$10,000
Transcend Capital, LP investor protection violation2004FINRA$10,000
UBS Securities, L.L.C.UBSfinancial servicesinvestor protection violation2004FINRA$10,000
Gerard Klauer Mattison & Co., Inc. investor protection violation2001FINRA$10,000
BancBoston Robertson Stephens investor protection violation2001FINRA$10,000
J.P. Morgan Securities, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2001FINRA$10,000
Spear, Leeds & KelloggGoldman Sachsfinancial servicesinvestor protection violation2001FINRA$10,000
Chase Securities, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2001FINRA$10,000
Ramius Securities LLC investor protection violation2001FINRA$10,000
Prudential Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2001FINRA$10,000
Ecovista Development LLC and Ecovista Avondale LLC investor protection violation2021AZ-CC$10,000
PFM Management Services, Inc. investor protection violation2021TN-SEC$10,000
Gateway Financial & Estate Planning, Inc. investor protection violation2021WA-SEC$10,000
MJF & Associates, APC accounting fraud or deficiencies2021PCAOB$10,000
First United Reserve, LLC investor protection violation2021MN-FIN$10,000
Divi-Vest Advisors, Inc. investor protection violation2021PA-BKG$10,000
Morey, Nee, Buck & Oswald, LLC accounting fraud or deficiencies2021PCAOB$10,000
Dynamic Trading Management LLC investor protection violation2021SEC$10,000
Eastside Financial Advisors LLC investor protection violation2021SEC$10,000
Sauberan & Company LLC investor protection violation2021SEC$10,000
Bill Parker Agency investor protection violation2021SEC$10,000
Birkelbach & Co. investor protection violation2021SEC$10,000
Greentree Investment Services Inc. investor protection violation2021SEC$10,000
ST Invest LLC d/b/a Trade App investor protection violation2021SEC$10,000
Ascension Investment Advisors investor protection violation2021PA-BKG$10,000
Harbourside CPA LLP accounting fraud or deficiencies2021PCAOB$10,000
WDM Chartered Professional Accountants accounting fraud or deficiencies2021PCAOB$10,000
Lexion Capital Management LP investor protection violation2021SEC$10,000
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2021VA-SEC$10,000
Extreme Marketing Alliance LLC investor protection violation2022CT-SEC$10,000
Goldstone Financial Group, LLC investor protection violation2022ID-SEC$10,000
Equity Advisors of KY Inc. investor protection violation2021KY-FIN$10,000
The Insight Advisory Group, LLC dba Insight Total Stewardship investor protection violation2021PA-BKG$10,000
Banyan Securities, LLC investor protection violation2022SEC$10,000
Church, Gregory, Adams Securities Corporation investor protection violation2022SEC$10,000
J.K. Financial Services, Inc. investor protection violation2022SEC$10,000
The Winning Edge Financial Group, Inc. investor protection violation2022SEC$10,000
iInvestsolutions.com, LLC investor protection violation2022TN-SEC$10,000
LimeLife USA LLC investor protection violation2022MT-FIN$10,000
WA State Construction LLC investor protection violation2022WA-SEC$10,000
Cornerstone Wealth Management, LLC investor protection violation2022AZ-CC$10,000
Perkins Fund Marketing, L.L.C. investor protection violation2022CT-SEC$10,000
Moreland Associates, LLC investor protection violation2022MD-SEC$10,000
MadaszConsulting, Inc. and DSM Enterprises, LLC investor protection violation2022MO-SEC$10,000
Stock Funding Corp. investor protection violation2022OK-SEC$10,000
Punch TV Studios, Inc. investor protection violation2022KY-FIN$10,000
Gunn Capital Management, LLC investor protection violation2022WA-SEC$10,000
Summit Investment Management, LLC investor protection violation2022CT-SEC$10,000
Peak Energy Company investor protection violation2022IL-SEC$10,000
Spencer & Associates and Spencer Enterprises Inc. investor protection violation2021IL-SEC$10,000
Guardian Strategic Wealth Advisors, LLC investor protection violation2023NH-BSR$10,000
Northlake Capital & Development LLC investor protection violation2022WA-SEC$10,000
DNA Brands Inc. investor protection violation2023SEC$10,000
The Marquie Group Inc. investor protection violation2023SEC$10,000
Index Portfolio Tools Advisors investor protection violation2023MD-SEC$10,000
Together We Profit investor protection violation2022MI-SEC$10,000
Clipper Capital Group LLC and T&T Capital Partners LLC investor protection violation2023CT-SEC$10,000
Greenfield Financial Services, LLC investor protection violation2023CT-SEC$10,000
AACHEN AUTO K E B INC dba TFN GROUP INC dba ITSONLY5COM investor protection violation2023MI-SEC$10,000
Basic Wealth Advisors, Inc. and Basic Financial Services, Inc. investor protection violation2023SC-SEC$10,000
MML Investors Services, LLCMassachusetts Mutual Life Insurancefinancial servicesinvestor protection violation2023MI-SEC$10,000
Preisz Associates Inc. dba Preisz Financial investor protection violation2023OR-FIN$10,000
Coinme Inc. and Up Global SEZC investor protection violation2023WA-SEC$10,000
MUFG BANK, LTD.U.S. Bancorpfinancial servicesbanking violation2024CT-BKG$10,000
RESOLUTE CAPITAL PARTNERS LTD, LLC investor protection violation2023MI-SEC$10,000
Bull & Unicorn Investments LLC investor protection violation2023WA-SEC$10,000
Archer Micro Cap Value Fund, LP investor protection violation2024CT-SEC$10,000
CWR Capital Management, LLC investor protection violation2024PA-BKG$10,000
Ronto Trading Inc. investor protection violation2024WA-SEC$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.