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Violation Tracker Summary for Offense Group

Offense Group: financial offenses
Penalty Total since 2000: $295,516,055,451
Number of Penalty Records: 11,145
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$41,333,342,096156
UBS$27,713,994,893137
JPMorgan Chase$27,358,534,167125
Citigroup$19,750,393,935106
Deutsche Bank$15,638,617,27868
Goldman Sachs$13,128,062,84158
NatWest Group PLC$12,129,162,85723
Wells Fargo$10,735,730,989130
Morgan Stanley$9,905,512,956168
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
Cosas Management Group, L.L.C. investor protection violation2009AZ-CC$1,405,366
Next Financial Group, Inc.Atria Wealth Solutionsfinancial servicesinvestor protection violation2019SEC$1,405,349
Cornerstone Benefit Advisors, LLC investor protection violation2017KY-FIN$1,405,126
Merrill Lynch, Pierce, Fenner & Smith IncBank of Americafinancial servicesinvestor protection violation2018SEC$1,404,000
Payoneer Inc. economic sanction violation2021OFAC$1,400,301
Colonial Fund LLC and Colonial Investment Management LLC investor protection violation2009SEC$1,400,000
SandRidge Energy, Inc.SandRidge Energyoil and gasinvestor protection violation2016SEC$1,400,000
MUFG Securities Americas Inc.U.S. Bancorpfinancial servicesinvestor protection violation2018SEC$1,400,000
The Bancorp, Inc. investor protection violation2019SEC$1,400,000
BGC Partners, Inc.BGC Partnersfinancial servicesinvestor protection violation2020SEC$1,400,000
State Street Global Markets LLCState Street Corp.financial servicesinvestor protection violation2005FINRA$1,400,000
Commonwealth Financial Network investor protection violation2005FINRA$1,400,000
Wefunder Portal LLC investor protection violation2022FINRA$1,400,000
RTW Investments, LP investor protection violation2023SEC$1,400,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2023SEC$1,400,000
FX & Beyond Corporation investor protection violation2018SEC$1,392,656
Mosaic Financial Strategies LLC and Mosaic Portfolio Strategists, LLC investor protection violation2020CT-SEC$1,390,000
The Fortitude Foundation et al. investor protection violation2020AZ-CC$1,386,024
Harbinger Capital Partners, LLC investor protection violation2012SEC$1,378,763
PIF Financial Services, LLC and Premier Mortgage Solutions, LLC investor protection violation2016MO-SEC$1,378,510
Starberry Limited investor protection violation2022CFTC$1,376,206
Benjamin F. Edwards & Company, Inc. investor protection violation2020SEC$1,366,551
SB Saanen Bank AG tax violations2015DOJ_TAX$1,365,000
Societe Generale Private Banking (Lugano-Svizzera)Societe Generalefinancial servicestax violations2015DOJ_TAX$1,363,000
D-Tronics tax violations2014DOJ_CRIMINAL$1,350,000
HomeStreet BankHomeStreet Inc.financial servicesbanking violation2019FDIC$1,350,000
Great Westem Malting Co. economic sanction violation2012OFAC$1,347,750
Gartmore Investment Limited investor protection violation2010SEC$1,347,251
Platinum Wealth Partners, Inc. investor protection violation2020SEC$1,330,847
FFH Holdings, LLC investor protection violation2019MO-SEC$1,329,157
CoverLugg LLC and Birdie Media LLC investor protection violation2019AZ-CC$1,328,090
Southern Homes, L.L.C. investor protection violation2009AZ-CC$1,327,500
Wilmington Trust Investment Management, LLCM&T Bankfinancial servicesinvestor protection violation2023SEC$1,327,147
Pacific Capital Enterprises LLC investor protection violation2019AZ-CC$1,326,872
Fieldstone Financial Management Group LLC investor protection violation2019SEC$1,322,971
Westport Capital Markets, LLC investor protection violation2021SEC$1,320,761
Colonial Tidewater Realty Income Partners investor protection violation2015SEC$1,319,386
AE Wealth Management, LLC investor protection violation2021AZ-CC$1,309,400
National Planning Corporation Inc. investor protection violation2005FINRA$1,308,000
American Portfolios Financial Services, Inc. and American Portfolios Advisors, Inc. investor protection violation2020SEC$1,305,660
Appaloosa Management L.P. investor protection violation2010SEC$1,304,523
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2018SEC$1,304,197
Touradji Capital Management, L.P. investor protection violation2011SEC$1,303,336
Cochise Financial Corp. investor protection violation2000AZ-CC$1,301,929
Falconhead Capital investor protection violation2009NY-AG$1,300,000
Mutual Service Corporation investor protection violation2005FINRA$1,300,000
Koppers Holdings Inc.Kopperschemicalsinvestor protection violation2022SEC$1,300,000
Meta Funding, LLC investor protection violation2007AZ-CC$1,299,900
Perfection PR Firm LLC investor protection violation2020CFTC$1,296,572
Lefavi Wealth Management, Inc. investor protection violation2019SEC$1,288,735
Visionary Group Holdings, Inc. investor protection violation2011CA-DFPI$1,285,750
GPS Partners, LLC investor protection violation2010SEC$1,284,171
TMTE, Inc. et al. investor protection violation2022MT-FIN$1,282,738
Centaurus Financial, Inc. investor protection violation2021SEC$1,281,396
Bamex International, Ltd. investor protection violation2002AZ-CC$1,277,429
Deerfield Capital Corp. accounting fraud or deficiencies2011SEC$1,277,070
Key Resource Group, LLC investor protection violation2008CT-SEC$1,275,000
Banc of America Securities LLCBank of Americafinancial servicesinvestor protection violation2010NJ-AG$1,268,393
Texon Energy Corp. and Lonestar Petroleum Corp. investor protection violation2002SEC$1,268,253
Portfolio Advisors Alliance investor protection violation2019SEC$1,259,721
Comprehensive Cash Flow Funding, Inc. et al. investor protection violation2012AZ-CC$1,253,122
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinafinancial servicesinvestor protection violation2018SEC$1,250,000
Moody's Investors Service, Inc.Moody'sinformation technologyinvestor protection violation2018SEC$1,250,000
Mizuho Securities USA LLCMizuho Financialfinancial servicesinvestor protection violation2018SEC$1,250,000
BGC Financial accounting fraud or deficiencies2018SEC$1,250,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2018SEC$1,250,000
Natixis Securities Americas LLC investor protection violation2018SEC$1,250,000
Alma Bank banking violation2019FDIC$1,250,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2020CFTC$1,250,000
Revolution Lighting Technologies Inc. accounting fraud or deficiencies2020SEC$1,250,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2019FINRA$1,250,000
J.P. Morgan Securities, LLCJPMorgan Chasefinancial servicesinvestor protection violation2017FINRA$1,250,000
Payward Ventures, Inc. d/b/a Kraken investor protection violation2021CFTC$1,250,000
United States Oil Fund LP and United States Commodity Funds LLC investor protection violation2021SEC$1,250,000
Plug Power Inc.Plug Power Inc.utilities and power generationinvestor protection violation2023SEC$1,250,000
TAL Education Group investor protection violation2023SEC$1,250,000
Huntington Investment Company investor protection violation2024SEC$1,250,000
Skechers U.S.A. Inc.Skechers USA Inc.apparelinvestor protection violation2024SEC$1,250,000
Anson Funds Management, LP investor protection violation2024SEC$1,250,000
American Elder Group, L.L.C. and American Elder Group, Inc. investor protection violation2007AZ-CC$1,245,403
OLOF Enterprises, L.L.C. investor protection violation2009AZ-CC$1,242,612
Arizona Gold Processing, LLC and AZGO, LLC investor protection violation2013AZ-CC$1,242,275
CS First Boston Corp.UBSfinancial servicesinvestor protection violation2000FINRA$1,240,000
O.N. Investment Management Company investor protection violation2022SEC$1,238,653
My Trader Coin investor protection violation2022AZ-CC$1,237,747
The Kane Capital Investment Group, LLC investor protection violation2019CFTC$1,232,510
Solution, Sources, and Consulting, LLC and Energy Savings Solution, Inc. investor protection violation2005AZ-CC$1,229,186
Plaza Bank banking violation2015DOJ_CIVIL$1,225,000
Dentsply Sirona Inc.Dentsply Sironamedical equipment and supplieseconomic sanction violation2017OFAC$1,220,400
Imagine Enterprises, LLC investor protection violation2019AZ-CC$1,217,793
Executive Real Estate Solutions, L.L.C. investor protection violation2012AZ-CC$1,217,747
Whispering Creek Investments LLC investor protection violation2019AZ-CC$1,214,923
Precious Oro Resources LLC et al. investor protection violation2008OK-SEC$1,212,818
Achieve Financial Services LLP banking violation2013FDIC$1,210,000
CoinList Markets LLC economic sanction violation2023OFAC$1,207,830
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2021SEC$1,207,000
Summit Financial Group, Inc. investor protection violation2020SEC$1,206,882
Green Panel Corp. and Panelized Building Systems of Prescott, L.L.C. investor protection violation2010AZ-CC$1,203,800
Credit Suisse Securities (USA) LLCUBSfinancial servicestoxic securities abuses2016VA-AG$1,200,000
Mid-Atlantic Financial, LLC et al. investor protection violation2018MD-SEC$1,200,000
Black Diamond Forex LP, BDF Trading LP, and Advanta FX investor protection violation2020CFTC$1,200,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.