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Violation Tracker Summary for Offense Group

Offense Group: financial offenses
Penalty Total since 2000: $287,268,054,805
Number of Penalty Records: 11,008
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$41,332,842,096155
UBS$27,709,494,893134
JPMorgan Chase$27,007,359,167119
Citigroup$19,742,743,935103
Deutsche Bank$15,634,467,27866
Goldman Sachs$13,126,412,84157
NatWest Group PLC$12,235,546,85725
Wells Fargo$10,735,220,989127
Morgan Stanley$9,877,862,956163
BNP Paribas$9,164,773,00010

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 TypeYearAgency sort iconPenalty Amount
North American Resource Group, Inc. investor protection violation2006WA-FIN$38,175
Ensentech, Inc. and Hydro-Clean Fuel Systems, Inc. investor protection violation2006WA-FIN$5,000
Austin & Associates investor protection violation2006WA-FIN$30,000
LionHearted Entertainment, Inc. investor protection violation2006WA-FIN$15,000
Family First Advanced Estate Planning and Family First Insurance Services investor protection violation2006WA-FIN$50,000
Signed, Sealed & Delivered, Inc. investor protection violation2006WA-FIN$20,000
Anthone Properties, LLC investor protection violation2005WA-FIN$60,000
Westwood Holdings, Inc. investor protection violation2005WA-FIN$21,000
Pacific Coast Investment Company investor protection violation2005WA-FIN$5,000
Runnymede Capital Partners and Runnymede Capital Management investor protection violation2005WA-FIN$15,000
Millennium Marketing and Management, LLC investor protection violation2005WA-FIN$15,000
Financial & Estate Strategies, Inc. investor protection violation2005WA-FIN$45,000
Mana, LLC investor protection violation2005WA-FIN$10,000
MA Quik Framing Inc. investor protection violation2005WA-FIN$15,000
Newcastle Escrow Corporation investor protection violation2005WA-FIN$5,000
City Escrow, Inc. investor protection violation2004WA-FIN$12,000
DBH Growth Fund investor protection violation2004WA-FIN$15,000
Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2004WA-FIN$325,000
Pacific Coast Investment Company investor protection violation2004WA-FIN$108,000
Lilac City Closing & Escrow LLC investor protection violation2004WA-FIN$5,000
Northwest Best Direct, Inc. investor protection violation2004WA-FIN$39,000
Great Northern Financial Services, Inc. investor protection violation2004WA-FIN$30,000
Statewide Escrow investor protection violation2003WA-FIN$6,500
Success Concepts Enterprises, Inc. and World Business Consultants, Inc. investor protection violation2003WA-FIN$5,000
LDS Securities, LLC investor protection violation2003WA-FIN$20,000
Private Lender Funding, Inc. and The Moyer Company investor protection violation2003WA-FIN$12,500
Senior Estate Planning Group, Inc. et al. investor protection violation2002WA-FIN$20,000
Pacific West Securities, Inc. investor protection violation2002WA-FIN$130,000
Third Eye Systems, LLC investor protection violation2001WA-FIN$9,000
Clairmont Capitol, Inc. investor protection violation2002WA-FIN$6,000
U.S. Recycling Corp. and Metals Recycling Depot, Inc. investor protection violation2001WA-FIN$10,000
Preferred Funding, Inc. investor protection violation2001WA-FIN$5,000
Payday Today USA.com, Inc. investor protection violation2001WA-FIN$50,000
Woodstock Securities, Ltd. investor protection violation2001WA-FIN$6,000
Lehman Brothers, Inc. investor protection violation2014WA-AG$31,300,000
State Street BankState Street Corp.financial servicesinvestor protection violation2010WA-AG$11,700,000
Lincoln Financial Securities CorporationLincoln Nationalfinancial servicesinvestor protection violation2010VT-FIN$10,000
Surety Services LLC investor protection violation2013VT-FIN$150,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2014VT-FIN$325,000
Tucker Financial Services Inc. investor protection violation2015VT-FIN$644,886
Wells Fargo Advisors LLCWells Fargofinancial servicesinvestor protection violation2016VT-FIN$300,000
People's Securities Inc. investor protection violation2017VT-FIN$22,500
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2018VT-FIN$120,000
D.A. Davidson and Co. investor protection violation2018VT-FIN$60,000
Stock Investment Management Inc. investor protection violation2018VT-FIN$15,000
Global Mining and Mint Corporation investor protection violation2019VT-FIN$125,000
Retirement and College Financial Services of Vermont LLC investor protection violation2019VT-FIN$35,000
Winthrop Investment Management Co. investor protection violation2020VT-FIN$11,250
Thornton Investment Management PLLC investor protection violation2020VT-FIN$30,000
Account Management LLC investor protection violation2020VT-FIN$80,000
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020VT-FIN$6,900
Merrill LynchBank of Americafinancial servicesinvestor protection violation2020VT-FIN$125,000
Robinhood Financial LLCRobinhood Marketsfinancial servicesinvestor protection violation2022VT-FIN$640,000
Avantax Investment Services, Inc. investor protection violation2022VT-FIN$60,000
Connolly Financial Advisors, LLC investor protection violation2023VT-FIN$11,000
Chadwick & D’Amato, LLC, and Chadwick Consulting, LLC investor protection violation2023VT-FIN$1,652,708
Colomont, Inc. investor protection violation2023VT-FIN$456,500
Advisory Financial Group, Inc. investor protection violation2000VA-SEC$35,000
AIRCABLE OF ROANOKE, INC. AND DIGITAL BROADCAST CORP. investor protection violation2001VA-SEC$102,500
CAPITAL BROKERAGE CORPORATION investor protection violation2000VA-SEC$7,644
CHILDREN'S MAGICAL CITIES INC. AND CMC GLOBAL ENTERTAINMENT LLC investor protection violation2001VA-SEC$161,000
TIRE RECYCLERS, INC. investor protection violation2001VA-SEC$15,000
GLOBALINK SECURITIES, INC. investor protection violation2001VA-SEC$30,000
21ST. CENTURY TECHNOLOGIES FUNDING investor protection violation2001VA-SEC$5,000
21ST. CENTURY TECHNOLOGIES LLC investor protection violation2001VA-SEC$5,000
ADVANTAGE REAL ESTATE MANAGEMENT LLC investor protection violation2001VA-SEC$5,000
BRIGHT COVE SECURITIES INC. investor protection violation2001VA-SEC$5,000
ADVANTAGE REAL ESTATE LPS investor protection violation2001VA-SEC$5,000
INTEGRATED BROKERAGE SERVICES investor protection violation2001VA-SEC$775,000
IAC SECURITIES, INC. investor protection violation2002VA-SEC$20,000
BASIN OIL & GAS CORPORATION investor protection violation2002VA-SEC$5,500
AMPAK ENERGY COMPANY investor protection violation2002VA-SEC$8,768
WASHINGTON SQUARE SECURITIES investor protection violation2002VA-SEC$15,000
ALPHACOM, INC. investor protection violation2002VA-SEC$20,000
SENIOR RETIREMENT SERVICES INC investor protection violation2002VA-SEC$125,250
JEFFERSON PILOT SECURITIESLincoln Nationalfinancial servicesinvestor protection violation2003VA-SEC$26,500
BIO-SOLUTIONS FRANCHISE CORP. investor protection violation2003VA-SEC$7,000
WORLD ONLINE 247, INC. investor protection violation2003VA-SEC$31,500
DRY CLEANING & MARGO SLOAN investor protection violation2004VA-SEC$25,900
MERRILL LYNCH PIERCE FENNER &Bank of Americafinancial servicesinvestor protection violation2004VA-SEC$268,723
CHESAPEAKE INVESTMENT SERVICES INC. investor protection violation2004VA-SEC$54,000
CITIGROUP GLOBAL MARKETS INCCitigroupfinancial servicesinvestor protection violation2004VA-SEC$72,486
Wolf Creek Exploration, Ltd. investor protection violation2004VA-SEC$45,000
CUMBERLAND MANAGEMENT GROUP investor protection violation2004VA-SEC$170,750
FIDELITY ASSURANCE ASSOCIATES investor protection violation2005VA-SEC$10,000
BELLACINO'S, INC. investor protection violation2005VA-SEC$8,000
FIREHOUSE RESTAURANT ET AL. investor protection violation2005VA-SEC$9,000
FORTUNATO AND COMPANY, INC. investor protection violation2006VA-SEC$11,000
ACE SUSHI & ASIANA investor protection violation2006VA-SEC$17,100
EARTHWALK COMMUNICATIONS, INC. investor protection violation2006VA-SEC$60,000
NATIONAL TENANT NETWORK, INC. investor protection violation2006VA-SEC$5,500
SUNAMERICA SECURITIES, INC.American International Groupfinancial servicesinvestor protection violation2006VA-SEC$10,000
SHOCKHOE BOTTOM ENTERPRISES investor protection violation2006VA-SEC$8,500
TRANSCOMMUNITY FINANCIAL CORP. investor protection violation2006VA-SEC$58,900
The Spaghetti Shop of Mid-America, Inc. investor protection violation2006VA-SEC$38,000
Merrill Lynch, Pierce, Fenner & Smith, IncorporatedBank of Americafinancial servicesinvestor protection violation2006VA-SEC$75,000
Merrill Lynch, Pierce, Fenner & Smith, IncorporatedBank of Americafinancial servicesinvestor protection violation2006VA-SEC$33,000
CLARKE ENERGY GROUP INC. investor protection violation2006VA-SEC$116,000
CAC Capital Corporation investor protection violation2006VA-SEC$15,000
DAILY GRIND OF WINCHESTER investor protection violation2006VA-SEC$7,000
DIGITAL BROADCAST CORPORATION investor protection violation2006VA-SEC$6,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.