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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
DIGITAL BROADCAST CORPORATION investor protection violation2006VA-SEC$6,000
COMTEL, INC. investor protection violation2007VA-SEC$10,000
UBS FINANCIAL SERVICES, INC.UBSfinancial servicesinvestor protection violation2007VA-SEC$100,000
CORNERSTONE MINISTRIES investor protection violation2007VA-SEC$5,000
COMMONWEALTH CHURCH FINANCE INC. investor protection violation2007VA-SEC$78,000
REBEL HOLIDAY investor protection violation2007VA-SEC$110,000
FASHION TECHNOLOGY VENTURES investor protection violation2007VA-SEC$125,000
CHILDREN OF AMERICA, INC. investor protection violation2007VA-SEC$6,000
REGAL NAILS, LLC investor protection violation2007VA-SEC$21,000
FIRST GEORGETOWN SECURITIES INC. investor protection violation2007VA-SEC$22,500
THEODORE J. HOGAN & ASSOCIATES investor protection violation2007VA-SEC$53,117
TROPICAL SMOOTHIE ET AL. investor protection violation2008VA-SEC$26,000
C & D MANAGEMENT COMPANY investor protection violation2008VA-SEC$15,000
McKean County 3 Well, LLP, investor protection violation2008VA-SEC$10,000
L-O-T Development Wells, LLP investor protection violation2008VA-SEC$20,000
enTerra Seven, LLP investor protection violation2008VA-SEC$20,000
KAT-5-2, LLP investor protection violation2008VA-SEC$20,000
KAT-5, LLP investor protection violation2008VA-SEC$30,000
Great Oklahoma Oil Deal, LLP investor protection violation2008VA-SEC$50,000
Pennsylvania 3 Well Development, LLP investor protection violation2008VA-SEC$105,000
ENTERRA ENERGY, LLC investor protection violation2008VA-SEC$255,000
SAXBY'S COFFEE, INC. investor protection violation2008VA-SEC$14,000
BEYOND JUICE, INC. investor protection violation2008VA-SEC$150,000
H. BECK, INC. investor protection violation2008VA-SEC$60,000
AMERIPRISE FINANCIAL SERVICESAmeriprise Financialfinancial servicesinvestor protection violation2008VA-SEC$780,000
FIRM GRIP BUSINESS MANAGEMENT investor protection violation2008VA-SEC$70,000
DA-VI NAILS INTERNATIONAL investor protection violation2008VA-SEC$9,250
GREYSTONE CAPITAL investor protection violation2008VA-SEC$15,000
King Lombardi Acquisitions, Inc. d/b/a VR Business Brokers investor protection violation2008VA-SEC$10,000
CHANCELLORSVILLE FINANCING investor protection violation2008VA-SEC$140,000
DECKER EQUITIES, LP investor protection violation2008VA-SEC$205,000
CITIGROUP GLOBAL MARKETSCitigroupfinancial servicesinvestor protection violation2008VA-SEC$22,000
JTH TAX, INC. D/B/A LIBERTY TAX SERVICE investor protection violation2008VA-SEC$10,000
FROOTS FRANCHISING COMPANIES investor protection violation2009VA-SEC$6,000
EnStyle Wedding Designs International, LLC investor protection violation2009VA-SEC$50,000
EASTCORP BUSINESS SERVICES investor protection violation2009VA-SEC$17,500
GRISWOLD SPECIAL CARE, INC. investor protection violation2009VA-SEC$15,000
NETTALON SECURITY SYSTEMS INC investor protection violation2009VA-SEC$7,200
ESS ENVIRONMENTAL, INC. investor protection violation2009VA-SEC$110,000
TENGFEI, INC. investor protection violation2009VA-SEC$33,000
INVESTOLOGY, INC. investor protection violation2009VA-SEC$7,000
Wealth Matters, Inc. investor protection violation2009VA-SEC$5,000
Phoenix Technologies LLC investor protection violation2009VA-SEC$30,000
SPA' LADI-DA FRANCHISE, INC. investor protection violation2009VA-SEC$72,928
Technology Communication Management, LLC investor protection violation2009VA-SEC$640,000
TEXAS BAR-B-Q FACTORY, ET AL. investor protection violation2009VA-SEC$8,300
Benefit Contract Administrators, Inc. et al. investor protection violation2009VA-SEC$11,347,906
LOG CABIN BBQ, LLC investor protection violation2010VA-SEC$59,216
THE SENIOR'S CHOICE INC. investor protection violation2010VA-SEC$17,500
SEDONA OIL & GAS CORPORATION investor protection violation2010VA-SEC$7,000
CAPITOL SECURITIES MANAGEMENT investor protection violation2010VA-SEC$15,000
LIFE PARTNERS, INC. investor protection violation2010VA-SEC$170,000
DREAM DINNERS, INC. investor protection violation2010VA-SEC$5,400
DOUGLAS AQUATICS, INC. investor protection violation2010VA-SEC$17,300
THE GLOVE LADY, LLC investor protection violation2010VA-SEC$54,472
PLAY N TRADE FRANCHISE, INC. investor protection violation2010VA-SEC$15,000
Skin Appeal Day Spa, Inc. investor protection violation2010VA-SEC$244,100
GREAT AMERICAN ADVISORS, INC. investor protection violation2010VA-SEC$20,000
Cellairis Franchise, Inc. investor protection violation2010VA-SEC$20,000
UBS FINANCIAL SERVICES, INC.UBSfinancial servicesinvestor protection violation2010VA-SEC$625,000
SCOTT & STRINGFELLOW LLC investor protection violation2011VA-SEC$25,000
SUMMIT WEALTH MANAGEMENT, LLC investor protection violation2011VA-SEC$9,350
FETCH! PET CARE INC. investor protection violation2011VA-SEC$7,700
Stratus Franchising, LLC investor protection violation2011VA-SEC$20,000
VERITRAX CORPORATION investor protection violation2011VA-SEC$1,550,000
THE BUFFALO EXTENSION LLP investor protection violation2011VA-SEC$15,000
TECSEC, INC. investor protection violation2011VA-SEC$5,000
NAI BLUESTONE REAL ESTATE investor protection violation2011VA-SEC$17,000
VALIANT HEALTH CARE, INC. investor protection violation2012VA-SEC$92,528
WINDOW WORLD, INC. investor protection violation2012VA-SEC$8,000
The New Dimension Group, LLC investor protection violation2012VA-SEC$11,000
TRIUNE, LLC investor protection violation2012VA-SEC$30,000
ATLANTIC SUN CONTROL, INC. investor protection violation2013VA-SEC$20,000
EWC FRANCHISE, LLC investor protection violation2013VA-SEC$13,000
TENGFEI, INC. investor protection violation2013VA-SEC$32,000
BRAZELTON LOAN PARTNERS investor protection violation2013VA-SEC$22,168
AAMCO TRANSMISSIONS, INC.Icahn Enterprisesdiversifiedinvestor protection violation2013VA-SEC$10,000
CHANELLO'S INTERNATIONAL, INC. investor protection violation2013VA-SEC$12,500
CAPITAL BUSINESS CONSULTANTS LLC investor protection violation2013VA-SEC$9,000
ALL ABOUT HONEYMOONS FRANCHISE investor protection violation2013VA-SEC$12,000
BROOKLYN WATER BAGEL FRANCHISE investor protection violation2013VA-SEC$6,000
HERITAGE FINANCIAL SYSTEMS, & investor protection violation2013VA-SEC$53,335
ALEXANDER PERRY CORPORATION investor protection violation2013VA-SEC$62,000
ANY TEST FRANCHISING, INC. investor protection violation2013VA-SEC$35,000
FOODNET FRANCHISING, INC. & investor protection violation2013VA-SEC$12,500
FINTEGRA, LLC investor protection violation2014VA-SEC$120,000
MULLINS INVESTMENT SERVICES investor protection violation2014VA-SEC$6,000
BIO-FUEL DEVELOPMENT COMPANY investor protection violation2014VA-SEC$9,300
INDEPENDENT FINANCIAL GROUP, LLC investor protection violation2014VA-SEC$35,000
PACIFIC WEST SECURITIES, INC. investor protection violation2014VA-SEC$50,000
URBAN BAR-B-QUE COMPANY investor protection violation2014VA-SEC$5,000
MIDATLANTIC IRA, LLC investor protection violation2014VA-SEC$7,500
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2014VA-SEC$9,500
MR. OIL SAVER, LLC investor protection violation2014VA-SEC$23,000
Manhattan Pizza Company, LLC and Luv'nberry investor protection violation2014VA-SEC$15,000
J.W. KORTH & COMPANY, LP investor protection violation2015VA-SEC$10,000
C & C Franchising, Inc. d/b/a Jani-King of Hampton Roads investor protection violation2015VA-SEC$29,000
ELITE SPORTS ENTERPRISES, INC. investor protection violation2015VA-SEC$22,000
TMA Franchise Systems, Inc. d/b/a The Mosquito Authority investor protection violation2015VA-SEC$22,500
Sherri's Fun Foods, Inc. d/b/a Sherri's Crab Cakes investor protection violation2015VA-SEC$5,000
BLUE LIGHTNING ENTERPRISES INC. investor protection violation2015VA-SEC$5,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.