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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
BLUE LIGHTNING ENTERPRISES INC. investor protection violation2015VA-SEC$5,000
WELLS FARGO ADVISORSWells Fargofinancial servicesinvestor protection violation2015VA-SEC$205,000
HOCOA Franchising Co., LLC investor protection violation2015VA-SEC$12,000
G4i Capital Partners, Inc. investor protection violation2015VA-SEC$160,000
911 RESTORATION FRANCHISE, INC investor protection violation2015VA-SEC$7,000
NEXT FINANCIAL GROUP, INC.Atria Wealth Solutionsfinancial servicesinvestor protection violation2015VA-SEC$18,000
Goldberg Financial, LLC investor protection violation2015VA-SEC$12,000
GLOBAL RETAILERS, LLC investor protection violation2015VA-SEC$15,000
FULCRUM SECURITIES, LLC investor protection violation2016VA-SEC$91,954
CI FRANCHISE COMPANY, LLC investor protection violation2016VA-SEC$65,000
AMERIPRISE FINANCIAL SERVICES, INC.Ameriprise Financialfinancial servicesinvestor protection violation2016VA-SEC$14,000
CHRISTIAN WEALTH MANAGEMENT, LLC investor protection violation2016VA-SEC$60,000
Key West Yogurt International, Inc. investor protection violation2016VA-SEC$547,750
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2016VA-SEC$11,500
BFK FRANCHISE COMPANY, LLC investor protection violation2016VA-SEC$35,500
Bambu IP, LLC, Bambu Desserts & Drinks, Inc. investor protection violation2016VA-SEC$84,500
Vasilios Community Development Corporation investor protection violation2016VA-SEC$250,000
YOFRESH YOGURTS FRANCHISING, INC. investor protection violation2016VA-SEC$205,000
DIVERSIFIED REAL ESTATE HOLDING LLC investor protection violation2016VA-SEC$10,000
PRESTON WEALTH ADVISORS, LLC investor protection violation2016VA-SEC$10,000
SKRIMP SHACK, LLC investor protection violation2016VA-SEC$15,500
Pelican's Snoballs VA LLC investor protection violation2016VA-SEC$15,000
Megadance USA Corp investor protection violation2017VA-SEC$7,500
PAWS & REMEMBER LLC investor protection violation2017VA-SEC$5,000
AMAZING FINISH, LLC investor protection violation2017VA-SEC$5,000
EXPANSION INDUSTRIES, LLC investor protection violation2017VA-SEC$22,000
MAXIMIZED LIVING HEALTH CENTERS LLC investor protection violation2017VA-SEC$35,000
KLINE FRANCHISING, INC. investor protection violation2017VA-SEC$19,000
NEXT FINANCIAL GROUP, INC.Atria Wealth Solutionsfinancial servicesinvestor protection violation2017VA-SEC$60,000
Montessori School Franchising, LLC investor protection violation2017VA-SEC$15,000
BRIDGETOWN FRAGRANCES, INC. investor protection violation2017VA-SEC$5,000
Sugar Shack Donuts, LLC investor protection violation2017VA-SEC$8,000
CRITTER CONTROL INC.Rollins Inc.miscellaneous servicesinvestor protection violation2018VA-SEC$23,500
BLOOP FROZEN YOGURT, LLC investor protection violation2018VA-SEC$45,000
COMMUNICLIQUE, INC. investor protection violation2018VA-SEC$10,980,923
DAVI NAILS SALON AND SPA, LLC investor protection violation2018VA-SEC$21,000
LINCOLN FINANCIAL SECURITIESLincoln Nationalfinancial servicesinvestor protection violation2018VA-SEC$20,000
LARADA SCIENCES, INC. investor protection violation2018VA-SEC$15,500
37th Parallel Properties Investment Group, LLC investor protection violation2018VA-SEC$18,000
WINGS TO GO, INC. investor protection violation2018VA-SEC$7,500
BELLA BALLERINA FRANCHISING investor protection violation2018VA-SEC$6,500
RESULTS AUCTION, LLC investor protection violation2018VA-SEC$79,255
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2019VA-SEC$288,970
Lombard Advisers, Inc. investor protection violation2019VA-SEC$45,000
Downunder Horsemanship Franchising, LLC investor protection violation2019VA-SEC$6,000
Hartquist & Noblet, LLC investor protection violation2019VA-SEC$53,220
Moonlighting, Inc. investor protection violation2019VA-SEC$7,000
Biery, LLC d/b/a Madsen Donuts investor protection violation2019VA-SEC$27,000
Harvest Financial Group, LLC investor protection violation2019VA-SEC$7,500
World Trend Financial Planning Services, Ltd investor protection violation2019VA-SEC$40,000
SuperGlass Windshield Repair, Inc. investor protection violation2019VA-SEC$86,667
360 Tour Designs & Marketing, LLC investor protection violation2019VA-SEC$6,000
Iron Valley Real Estate, LLC investor protection violation2019VA-SEC$8,000
Clear Sky Financial, LLC investor protection violation2019VA-SEC$6,000
Dental Fix Rx, LLC investor protection violation2019VA-SEC$17,000
Slagel Investment Management investor protection violation2019VA-SEC$7,500
Lionsgate Investments, Incorporated investor protection violation2019VA-SEC$285,786
McLawhorn Financial Advisors, Inc. investor protection violation2019VA-SEC$13,000
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2019VA-SEC$10,000
WealthForge Securities, LLC and WealthForge Holdings, Inc. investor protection violation2020VA-SEC$50,000
Reye Partners Asset Management, LLC investor protection violation2020VA-SEC$6,000
HealthSource Chiropractic, Inc. investor protection violation2020VA-SEC$89,000
My Choice Hair, LLC investor protection violation2020VA-SEC$7,000
Capitol Securities Management, Inc. investor protection violation2020VA-SEC$100,000
SNC Capital Management Corporation d/b/a RCM Securities investor protection violation2020VA-SEC$5,000
Best Western International, Inc. investor protection violation2020VA-SEC$13,000
Master Networks, LLC investor protection violation2020VA-SEC$8,000
Skrimp Shack LLC investor protection violation2020VA-SEC$25,000
Next Financial Group, Inc.Atria Wealth Solutionsfinancial servicesinvestor protection violation2020VA-SEC$5,000
Liberty Roe Capital LLC investor protection violation2020VA-SEC$8,000
Savannah Solar International, Inc. and Savannah Solar International, LLC investor protection violation2021VA-SEC$61,611
Strategic Wealth Partners, LLC investor protection violation2021VA-SEC$20,000
Cornerstone Asset Management, Inc. investor protection violation2020VA-SEC$19,500
Securities America, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2021VA-SEC$25,000
BDT & Associates, Inc. investor protection violation2021VA-SEC$11,000
First Command Advisory Services, Inc. investor protection violation2021VA-SEC$20,500
F.C. Franchising Systems, Inc. d/b/a Fresh Coat investor protection violation2021VA-SEC$8,000
360 Painting, LLC investor protection violation2021VA-SEC$11,000
U.S. Data Mining Group, Inc. investor protection violation2021VA-SEC$6,000
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2021VA-SEC$10,000
Aptus Financial, LLC investor protection violation2022VA-SEC$6,000
Eagle Strategies LLC investor protection violation2022VA-SEC$7,000
R2 Advisors, P.C. and M2 Advisors, Inc. investor protection violation2022VA-SEC$5,000
Independent Financial Planning, LLC investor protection violation2022VA-SEC$19,500
Permanens Capital L.P. investor protection violation2022VA-SEC$8,000
Onpoint Financial Management, LLC fka Onpoint Financial Retirement, LLC investor protection violation2022VA-SEC$5,000
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2023VA-SEC$11,000
Overtime Franchise LLC investor protection violation2023VA-SEC$17,400
SyndiCap Investment and Securities Management, LLC et al. investor protection violation2023VA-SEC$60,000
Rede Wealth, LLC investor protection violation2023VA-SEC$35,000
Equitas Capital Advisors, LLC investor protection violation2023VA-SEC$5,000
Barclays Capital Inc.Barclaysfinancial servicestoxic securities abuses2016VA-AG$9,000,000
Citigroup Global Markets Inc.Citigroupfinancial servicestoxic securities abuses2016VA-AG$4,750,000
Countrywide Securities Corporation and Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicestoxic securities abuses2016VA-AG$19,500,000
Credit Suisse Securities (USA) LLCUBSfinancial servicestoxic securities abuses2016VA-AG$1,200,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicestoxic securities abuses2016VA-AG$5,621,897
Goldman, Sachs & Co.Goldman Sachsfinancial servicestoxic securities abuses2016VA-AG$2,900,000
HSBC Securities (USA) Inc.HSBCfinancial servicestoxic securities abuses2016VA-AG$2,500,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicestoxic securities abuses2016VA-AG$6,900,000
RBS Securities Inc.NatWest Group PLCfinancial servicestoxic securities abuses2016VA-AG$10,000,000
UBS Securities LLCUBSfinancial servicestoxic securities abuses2016VA-AG$850,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.