Warning: Undefined array key 1 in /usr/home/goodjobsfirst/public_html/violationtrackerlive/function.php on line 727
Basic Search  |  Summaries  |  Advanced Search

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearAgency sort iconPenalty Amount
MDK Financial Group Inc. investor protection violation2006TX-SEC$10,000
Linsco/Private Ledger Corp. investor protection violation2006TX-SEC$10,000
Lehman Brothers Inc. investor protection violation2006TX-SEC$15,000
Southwest Texas Capital L.L.C. investor protection violation2006TX-SEC$5,000
Sundial Capital Management L.P. investor protection violation2006TX-SEC$5,000
Ameritrade Inc.Charles Schwab Corp.financial servicesinvestor protection violation2007TX-SEC$200,000
Miller Equity Capital Advisors investor protection violation2007TX-SEC$6,000
Butler Freeman Tally Financial Group LLC investor protection violation2007TX-SEC$20,000
Titan Wealth Management LLC investor protection violation2007TX-SEC$9,000
Windward Partners LLC investor protection violation2007TX-SEC$10,000
First Western Securities Inc. investor protection violation2007TX-SEC$8,000
Legacy Harbor investor protection violation2007TX-SEC$9,000
M&W Financial Inc. investor protection violation2007TX-SEC$65,000
Gamboa Capital Management Inc. investor protection violation2007TX-SEC$5,000
International Wealth Management Inc. investor protection violation2008TX-SEC$5,000
A.G. Edwards & Sons Inc.Wells Fargofinancial servicesinvestor protection violation2008TX-SEC$5,000
Select Asset Management LLC investor protection violation2008TX-SEC$7,500
EDI Financial Inc. investor protection violation2008TX-SEC$17,500
SWS Financial Services Inc. investor protection violation2008TX-SEC$35,000
Cruden Bay Capital Partners GP, LP investor protection violation2008TX-SEC$22,500
IMS Securities Inc. investor protection violation2008TX-SEC$10,000
SMH Capital Inc. investor protection violation2008TX-SEC$30,000
LPL Financial CorporationLPL Financialfinancial servicesinvestor protection violation2008TX-SEC$5,000
Abshier Webb Donnelly & Baker Inc. investor protection violation2009TX-SEC$25,000
Securian Financial Services Inc.Securian Financialfinancial servicesinvestor protection violation2009TX-SEC$50,000
Dorothy of OZ LLC dba Box Office Productions III, LLC investor protection violation2009TX-SEC$5,000
Calandro Advisory Services Inc. investor protection violation2009TX-SEC$10,000
Milkie/Ferguson Investments Inc. investor protection violation2009TX-SEC$25,000
Mariner Investment Group investor protection violation2009TX-SEC$12,000
Investors Capital Corp. investor protection violation2009TX-SEC$10,000
Caprock Securities Inc. investor protection violation2009TX-SEC$10,000
808 Investments LLC et al. investor protection violation2009TX-SEC$10,000
Navigant Advisors LLC investor protection violation2010TX-SEC$5,000
Halter Global Opportunity Fund Management LLC investor protection violation2010TX-SEC$12,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2010TX-SEC$6,640,432
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2010TX-SEC$130,000
Lincoln Financial Securities CorporationLincoln Nationalfinancial servicesinvestor protection violation2010TX-SEC$40,000
Sarker Investments LLC investor protection violation2010TX-SEC$5,000
H. Beck Inc. investor protection violation2010TX-SEC$9,500
BNY Mellon Capital Markets LLCBank of New York Mellonfinancial servicesinvestor protection violation2011TX-SEC$500,000
Chestnut Exploration Partners Inc. investor protection violation2012TX-SEC$50,000
IMS Securities Inc. investor protection violation2012TX-SEC$20,000
Warner Financial Group Inc. investor protection violation2013TX-SEC$5,000
TD Ameritrade Inc.Charles Schwab Corp.financial servicesinvestor protection violation2015TX-SEC$400,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2016TX-SEC$95,000
Financial Consulting Services investor protection violation2016TX-SEC$15,000
Scottrade Inc.Charles Schwab Corp.financial servicesinvestor protection violation2016TX-SEC$100,000
Mowery Capital Management LLC investor protection violation2016TX-SEC$42,930
Fuller Capital Management investor protection violation2016TX-SEC$5,000
The Investment Center Inc. investor protection violation2016TX-SEC$50,000
Valor Capital Asset Management LLC investor protection violation2016TX-SEC$48,000
Richards, Merrill & Peterson Inc. investor protection violation2016TX-SEC$30,000
Rubicon Investment Management & Analytics LLC investor protection violation2016TX-SEC$5,000
Charles Schwab & Co. Inc.Charles Schwab Corp.financial servicesinvestor protection violation2016TX-SEC$125,000
PTI Securities & Futures L.P. investor protection violation2017TX-SEC$5,000
Provident Capital Management Inc. investor protection violation2017TX-SEC$8,000
Sunlight Investments investor protection violation2018TX-SEC$15,000
Trade-PMR Inc. investor protection violation2018TX-SEC$25,000
Brazos Securities Inc. investor protection violation2018TX-SEC$20,000
Global Asset Management Group Inc. investor protection violation2019TX-SEC$7,500
Mintage Mining LLC et al. investor protection violation2019TX-SEC$25,000
Integrity RIA, LLC investor protection violation2019TX-SEC$12,500
LFS RIA, LLC investor protection violation2019TX-SEC$88,933
FRA Wealth Management LLC investor protection violation2019TX-SEC$20,000
Grove Capital Management Inc. investor protection violation2019TX-SEC$5,000
Lowell & Company Inc. investor protection violation2019TX-SEC$40,000
WFG Investments Inc. investor protection violation2015TX-SEC$175,000
Frugal Financial Retirement Planning Services, LLC investor protection violation2019TX-SEC$5,000
Woodland Resources LLC et al. investor protection violation2020TX-SEC$20,000
LendingClub CorporationLendingClub Corp.financial servicesinvestor protection violation2020TX-SEC$400,000
Lorintine Capital LP investor protection violation2020TX-SEC$10,000
Challenger Wealth Management investor protection violation2020TX-SEC$5,000
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020TX-SEC$46,073
S.G. Long & Company investor protection violation2020TX-SEC$15,000
Ironwood Wealth Management, LLC investor protection violation2020TX-SEC$15,442
Independent Financial Group, LLC investor protection violation2021TX-SEC$75,000
Legacy Wealth Advisors, Inc. investor protection violation2021TX-SEC$15,000
Paul Winkler, Inc. investor protection violation2021TX-SEC$5,000
StartEngine Crowdfunding, Inc. investor protection violation2022TX-SEC$7,500
KP Financials, LLC investor protection violation2022TX-SEC$36,760
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2022TX-SEC$125,000
Penrod Financial Services, Inc. investor protection violation2023TX-SEC$6,500
Blue Owl Technology Income Corp. investor protection violation2024TX-SEC$102,000
Titan Securities investor protection violation2023TX-INS$20,000
Bison Investment Advisors LLC investor protection violation2023TX-INS$42,994
South Dakota Trust Company banking violation2020TX-FIN$95,625
Enron Corp. tax violations2005TX-AG$8,300,000
UBSUBSfinancial servicesbanking violation2023TX-AG$850,000
Terra Nova Trading LLC investor protection violation2000TN-SEC$7,500
Westminster Securities Corporation investor protection violation2000TN-SEC$10,000
Smith, Brown & Groover Inc. investor protection violation2000TN-SEC$11,000
Goldis Financial Group Inc. investor protection violation2001TN-SEC$10,000
Basin Oil and Gas Corporation investor protection violation2001TN-SEC$21,000
Quality Financial Concepts investor protection violation2003TN-SEC$5,800
MONY Securities Corporation investor protection violation2003TN-SEC$10,000
Cuso Equities Inc. investor protection violation2003TN-SEC$5,500
Continental Broker-Dealer Corp. investor protection violation2004TN-SEC$10,000
Upper Cumberland Media Group Inc. investor protection violation2004TN-SEC$11,200
Professional Asset Management Inc. investor protection violation2004TN-SEC$22,550
InvestIN Securities Inc. investor protection violation2004TN-SEC$6,094
Dixon Insurance Agency investor protection violation2005TN-SEC$9,268
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.