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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
Earth Energy Exploration, Inc. investor protection violation2012CO-SEC$414,719
DH Products, LLC investor protection violation2012CO-SEC$48,250
Fairfield Energy, Inc. and D.B. Wheeler, LLC and Amazon Exploration, LLC investor protection violation2012CO-SEC$975,000
James Investment Advisers, LLC investor protection violation2012CO-SEC$609,000
Wealth by Design, Inc. and Clinton D. Fraley Living Trust investor protection violation2012CO-SEC$365,252
Jelco Ventures, Inc. investor protection violation2012CO-SEC$400,000
AllianceBernstein L.P.Equitable Holdingsfinancial servicesinvestor protection violation2013CO-SEC$20,232
Wilson Advisory Group investor protection violation2013CO-SEC$56,000
Sandlapper Securities, LLC investor protection violation2013CO-SEC$10,000
New Body MD, LLC investor protection violation2014CO-SEC$75,000
Leland Energy, Inc. investor protection violation2014CO-SEC$700,000
Service Team, Inc. investor protection violation2014CO-SEC$25,000
Hulen Holdings, Inc. investor protection violation2014CO-SEC$36,650
Talking Water, LLC et al. investor protection violation2014CO-SEC$25,000
Preferred Spectrum Investments, LLC et al. investor protection violation2016CO-SEC$25,000
Choice Investment Management, LLC investor protection violation2016CO-SEC$10,000
Rio National Insurance Services, Inc. investor protection violation2016CO-SEC$790,719
Wall Street Radio, Inc. dba Winning on Wall Street investor protection violation2016CO-SEC$80,000
Lion Equity Investment Advisors investor protection violation2017CO-SEC$300,000
Walton Financial, LLC investor protection violation2017CO-SEC$150,000
Accelerated Wealth, LLC investor protection violation2017CO-SEC$50,000
Accelerated Wealth, LLC investor protection violation2017CO-SEC$50,000
High Trust Financial and Consulting, Inc. investor protection violation2017CO-SEC$150,000
SkiHawk Capital Partners, LLC and SkiHawk Financial, Inc. investor protection violation2017CO-SEC$50,000
GRAnderson Wealth Management Group Inc. investor protection violation2017CO-SEC$35,000
Conestoga Trust investor protection violation2017CO-SEC$40,000
Financial Network Specialists, LLC investor protection violation2018CO-SEC$36,500
Maxwell Wealth Planning, Inc. investor protection violation2018CO-SEC$170,000
Tropical Racing, Inc. investor protection violation2019CO-SEC$6,049
Annett & Associates investor protection violation2020CO-SEC$7,000
Physicians Development Group, LLC and Physicians Senior Care Fund, LLC investor protection violation2020CO-SEC$50,000
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020CO-SEC$69,338
First Command Brokerage Services, Inc. investor protection violation2022CO-SEC$63,232
J.A.G. Capital, LLC investor protection violation2023CO-SEC$7,500
Parker Street Securities LLC investor protection violation2023CO-SEC$5,300
AJS Holdings, LLC tax violations2019CO-DENVERDA$125,000
Dynamic Growth Partners LLC tax violations2019CO-DENVERDA$125,000
Deutsche Bank SecuritiesDeutsche Bankfinancial servicesaccounting fraud or deficiencies2014CFTC$3,000,000
JPMorgan Chase BankJPMorgan Chasefinancial servicesaccounting fraud or deficiencies2012CFTC$20,000,000
International Monetary Metals, Inc. investor protection violation2016CFTC$9,800,000
My Global Leverage, LLC investor protection violation2016CFTC$1,465,528
Advanced Trading Workshop, Inc. investor protection violation2016CFTC$940,000
Angus Partners LLC investor protection violation2016CFTC$250,000
The Yorkshire Group, Inc. investor protection violation2016CFTC$1,569,801
IB Capital FX, LLC investor protection violation2016CFTC$35,420,000
Williams Advisory Group, LLC investor protection violation2018CFTC$19,450,034
Maverick International, Inc. investor protection violation2018CFTC$8,605,274
Madigan Enterprises, Inc. et al. investor protection violation2018CFTC$3,589,913
R.J. O'Brien & Associates LLC investor protection violation2018CFTC$600,000
Intrade The Prediction Market Limited (Intrade) and Trade Exchange Network Limited investor protection violation2018CFTC$3,000,000
Tallinex investor protection violation2018CFTC$10,971,279
Lansing Trade Group, LLCAndersons Inc.wholesalersinvestor protection violation2018CFTC$3,400,000
TradeMasters USA, LLC investor protection violation2018CFTC$674,504
All City Investments, LLC investor protection violation2018CFTC$670,912
X-Change Financial Access LLC investor protection violation2018CFTC$150,000
Cifuentes Fund Management, LLC investor protection violation2018CFTC$2,227,120
Algointeractive Inc investor protection violation2018CFTC$962,200
Commerzbank AGCommerzbankfinancial servicesinvestor protection violation2018CFTC$12,000,000
Gelfman Blueprint, Inc. investor protection violation2018CFTC$2,408,734
Bank of Nova ScotiaScotiabankfinancial servicesinvestor protection violation2018CFTC$800,000
Kooima & Kaemingk Commodities, Inc. investor protection violation2018CFTC$13,170,857
Mizuho Bank, Ltd.Mizuho Financialfinancial servicesinvestor protection violation2018CFTC$250,000
Geneva Trading USA, LLC investor protection violation2018CFTC$1,500,000
Victory Asset investor protection violation2018CFTC$1,800,000
Global Asset Advisors LLC d/b/a Daniels Trading investor protection violation2018CFTC$300,000
Apuro Holdings Ltd et al. investor protection violation2019CFTC$2,243,344
Eagle Market Makers, Inc. investor protection violation2019CFTC$350,000
Elephas Investment Management Ltd. investor protection violation2019CFTC$160,000
Korea Exchange, Inc. investor protection violation2019CFTC$150,000
Lucrative Pips Corporation investor protection violation2019CFTC$2,694,799
Merrill Lynch Commodities, Inc.Bank of Americafinancial servicesinvestor protection violation2019CFTC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $24,900,000
The Kane Capital Investment Group, LLC investor protection violation2019CFTC$1,232,510
Zilmil, Inc. investor protection violation2019CFTC$22,854,289
Wells Fargo Bank, N.A.Wells Fargofinancial servicesinvestor protection violation2019CFTC$14,475,000
Mitsubishi Corporation RtM Japan Ltd.Mitsubishi Corporationdiversifiedinvestor protection violation2019CFTC$500,000
Tower Research Capital LLC investor protection violation2019CFTC$67,493,849
Silver Star FX, LLC et al. investor protection violation2019CFTC$75,000
Blue Bit Banc et al. investor protection violation2019CFTC$3,346,405
XBT Corp. SARL d/b/a First Global Credit investor protection violation2019CFTC$100,000
Allied Markets, LLC investor protection violation2019CFTC$2,400,000
Omega Knight 2, LLC investor protection violation2019CFTC$15,257,028
Upstream Energy Services LLC investor protection violation2019CFTC$75,000
Treasury Vault, LLC investor protection violation2019CFTC$75,000
Fabio Bretas de Freitas and Phy Capital Investments LLC investor protection violation2019CFTC$22,986,190
BGC Financial, LPBGC Partnersfinancial servicesinvestor protection violation2019CFTC$15,000,000
GFI Securities, LLCBGC Partnersfinancial servicesinvestor protection violation2019CFTC$10,000,000
Mitsubishi International CorporationMitsubishi Corporationdiversifiedinvestor protection violation2019CFTC$400,000
Belvedere Trading LLC investor protection violation2019CFTC$1,100,000
Morgan Stanley Capital Group Inc.Morgan Stanleyfinancial servicesinvestor protection violation2019CFTC$1,500,000
PNC Bank, National AssociationPNC Financial Servicesfinancial servicesinvestor protection violation2019CFTC$300,000
Bank of New York MellonBank of New York Mellonfinancial servicesinvestor protection violation2019CFTC$750,000
NatWest Markets PlcNatWest Group PLCfinancial servicesinvestor protection violation2019CFTC$850,000
Northern Trust CompanyNorthern Trustfinancial servicesinvestor protection violation2019CFTC$1,000,000
HSBC Bank USA, N.A.HSBCfinancial servicesinvestor protection violation2019CFTC$650,000
CHS, Inc.CHS Inc.agribusinessinvestor protection violation2019CFTC$500,000
Intergrain S.A. investor protection violation2019CFTC$175,000
Hard Eight Futures, LLC investor protection violation2019CFTC$1,750,000
ARMKAT LLC investor protection violation2019CFTC$140,000
Heraeus Metals New York LLCHeraeusdiversifiedinvestor protection violation2019CFTC$130,000
Dinar Corp., Inc. and My Monex, Inc. investor protection violation2020CFTC$22,600,000
Mirae Asset Daewoo Co., Ltd. investor protection violation2020CFTC$700,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.