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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
Bank of MontrealBank of Montrealfinancial servicesinvestor protection violation2023CFTC$35,000,000
Bluprint LLC investor protection violation2023CFTC$8,863,753
Deridex, Inc. investor protection violation2023CFTC$100,000
Mirror Trading International Proprietary Limited investor protection violation2023CFTC$1,700,000,000
Opyn, Inc. investor protection violation2023CFTC$250,000
ZeroEx, Inc. investor protection violation2023CFTC$200,000
BareIt Media LLC investor protection violation2023CFTC$100,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2023CFTC$5,500,000
JPMorgan Chase Bank, N.A.JPMorgan Chasefinancial servicesinvestor protection violation2023CFTC$15,000,000
LYFE, S.A. anti-money-laundering deficiencies2023CFTC$212,014
Highland Quantitative Driven Investments LLC investor protection violation2023CFTC$476,206
Binance Holdings Limited et al.Binance Holdingsfinancial servicesinvestor protection violation2023CFTC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,700,000,000
Tyche Asset Management LLC et al. investor protection violation2023CFTC$21,308,692
Tradewale LLC and Tradewale Managed Fund investor protection violation2023CFTC$2,853,810
Oasis International Group et al. investor protection violation2023CFTC$53,270,336
Justby International Auctions investor protection violation2023CFTC$5,352,843
Highrise Advantage, LLC. investor protection violation2023CFTC$102,234,376
Freepoint Commodities LLC investor protection violation2023CFTC$91,000,000
Simply Gains, Inc.  investor protection violation2024CFTC$830,000
Nawabi Enterprise and Hyperion Consulting Inc. investor protection violation2024CFTC$9,000,000
Empires Consulting Corp. investor protection violation2024CFTC$64,356,794
Blue Moon Investments Inc. investor protection violation2024CFTC$204,622,580
Wilkay Corp. tax violations2002CA-LACDA$59,400
Green Screen Partners, LLC et al. investor protection violation2002CA-DFPI$18,592,430
The Social Equity Group, Inc. investor protection violation2004CA-DFPI$9,000
Leedha, Inc. dba Flintridge Asset Management Co. investor protection violation2005CA-DFPI$55,056
Shemano Capital Management investor protection violation2005CA-DFPI$54,250
First Command Financial Planning, Inc. investor protection violation2005CA-DFPI$470,959
Whitcraft Capital Management, Inc. investor protection violation2006CA-DFPI$45,000
National Investment Consultants, Inc. and Pacific Best Group Ltd. investor protection violation2006CA-DFPI$2,021,500
Capstone Investments investor protection violation2006CA-DFPI$50,000
Graybar Electric Company, Inc.Graybar Electricwholesalersinvestor protection violation2006CA-DFPI$45,000
Benchmark Financial Services, Inc. investor protection violation2007CA-DFPI$100,000
TransCoastal Partners, LLC investor protection violation2007CA-DFPI$25,000
Senior Benefit Advisors, Inc. investor protection violation2008CA-DFPI$15,000
Monterey Bay Securities, Inc. investor protection violation2008CA-DFPI$300,231
Diamond S Oil, Inc., Masada Petroleum LLC investor protection violation2008CA-DFPI$25,000
Cogar Financial Services, Inc. investor protection violation2008CA-DFPI$1,000,000
Blueray Technologies L.L.C. and Blue Ray Technologies, Inc. investor protection violation2008CA-DFPI$50,000
Super Absorbent Co., Synchronized Funding, LLC investor protection violation2010CA-DFPI$42,650,000
Bridge Harbor Management, Inc. and Creative Insurance Concepts, Inc. investor protection violation2010CA-DFPI$11,780,076
Jorge Romero Investments, Inc. and Maximum Return Investments, Inc. investor protection violation2011CA-DFPI$2,840,868
Leland Energy, Inc. et al. investor protection violation2011CA-DFPI$1,417,477
Big Sky Motion Pictures, L.L.C. et al. investor protection violation2011CA-DFPI$185,000
Visionary Group Holdings, Inc. investor protection violation2011CA-DFPI$1,285,750
Santa Rita Partners, Inc. investor protection violation2011CA-DFPI$33,846
Alpine Pictures, Inc. investor protection violation2011CA-DFPI$100,000
Dorothy of Oz, LLC dba Box Office Productions III, LLC investor protection violation2011CA-DFPI$150,000
Channel Investments et al. investor protection violation2011CA-DFPI$165,000
Technology Communication Management, L.L.C. et al. investor protection violation2012CA-DFPI$1,553,235
SmartWear Technologies, Inc. investor protection violation2012CA-DFPI$21,420,639
Applied Digital Technologies, Inc. investor protection violation2012CA-DFPI$8,000,000
Vericorp, Inc. investor protection violation2012CA-DFPI$8,200,000
Pursol Solar System, Inc. investor protection violation2012CA-DFPI$2,905,201
CanAm Capital Corp. et al. investor protection violation2012CA-DFPI$17,860,000
Alpha Capital Partners, LLC investor protection violation2012CA-DFPI$11,000
Walker Financial Advisors, Inc. investor protection violation2013CA-DFPI$27,600
Turan Petroleum, Inc. and NRG Resources, Inc. investor protection violation2013CA-DFPI$10,000
Hayes and Associates Accountancy Corp. investor protection violation2013CA-DFPI$10,000
Aztec Capital, LLC investor protection violation2013CA-DFPI$10,125
Lighthouse Real Estate Consulting, LLC et al. investor protection violation2013CA-DFPI$45,000
Artience Capital Management, LLC investor protection violation2013CA-DFPI$10,000
Rama Capital Partners, LLC investor protection violation2013CA-DFPI$35,000
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2013CA-DFPI$33,520
C.M.A.C International, Inc. investor protection violation2013CA-DFPI$195,993
Highland Capital Group, Inc. investor protection violation2013CA-DFPI$10,000
Pentultimate Associates, LLC and Family Values Financial Services investor protection violation2014CA-DFPI$37,000
Gunderson Capital Management, Inc. investor protection violation2014CA-DFPI$65,000
Protege Financial & Insurance Service, Inc. et al. investor protection violation2014CA-DFPI$38,200,000
Darel Baer Investment Advisory LLC investor protection violation2014CA-DFPI$13,500
Stirling Capital Management investor protection violation2014CA-DFPI$6,500
TAK Consulting LLC investor protection violation2014CA-DFPI$37,905
Synergy Oil, LLC investor protection violation2014CA-DFPI$20,400,047
CCM Management Group, LLC investor protection violation2014CA-DFPI$10,500
Simpson Capital Management, Inc. investor protection violation2014CA-DFPI$5,000
The Social Equity Group, Inc. investor protection violation2014CA-DFPI$35,000
Milestone Financial, LLC and Bear Bruin Ventures, Inc. investor protection violation2014CA-DFPI$127,000
Berry Resources, Inc. et al. investor protection violation2014CA-DFPI$26,700
CWS Capital Partners, LLC investor protection violation2015CA-DFPI$34,140
Ekholm Wealth Management investor protection violation2015CA-DFPI$23,260
WCM Global Wealth, LLC investor protection violation2015CA-DFPI$5,000
Global Victory Capital Investment Group and Phase 7 Media Group, Inc. investor protection violation2015CA-DFPI$23,000
LendingClub Corp.LendingClub Corp.financial servicesinvestor protection violation2015CA-DFPI$46,000
Renaissance Management, LLC et al. investor protection violation2016CA-DFPI$20,275,000
Bird Rock Management, LLC et al. investor protection violation2016CA-DFPI$45,000
Bellingham Investment Management investor protection violation2016CA-DFPI$64,120
Beryl Capital Management, LLC investor protection violation2016CA-DFPI$45,000
Rama Capital Partners, LLC investor protection violation2016CA-DFPI$10,000
Catamount Strategic Advisors, LLC investor protection violation2017CA-DFPI$88,511
Macian Wealth Management, LLC investor protection violation2017CA-DFPI$34,236
Jalapenos Leadership Industries, LLC investor protection violation2017CA-DFPI$58,500
D. Stephens Management and Consulting L.L.C. investor protection violation2017CA-DFPI$6,000
Alii Consulting investor protection violation2017CA-DFPI$15,000
RG Capital Management, LLC investor protection violation2017CA-DFPI$30,000
Defensive Portfolio Management Corp. investor protection violation2017CA-DFPI$10,000
Harbor Island Wealth Management investor protection violation2017CA-DFPI$5,000
Candide Group, LLC investor protection violation2017CA-DFPI$15,000
TechnoVision Management, LLC investor protection violation2017CA-DFPI$50,000
Continuum Financial Partners, LLC investor protection violation2017CA-DFPI$5,000
JMR Capital Management, Inc. investor protection violation2018CA-DFPI$20,000
Buttonwood Tree Management, LLC investor protection violation2018CA-DFPI$50,223
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.