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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
Corporate Architects, Inc. investor protection violation2004AZ-CC$20,925
B.B. Financial Services Group, Inc. investor protection violation2004AZ-CC$174,050
Dreos Financial Services investor protection violation2004AZ-CC$22,425
International Global Positioning, Inc. investor protection violation2004AZ-CC$615,951
Johnson Estate Planning Service, Inc. investor protection violation2004AZ-CC$176,500
Integrowth Financial Group investor protection violation2004AZ-CC$2,016,524
Unity Financial, LLC investor protection violation2004AZ-CC$1,642,564
Intersecurities, Inc. investor protection violation2004AZ-CC$50,000
HCH Enterprises, L.L.C. investor protection violation2004AZ-CC$371,000
Fountain Capital Management, LLC investor protection violation2005AZ-CC$47,833
Solution, Sources, and Consulting, LLC and Energy Savings Solution, Inc. investor protection violation2005AZ-CC$1,229,186
Retirement Planning Center investor protection violation2005AZ-CC$167,944
Pristine Property & Investments, Inc. investor protection violation2005AZ-CC$107,704
Southwest Capital Advisors LLC investor protection violation2005AZ-CC$264,558
Check and Send, Inc. investor protection violation2005AZ-CC$807,484
M.A.C Investments, Inc. et al. investor protection violation2005AZ-CC$9,566,872
Universal FX Incorporated investor protection violation2005AZ-CC$5,000
Worldwide Forex, Inc. investor protection violation2005AZ-CC$5,000
Omni Horizon Group, LLP investor protection violation2005AZ-CC$661,676
Centenarios Gold, Inc. investor protection violation2005AZ-CC$5,000
Listo, Inc. investor protection violation2005AZ-CC$906,875
Brixon Group Ltd. investor protection violation2005AZ-CC$8,786,445
WSK Energy, L.L.C. investor protection violation2006AZ-CC$5,000
Opulent Properties LLC et al. investor protection violation2006AZ-CC$600,000
Eagle Communications, Inc. and Eagle One Financial & Tax, LLC investor protection violation2006AZ-CC$895,000
Southwest Trust & Financial investor protection violation2006AZ-CC$425,000
National Estate Planning Service and Planning and Senior Advisory Services investor protection violation2006AZ-CC$635,000
Cornerstone Senior Planning investor protection violation2006AZ-CC$545,000
Estate Planning Protection, Inc. investor protection violation2006AZ-CC$1,145,000
Butterworth Advisory Services and Senior Advisory Services investor protection violation2006AZ-CC$285,000
Precision Model & Design, Inc. et al. investor protection violation2006AZ-CC$818,000
Parklane International Corp. investor protection violation2006AZ-CC$20,000
Easy Street Financial Group, Inc. investor protection violation2006AZ-CC$8,535,467
Mid America Energy, Inc. et al. investor protection violation2007AZ-CC$300,000
Warren Exploration, LLC investor protection violation2007AZ-CC$122,000
Meta Funding, LLC investor protection violation2007AZ-CC$1,299,900
Hardy Asset Management investor protection violation2007AZ-CC$732,076
Sneva Alliance investor protection violation2007AZ-CC$115,282
ACI Holdings, Inc. investor protection violation2007AZ-CC$999,763
American Elder Group, L.L.C. and American Elder Group, Inc. investor protection violation2007AZ-CC$1,245,403
Estate Protection Consultants, L.L.C. investor protection violation2007AZ-CC$226,891
Agra Technologies, Inc. investor protection violation2007AZ-CC$10,417,532
RYM Technology Holdings, L.L.C. investor protection violation2007AZ-CC$25,000
Diamond Bay Investments, Inc. investor protection violation2008AZ-CC$25,000
Kelly's Mobile Home Sales, Inc. investor protection violation2008AZ-CC$4,592,939
CAG Financial, L.L.C and CAG Financial Services, L.L.C and Leigh & Associates, L.L.C. investor protection violation2008AZ-CC$566,573
G'ieber Financial, LLC investor protection violation2008AZ-CC$1,609,650
Panama Capital Funding, L.L.C. investor protection violation2008AZ-CC$5,000
Bella Funding, L.L.C. investor protection violation2008AZ-CC$10,000
Kuypow, Inc. dba Mo's Properties and Investment Group investor protection violation2008AZ-CC$819,290
Pacific Coast Holding Co. and Hall of Fame Partners, LLC investor protection violation2008AZ-CC$650,000
MNI Properties, L.L.C. and Mortgage Notes, Inc. investor protection violation2008AZ-CC$5,867,967
CAG Capital, Inc. dba Glendale Car Connection investor protection violation2008AZ-CC$1,024,406
Property Quest D.J.E., Inc. investor protection violation2008AZ-CC$5,210,399
Reserve Oil & Gas, Inc. investor protection violation2008AZ-CC$20,000
Severns Properties, LLC and Severns Capital, LLC investor protection violation2008AZ-CC$3,631,115
Motors de Amigos, Inc. and Rock'N R Car Company Enterprises, Inc. investor protection violation2008AZ-CC$315,150
Nakami Chi Group Ministries International investor protection violation2008AZ-CC$11,294,912
Marine 3 investor protection violation2009AZ-CC$75,000
BSK Enterprises, LLC investor protection violation2009AZ-CC$2,539,225
Cosas Management Group, L.L.C. investor protection violation2009AZ-CC$1,405,366
Southern Homes, L.L.C. investor protection violation2009AZ-CC$1,327,500
Highline Estates, LLC et al. investor protection violation2009AZ-CC$676,570
Trademark Capital Management, LLC and Blue Investments, LLC investor protection violation2009AZ-CC$3,100,880
Wealth Enhancement & Preservation, LLC investor protection violation2009AZ-CC$145,006
Knuckleball Capital Management, LLC investor protection violation2009AZ-CC$229,000
Whispering Winds Properties, L.L.C et al. investor protection violation2009AZ-CC$16,633,570
Wolfepack Transportation, Inc. aka Wolfpack Transportation, Inc. investor protection violation2009AZ-CC$448,043
The Greatest Only Divine Productions, L.L.C. investor protection violation2009AZ-CC$353,000
DJL & Associates, L.L.C. investor protection violation2009AZ-CC$67,849
The Kodiak Investment Group, L.L.C. investor protection violation2009AZ-CC$382,475
Oasis of Wealth, Inc. investor protection violation2009AZ-CC$53,315
Deluxe Designs International, LLC and Deluxe Live Productions investor protection violation2009AZ-CC$3,225,744
Team Heat, LLC investor protection violation2009AZ-CC$1,047,931
OLOF Enterprises, L.L.C. investor protection violation2009AZ-CC$1,242,612
Iron Horse Petroleum, Inc. investor protection violation2009AZ-CC$149,481
Sir Mortgage & Finance of Arizona, Inc. investor protection violation2010AZ-CC$90,000
Cash 2 U, LLC and Dos Ninas, LLC and Par 3 Management, LLC investor protection violation2010AZ-CC$3,143,755
Green Panel Corp. and Panelized Building Systems of Prescott, L.L.C. investor protection violation2010AZ-CC$1,203,800
Nato Enterprises, LLC investor protection violation2010AZ-CC$3,625,127
Financial American Corp. investor protection violation2010AZ-CC$2,536,692
Motion DNA, Inc. investor protection violation2010AZ-CC$650,712
Secure Resolutions, Inc. investor protection violation2010AZ-CC$3,685,653
Elysium Capital Group, L.L.C. investor protection violation2010AZ-CC$91,430
Elysium Capital Group, L.L.C. investor protection violation2010AZ-CC$74,100
Sports Dimensions, Inc. investor protection violation2010AZ-CC$5,000
Global Trading Partners, LLC investor protection violation2010AZ-CC$5,000
Grand Canyon Land Company L.L.C. et al. investor protection violation2010AZ-CC$753,655
La Bella Investments, LLC investor protection violation2010AZ-CC$5,000
MJG Enterprises, Inc. dba Mike's Lock Club investor protection violation2010AZ-CC$4,609,627
Adamas Investments, LLC investor protection violation2010AZ-CC$690,125
Progressive Energy Partners, L.L.C. et al. investor protection violation2010AZ-CC$312,721
Five Star Tree Service and Landscapes, LLC investor protection violation2010AZ-CC$243,691
Sellman Weis Mortgage & Investment Corp. investor protection violation2010AZ-CC$5,000
One Source Mortgage & Investments, Inc. and Strategic Equity Investments, LLC investor protection violation2010AZ-CC$6,274,453
Barron Thomas Scottsdale, L.L.C. et al. investor protection violation2010AZ-CC$10,051,294
CAA General Partnership investor protection violation2010AZ-CC$2,929,858
Norstreet Portfolio, LLC investor protection violation2010AZ-CC$1,452,599
B.Y.B. Entertainment, L.L.C. investor protection violation2010AZ-CC$104,524
Charlevoix Homes LLC investor protection violation2011AZ-CC$5,727,226
Five Star Capital Markets LLC investor protection violation2011AZ-CC$5,677,226
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.