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Violation Tracker Summary for Offense Group

Offense Group: financial offenses
Penalty Total since 2000: $287,662,850,737
Number of Penalty Records: 11,080
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$41,333,342,096156
UBS$27,713,994,893137
JPMorgan Chase$27,158,534,167124
Citigroup$19,750,393,935106
Deutsche Bank$15,638,617,27868
Goldman Sachs$13,128,062,84158
NatWest Group PLC$12,129,162,85723
Wells Fargo$10,735,730,989130
Morgan Stanley$9,905,512,956168
BNP Paribas$9,167,798,00012

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
Tate Ford Lincoln Mercury, Inc. dba Tate Auto Center accounting fraud or deficiencies2000AZ-AG$150,000
Jalisco Auto Sales tax violations2019AZ-AG$153,000
Anheuser-Busch, LLCAnheuser-Busch InBevbeveragestax violations2020ATTTB$5,000,000
Civitas Therapeutics tax violations2020ATTTB$516,636
Bottle Tree Beverage Company, LLC tax violations2020ATTTB$195,000
Idaho Bourbon Distillers, LLC tax violations2020ATTTB$10,000
Smoke Zone LLC tax violations2020ATTTB$25,000
Jacobs Tobacco Company tax violations2020ATTTB$114,174
Eagle Alcohol Company LLCAlto Ingredientsmiscellaneous energy products and systemstax violations2020ATTTB$7,500
Fabrizia Spirits, LLC tax violations2020ATTTB$75,000
Cooperstown Distillery, LLC tax violations2021ATTTB$32,500
Sara, Inc. tax violations2021ATTTB$20,000
Levecke Corporation tax violations2021ATTTB$28,578,944
RN Acquisition, LLC & City Beverage - Markham, LLC tax violations2021ATTTB$850,000
Stone Brewing Co., LLC tax violations2021ATTTB$1,804,430
Iowa Beverage Systems, Inc. tax violations2021ATTTB$325,000
Global Universal SRL tax violations2021ATTTB$130,000
Latitude 33 Brewing Company tax violations2021ATTTB$160,217
Alaska Commercial Company tax violations2021ATTTB$433,382
Smith & Wesson Sales CompanySmith & Wessonmiscellaneous manufacturingtax violations2021ATTTB$1,729,000
ND Cigars, Inc. tax violations2021ATTTB$115,000
Sun Liquor MFG, Inc. tax violations2021ATTTB$900,000
Fifth Generation, Inc. tax violations2022ATTTB$305,000
Doll Distributing LLC tax violations2022ATTTB$225,000
Decon Laboratories, Inc. tax violations2021ATTTB$3,200,000
Schmaltz Brewing Company LLC tax violations2021ATTTB$200,000
Mariposa Wine Company LLC D/B/A Mariposa Wine Company tax violations2021ATTTB$58,437
RYO Cigarettes of Nevada, Inc. DBA Smoke 4 Less tax violations2021ATTTB$140,000
RYO Cigarettes of Nevada Inc. DBA Double D's Tobacco Emporium tax violations2021ATTTB$210,000
Transchemical Incorporated tax violations2022ATTTB$15,000
Greenbrush Brewing Co. tax violations2022ATTTB$25,000
New Tobacco King tax violations2022ATTTB$40,000
Crescent Brewery LLC tax violations2022ATTTB$7,400
Dallas Distilleries Incorporated tax violations2022ATTTB$73,000
Newburyport Brewing Company tax violations2022ATTTB$83,070
Davos Brands LLC tax violations2022ATTTB$30,000
La Colombe Distilling, LLC tax violations2022ATTTB$61,510
Savage Arms, Inc. tax violations2022ATTTB$800,000
Midway Wholesalers, Inc. tax violations2022ATTTB$250,000
MOA Rifles, LLC tax violations2022ATTTB$100,000
Bayou Teche Brewing L.L.C. tax violations2022ATTTB$77,600
Abu Nawas Beverage Company LLC tax violations2022ATTTB$25,000
Excel Industries, Inc. tax violations2023ATTTB$44,527
Allied Wine Corp. tax violations2023ATTTB$55,000
Shacksbury Holdings Inc. tax violations2023ATTTB$68,631
Cutwater Spirits, LLC tax violations2023ATTTB$169,850
Signature Selections, LLC tax violations2023ATTTB$90,000
Park Street Imports, LLC tax violations2023ATTTB$350,000
Marosi Designs LLC tax violations2023ATTTB$37,500
Far East Ship Supply tax violations2023ATTTB$60,000
RWC Group LLC tax violations2023ATTTB$1,776,836
Seattle Cider Company, LLC tax violations2023ATTTB$12,000
Octopi Brewing, LLC tax violations2024ATTTB$47,043
William Grant & Sons, Inc.William Grant & Sons Ltd.beveragestax violations2024ATTTB$303,815
Realty Mortgage Corp. investor protection violation2007AR-SEC$12,500
WiFiMed Holdings Company, Inc. investor protection violation2008AR-SEC$10,000
Girosol of Kentucky, Corp. investor protection violation2008AR-SEC$5,000
Great Nation Investment Corp. investor protection violation2008AR-SEC$21,112
Boardwalk Mortgage Group, LLC investor protection violation2008AR-SEC$5,631
Southwestern Union Conference of Seventh-day Adventists investor protection violation2008AR-SEC$5,000
Key Financial Corp. investor protection violation2009AR-SEC$5,000
Gateway Mortgage Group, LLC investor protection violation2009AR-SEC$15,000
Allied Home Mortgage Capital Corp.Americus Mortgagefinancial servicesinvestor protection violation2009AR-SEC$10,000
Apple Tree Investments, Inc. investor protection violation2009AR-SEC$50,000
St. Bernard Financial Services, Inc. investor protection violation2010AR-SEC$6,500
Merrill Lynch & Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2010AR-SEC$15,000
Overland Mortgage Corp. investor protection violation2010AR-SEC$30,000
Nationwide Mortgage Concepts, LLC investor protection violation2010AR-SEC$20,000
W.R Starkey Mortgage, LLP investor protection violation2010AR-SEC$20,000
United Fidelity Funding Corp. investor protection violation2010AR-SEC$12,500
Krisell Oil Company, Inc. investor protection violation2011AR-SEC$20,000
Lewis & Clark Outdoors, Inc. investor protection violation2011AR-SEC$7,000
Capital Markets Advisory, LLC fka Carr Miller Capital Investments, LLC investor protection violation2012AR-SEC$30,000
John Thomas Financial, Inc. investor protection violation2012AR-SEC$42,421
Morgan Keegan & Co.Raymond James Financialfinancial servicesinvestor protection violation2012AR-SEC$59,659
Newbridge Securities Corp. investor protection violation2013AR-SEC$17,377
Stephens Inc. investor protection violation2013AR-SEC$25,000
Interactive Brokers, LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2013AR-SEC$6,000
Summit Brokerage Services, Inc. investor protection violation2013AR-SEC$8,500
PowerOne Corp. investor protection violation2014AR-SEC$5,000
Vision Technologies, Inc. investor protection violation2014AR-SEC$8,000
Texas Energy Mutual, LLC investor protection violation2014AR-SEC$5,000
St. Bernard Financial Services, Inc. investor protection violation2015AR-SEC$25,000
Allied Energy, Inc. investor protection violation2015AR-SEC$7,500
McDonald Partners LLC investor protection violation2016AR-SEC$15,000
Regal Securities, Inc. investor protection violation2017AR-SEC$36,879
First Standard Financial Company, LLC investor protection violation2017AR-SEC$10,000
Wesleyan Investment investor protection violation2018AR-SEC$10,000
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2018AR-SEC$50,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2019AR-SEC$40,000
Crews and Associates, Inc. investor protection violation2019AR-SEC$5,000
Alexander Capital, L.P. investor protection violation2019AR-SEC$15,000
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2019AR-SEC$5,000
QVG, LLC investor protection violation2019AR-SEC$8,000
D-Val, LLC and D-Val Construction & Real Estate Investments investor protection violation2008AR-SEC$326,000
Fidelity National Legal Systems, Inc. investor protection violation2010AR-SEC$10,000
Phoenix Performance Enhancement Group investor protection violation2010AR-SEC$10,000
Gardner Insurance Agency, Inc. investor protection violation2011AR-SEC$122,365
Heritage Corner, Ltd. And Heritage Funding Group, Inc. investor protection violation2011AR-SEC$310,000
P-R-E, LLC dba Phoenix Renewable Energy investor protection violation2013AR-SEC$1,804,250
Nick Lynn Technologies, Inc. investor protection violation2013AR-SEC$70,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.