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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
Grant Thornton LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2015SEC$4,500,000
Marwood Group Research LLC investor protection violation2015SEC$375,000
Sands Brothers Asset Management LLC investor protection violation2015SEC$1,000,000
Fenway Partners LLC investor protection violation2015SEC$8,716,471
St. Joe CompanySt. Joe Companyreal estateaccounting fraud or deficiencies2015SEC$2,750,000
Summit Trust Company accounting fraud or deficiencies2015SEC$18,900,000
DBRS Inc. investor protection violation2015SEC$5,814,482
Premiere Power LLC investor protection violation2015SEC$2,587,523
Wolverine Trading LLC and Wolverine Asset Management LLC investor protection violation2015SEC$1,153,303
Home Loan Servicing Solutions Ltd. accounting fraud or deficiencies2015SEC$1,500,000
Grant Thornton India LLP and Grant Thornton Audit Pty LimitedGrant Thorntonbusiness servicesaccounting fraud or deficiencies2015SEC$365,085
Spencer Pharmaceutical Inc. investor protection violation2015SEC$1,000,000
Focus Media Holding Limited investor protection violation2015SEC$55,600,000
Trinity Capital Corporation accounting fraud or deficiencies2015SEC$1,500,000
Idle Media Inc. accounting fraud or deficiencies2015SEC$50,000
Stein Mart Inc. accounting fraud or deficiencies2015SEC$800,000
First Eagle Investment Management and FEF Distributors investor protection violation2015SEC$39,748,260
8000 Inc. investor protection violation2015SEC$6,500,000
BDO USABDO Internationalbusiness servicesaccounting fraud or deficiencies2015SEC$2,100,000
Bankrate Inc.Red Venturesbusiness servicesaccounting fraud or deficiencies2015SEC$15,000,000
MusclePharm Corporation accounting fraud or deficiencies2015SEC$700,000
Summit Asset Strategies accounting fraud or deficiencies2015SEC$1,143,933
Taberna Capital Management investor protection violation2015SEC$21,500,000
EnviraTrends, Inc. investor protection violation2015SEC$150,000
Colonial Tidewater Realty Income Partners investor protection violation2015SEC$1,319,386
Guggenheim Partners Investment Management LLCGuggenheim Partnersfinancial servicesinvestor protection violation2015SEC$20,000,000
ABS Manager investor protection violation2015SEC$1,087,648
Vero Capital Management LLC accounting fraud or deficiencies2015SEC$3,068,706
Deloitte & Touche LLPDeloittebusiness servicesaccounting fraud or deficiencies2015SEC$1,113,916
AlphaBridge Capital Management accounting fraud or deficiencies2015SEC$5,000,000
Computer Sciences CorporationDXC Technologyinformation technologyaccounting fraud or deficiencies2015SEC$190,000,000
First BancorpFirst Bancorp (North Carolina)financial servicesaccounting fraud or deficiencies2015SEC$275,000
China Valves Technology Inc. investor protection violation2015SEC$575,000
Nationwide Life Insurance CompanyNationwidefinancial servicesinvestor protection violation2015SEC$8,000,000
Polycom Inc.Plantronicsmiscellaneous manufacturingaccounting fraud or deficiencies2015SEC$750,000
Macquarie Capital (USA) Inc.Macquariefinancial servicesinvestor protection violation2015SEC$15,000,000
BioChemics Inc. investor protection violation2015SEC$17,897,887
H.D. Vest Investment Securities investor protection violation2015SEC$225,000
GLR Advisers LLC accounting fraud or deficiencies2015SEC$2,772,475
VCAP Securities investor protection violation2015SEC$1,477,332
Broadwind EnergyBroadwind Inc.utilities and power generationaccounting fraud or deficiencies2015SEC$1,000,000
F-Squared Investments investor protection violation2014SEC$35,000,000
Baker Tilly Hong Kong Limited accounting fraud or deficiencies2014SEC$84,101
Canadian Solar Inc. accounting fraud or deficiencies2014SEC$500,000
Lerner & Sipkins CPAs LLC accounting fraud or deficiencies2014SEC$55,000
OUM & Co. accounting fraud or deficiencies2014SEC$10,000
Boros & Farrington Accountancy Corporation accounting fraud or deficiencies2014SEC$30,000
BKD LLP accounting fraud or deficiencies2014SEC$15,000
Hampton Roads BanksharesAtlantic Union Banksharesfinancial servicesaccounting fraud or deficiencies2014SEC$200,000
Wedbush SecuritiesWedbush Securitiesfinancial servicesinvestor protection violation2014SEC$2,440,000
APT MotoVox Group Inc. investor protection violation2014SEC$25,000
CoroWare Inc. investor protection violation2014SEC$25,000
ERF Wireless Inc. investor protection violation2014SEC$50,000
Green Automotive Company investor protection violation2014SEC$50,000
MineralRite Corporation investor protection violation2014SEC$25,000
Mondial Ventures Inc. investor protection violation2014SEC$50,000
Monster Arts Inc. investor protection violation2014SEC$25,000
Red Giant Entertainment Inc. investor protection violation2014SEC$25,000
Seaniemac International Ltd. investor protection violation2014SEC$50,000
Worthington Energy Inc. investor protection violation2014SEC$25,000
Charles Schwab & Co.Charles Schwab Corp.financial servicesinvestor protection violation2014SEC$61,800
Hapoalim Securities USA investor protection violation2014SEC$54,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2014SEC$56,000
Investment Professionals Inc.Ameriprise Financialfinancial servicesinvestor protection violation2014SEC$67,800
J.P. Morgan SecuritiesJPMorgan Chasefinancial servicesinvestor protection violation2014SEC$54,000
Lebenthal & Co. investor protection violation2014SEC$54,000
National Securities Corporation investor protection violation2014SEC$60,000
Oppenheimer & Co.Oppenheimer Holdingsfinancial servicesinvestor protection violation2014SEC$61,200
Riedl First Securities Co. of Kansas investor protection violation2014SEC$130,000
Stifel Nicolaus & Co.Stifel Financialfinancial servicesinvestor protection violation2014SEC$60,000
TD AmeritradeCharles Schwab Corp.financial servicesinvestor protection violation2014SEC$100,800
UBS Financial ServicesUBSfinancial servicesinvestor protection violation2014SEC$56,400
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2014SEC$67,200
Great Lakes Dredge & Dock CorporationGreat Lakes Dredge & Dock Corporationmiscellaneous servicesaccounting fraud or deficiencies2014SEC$150,000
Berman & Co. P.A. accounting fraud or deficiencies2014SEC$15,000
OTC Solutions LLC investor protection violation2014SEC$373,239
JDA Software Group Inc.New Mountain Capitalprivate equity (including portfolio companies)accounting fraud or deficiencies2014SEC$750,000
Saba Software accounting fraud or deficiencies2014SEC$1,750,000
Lincolnshire Management investor protection violation2014SEC$2,300,000
Strategic Capital Group LLC investor protection violation2014SEC$586,290
AgFeed Industries accounting fraud or deficiencies2014SEC$18,000,000
Wilmington TrustM&T Bankfinancial servicesaccounting fraud or deficiencies2014SEC$18,500,000
Advanced Cell Technology investor protection violation2014SEC$375,000
Linkbrokers Derivatives LLC investor protection violation2014SEC$14,000,000
AIC Inc. investor protection violation2014SEC$66,760,521
LavaFlow Inc.Citigroupfinancial servicesinvestor protection violation2014SEC$5,000,000
Ernst & Young LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2014SEC$4,070,000
OM Investment Management accounting fraud or deficiencies2014SEC$1,729,800
AutoChina International Limited accounting fraud or deficiencies2014SEC$4,350,000
Liquidnet Inc. investor protection violation2014SEC$2,000,000
Empire Stock Transfer Inc. investor protection violation2014SEC$50,000
CVS Caremark Corp.CVS Healthretailingaccounting fraud or deficiencies2014SEC$20,000,000
Transamerica Financial AdvisorsAegonfinancial servicesinvestor protection violation2014SEC$1,107,248
Redfin Network Inc. accounting fraud or deficiencies2014SEC$19,480
A Chicago Convention Center, LLC and Intercontinental Regional Center Trust of Chicago, LLC investor protection violation2014SEC$12,950,000
Lions Gate Entertainment Corp.Lions Gate Entertainmententertainmentaccounting fraud or deficiencies2014SEC$7,500,000
Belmont Partners LLC accounting fraud or deficiencies2014SEC$224,500
Apple Six Advisors Inc. accounting fraud or deficiencies2014SEC$437,500
Apple Seven Advisors Inc. accounting fraud or deficiencies2014SEC$375,000
Apple Eight Advisors Inc. accounting fraud or deficiencies2014SEC$437,500
Apple Nine Advisors Inc. accounting fraud or deficiencies2014SEC$250,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.