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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
AOLApollo Global Managementprivate equity (including portfolio companies)accounting fraud or deficiencies2006AK-AG$25,000,000
MercerMarsh & McLennanfinancial servicesaccounting fraud or deficiencies2010AK-AG$500,000,000
QwestLumen Technologiestelecommunicationsaccounting fraud or deficiencies2007AK-AG$19,000,000
Time Warner accounting fraud or deficiencies2006AK-AG$25,000,000
Edward D. Jones and Co.,LPJones Financialfinancial servicesinvestor protection violation2003AK-DBS$11,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2010AK-DBS$733,465
Touchstone Funds Group Trust investor protection violation2013AK-DBS$5,000
Arbor Capital Management, Inc. investor protection violation2013AK-DBS$5,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2013AK-DBS$64,661
Fortune Oil & Gas, Ltd. investor protection violation2014AK-DBS$25,000
J.P. Morgan Securities, LLCJPMorgan Chasefinancial servicesinvestor protection violation2014AK-DBS$51,120
Flatiron Capital Partners, LLC et al. investor protection violation2015AK-DBS$125,000
St. Andrews Investments, LLC investor protection violation2015AK-DBS$50,000
Northwest Financial Advisors, Inc. investor protection violation2015AK-DBS$6,250
Securian Financial Services, Inc.Securian Financialfinancial servicesinvestor protection violation2020AK-DBS$10,000
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020AK-DBS$10,527
TMTE, Inc. aka Metals.com aka Chase Metals, Inc. investor protection violation2020AK-DBS$700,000
Tycoon Trading, LLC investor protection violation2022AK-DBS$14,439,086
Tycoon Trading, LLC et al. investor protection violation2023AK-DBS$40,684,525
Nationwide Retirement Solutions investor protection violation2010AL-AG$16,000,000
Betty Foodmart tax violations2021AL-AG$34,219
SunocoEnergy Transferpipelinestax violations2021AL-AG$122,314
Greenetrack Inc. tax violations2022AL-AG$76,000,000
Regions BankRegions Financialfinancial servicesbanking violation2014AL-SBD$5,000,000
Prudential Equity Group, Inc.Prudential Financialfinancial servicesinvestor protection violation2005AL-SEC$45,000
Caruba International, LLC investor protection violation2005AL-SEC$20,000
Triton EP, LLC investor protection violation2006AL-SEC$10,000
Divine Capital Markets, LLC investor protection violation2006AL-SEC$5,241
Gulftex Operating, Inc. investor protection violation2007AL-SEC$7,500
Tidewell DeWitt Investment Services, LLC investor protection violation2007AL-SEC$7,262
American Heritage Church Finance, Inc. investor protection violation2007AL-SEC$12,000
Patapsco Securities, Inc. dba Chapin Davis investor protection violation2008AL-SEC$5,377
Texas Securities Partners, Inc. investor protection violation2008AL-SEC$10,000
Northstar Energy, Inc. investor protection violation2008AL-SEC$10,000
Newman Energy Corp. investor protection violation2008AL-SEC$7,000
Rothschild Investment Corp. investor protection violation2008AL-SEC$17,646
Mowell Financial Group, Inc. investor protection violation2009AL-SEC$125,000
Morgan Keegan & Co.Raymond James Financialfinancial servicesinvestor protection violation2010AL-SEC$15,000
Corporate Property Associates 15 Inc. investor protection violation2010AL-SEC$15,000
Consolidated Management Advisors, Inc. and Consolidated Capital Management, Inc. investor protection violation2010AL-SEC$120,000
Clean Energy Pathways, Inc. investor protection violation2010AL-SEC$5,000
BCL, LLC and Sanctus Partners Limited Partnership investor protection violation2012AL-SEC$7,500
Bluepac Management LLC investor protection violation2012AL-SEC$7,000
Next Financial Group, Inc.Atria Wealth Solutionsfinancial servicesinvestor protection violation2012AL-SEC$60,000
Global Financial Private Capital, LLC investor protection violation2014AL-SEC$5,000
Sovereign Funding, LLC investor protection violation2015AL-SEC$100,000
First Kentucky Securities Corp. investor protection violation2016AL-SEC$12,500
ClearPoint Capital Management, LLC investor protection violation2016AL-SEC$327,026
Morgan Keegan & Co.Raymond James Financialfinancial servicesinvestor protection violation2017AL-SEC$20,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2018AL-SEC$80,000
Prominence Homes, LLC investor protection violation2019AL-SEC$100,000
Paul Winkler, Inc. investor protection violation2019AL-SEC$62,954
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020AL-SEC$18,874
Internet Escrow Services, Inc. investor protection violation2020AL-SEC$10,422
Haywood Securities (USA) Inc. investor protection violation2021AL-SEC$5,000
NFN8 Group, Inc. investor protection violation2022AL-SEC$120,000
Digital Access, LLC investor protection violation2022AL-SEC$13,500
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
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.