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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
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
Theodore J. Hogan & Associates, LLC investor protection violation2011AZ-CC$2,253,310
Phoenician Entertainment, L.L.C. investor protection violation2011AZ-CC$534,000
Plein Enterprises Incorporated dba Tri-Star Realty investor protection violation2011AZ-CC$1,586,182
Assisted Living Development Company, Inc. et al. investor protection violation2011AZ-CC$2,410,895
USDB Group Inc. aka US Deposit Brokers Group aka USDB investor protection violation2011AZ-CC$606,325
New Rise Investments, L.L.C. and AZ Real Estate Group, L.L.C investor protection violation2011AZ-CC$5,000
Energetics, Inc.VSE Corp.freight and logisticsinvestor protection violation2011AZ-CC$250,000
Silversprings Real Estate Development & Investments, L.L.C. et al. investor protection violation2011AZ-CC$7,554,463
Mack Financial Group, LLC investor protection violation2011AZ-CC$215,902
The Investment Advisory Group, L.L.C. investor protection violation2011AZ-CC$13,200
U.S. Media Team, LLC investor protection violation2011AZ-CC$116,260
C-Street Financial Group et al. investor protection violation2011AZ-CC$874,260
Capital Oil & Gas, Limited investor protection violation2011AZ-CC$732,000
CoolTrade, Inc. investor protection violation2012AZ-CC$25,000
3-CG, LLC and Choice Property Group, LLC investor protection violation2012AZ-CC$6,216,949
MAG T, Inc. investor protection violation2012AZ-CC$2,370,455
RLGMAN Corp. and STABLE, LLC investor protection violation2012AZ-CC$1,897,393
Echo Canyon LLC investor protection violation2012AZ-CC$443,709
Comprehensive Cash Flow Funding, Inc. et al. investor protection violation2012AZ-CC$1,253,122
Executive Real Estate Solutions, L.L.C. investor protection violation2012AZ-CC$1,217,747
Southwest Biofuels, LLC investor protection violation2012AZ-CC$730,711
Morgan Financial, L.L.C. investor protection violation2012AZ-CC$72,784
Phoenix Funding, LLC investor protection violation2012AZ-CC$58,905
Mountain State Power, Inc. investor protection violation2012AZ-CC$20,000
A.L. Russell & Associates LLC and Re-Star LLC and Re-Star Holdings LLC investor protection violation2012AZ-CC$2,016,570
Sterling Investments Group International, LLC investor protection violation2012AZ-CC$129,000
Chazel Capital, Inc. and OFIR Mine Project, LP investor protection violation2012AZ-CC$7,500
MT Explorations, LLC investor protection violation2012AZ-CC$5,000
Tri-Core Mexico Land Development, LLC investor protection violation2013AZ-CC$1,075,000
Real Estate Monster, LLC investor protection violation2013AZ-CC$5,000
Innovative Construction, Inc. and Atlantic Lexus, Ltd. investor protection violation2013AZ-CC$524,754
U.S. Media Team, LLC and Cell Wireless Corp. investor protection violation2013AZ-CC$139,000
Earth Explorations, LLC investor protection violation2013AZ-CC$449,600
True North Business Ventures LLC investor protection violation2013AZ-CC$376,091
Parker Skylar &Associates, LLC investor protection violation2013AZ-CC$1,992,000
Westcap Energy, Inc. dba Westcap Solar investor protection violation2013AZ-CC$10,000
Radical Bunny, L.L.C. investor protection violation2013AZ-CC$189,800,867
Horizon Partners, L.L.C. investor protection violation2013AZ-CC$150,000
RSC Adventures, LLC investor protection violation2013AZ-CC$6,500
Crystal Pistol Resources, LLC et al. investor protection violation2013AZ-CC$5,249,316
International Air Medical Services, Inc. investor protection violation2013AZ-CC$1,456,300
SDC Montana Consulting, LLC investor protection violation2013AZ-CC$25,000
3T Options, LLC investor protection violation2013AZ-CC$151,919
Promise Land Properties, LLC investor protection violation2013AZ-CC$983,000
TF6 Advisors, LLC and Pacific Ventures & Trading LLC investor protection violation2013AZ-CC$215,887
Arizona Gold Processing, LLC and AZGO, LLC investor protection violation2013AZ-CC$1,242,275
TV Products, LLC fka US Loans Negotiation, LLC investor protection violation2013AZ-CC$185,734
Weldon LLC investor protection violation2013AZ-CC$9,000
Hampton Capital Markets, LLC investor protection violation2014AZ-CC$50,000
Lanesborough Financial Group, LLC investor protection violation2014AZ-CC$759,725
Magdalena Homes, L.L.C. and Rotall Marketing Group L.L.C. and Todd Robert Homes, Inc. investor protection violation2014AZ-CC$245,100
Nordstrom Nordstrom I, Inc. and Nordstrom Imports, Inc.Nordstromretailinginvestor protection violation2014AZ-CC$2,263,142
Denver Energy Exploration, LLC investor protection violation2014AZ-CC$7,500
Damopa Investments, LLC and MLC Living Trust and Monika Catlin, LLC investor protection violation2014AZ-CC$837,026
Neoteric Energy, Inc. investor protection violation2014AZ-CC$10,000
Krauser Investment Group, LLC investor protection violation2014AZ-CC$99,347
SEED Corp. investor protection violation2014AZ-CC$2,674,654
Legacy Financial Advisors, LLC investor protection violation2014AZ-CC$390,806
Catharon Software Corp. investor protection violation2015AZ-CC$5,176,559
Lanesborough Financial Group, LLC investor protection violation2015AZ-CC$90,910
Out of the Blue Processors, LLC dba Out of the Blue Processors II, LLC investor protection violation2015AZ-CC$2,995,500
Red Mountain Funding, Inc. investor protection violation2015AZ-CC$4,344,885
Investment Acquisitions Group LLC investor protection violation2015AZ-CC$1,180,339
Deer Park Development Corp. investor protection violation2015AZ-CC$892,630
Biltmore Wealth Advisors, LLC investor protection violation2015AZ-CC$5,000
Deluge, Inc. and Hydrotherm Power Corp. investor protection violation2016AZ-CC$11,194,254
Marchant International Resources, Inc. investor protection violation2016AZ-CC$1,841,513
Franklin AAA Holdings, LLC investor protection violation2016AZ-CC$62,426
Simply Smart Homes, LLC and Smart Enterprises, LLC investor protection violation2017AZ-CC$123,750
Shadow Beverages and Snacks, LLC investor protection violation2017AZ-CC$1,542,500
Hawkins Wealth Advisory LLC investor protection violation2017AZ-CC$19,028
Infinity Fuels, Inc. investor protection violation2017AZ-CC$47,795
Visionary Business Works, Inc. dba Fleetronix investor protection violation2017AZ-CC$856,044
Tri-Core Companies, LLC et al. investor protection violation2017AZ-CC$4,822,311
Wohl Capital Investment Group, LLC investor protection violation2017AZ-CC$37,918
LoanGo Corp. investor protection violation2017AZ-CC$265,000
Believing in Jesus Investments, LLC investor protection violation2017AZ-CC$270,050
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.