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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
Believing in Jesus Investments, LLC investor protection violation2017AZ-CC$270,050
Caesar Investments, LLC investor protection violation2017AZ-CC$472,378
Oak Capital Partners, LLC investor protection violation2018AZ-CC$1,198,851
Dental Support Plus Franchise, LLC investor protection violation2018AZ-CC$13,614,954
USA Barcelona Realty Advisors, LLC investor protection violation2018AZ-CC$3,965,700
Clear Energy Group, LLC investor protection violation2018AZ-CC$865,000
Guardian Wealth Management, LLC investor protection violation2018AZ-CC$6,000
GenTecnics, LLC and iCorp LLC investor protection violation2018AZ-CC$734,120
Delta FX Trade investor protection violation2018AZ-CC$15,000
Howard Price Wealth Management, LLC investor protection violation2018AZ-CC$806,994
DrHorsepower, Inc. investor protection violation2018AZ-CC$166,149
Black Platinum Holdings, LLC and GSI Global, Inc. investor protection violation2018AZ-CC$230,000
Wesleyan Investment Foundation, Inc. investor protection violation2018AZ-CC$25,000
Leland Energy et al. investor protection violation2018AZ-CC$3,372,537
Advanced Planning Concepts, LLC investor protection violation2018AZ-CC$37,435
WMF Management, LLC et al. investor protection violation2018AZ-CC$3,732,894
Imagine Enterprises, LLC investor protection violation2019AZ-CC$1,217,793
Real Estate Finance Corp. and WIN Opportunity Fund, LLC investor protection violation2019AZ-CC$3,668,565
Tital Funding Group 1, LLC and Titan Capital Holdings LLC investor protection violation2019AZ-CC$39,740
CoverLugg LLC and Birdie Media LLC investor protection violation2019AZ-CC$1,328,090
Concordia Financing Company, Ltd. and ER Financial & Advisory Services, LLC investor protection violation2019AZ-CC$4,007,986
Pacific Capital Enterprises LLC investor protection violation2019AZ-CC$1,326,872
Titan Capital Real Estate Fund I, LLC investor protection violation2019AZ-CC$3,076,315
Partisan Alliance Corp. investor protection violation2019AZ-CC$103,000
JG Enterprise, LLC investor protection violation2019AZ-CC$19,772
BAIC, Inc. investor protection violation2019AZ-CC$2,004,649
SoBell Corp. investor protection violation2019AZ-CC$779,450
IDIAZ, LLC investor protection violation2019AZ-CC$113,000
Wealth Creator Private Equity, LLC investor protection violation2019AZ-CC$35,000
Native American Water, L.L.C. dba NATAWA et al. investor protection violation2019AZ-CC$5,874,215
AZ Investment Property Experts, LLC and Sandy Beach Esmeralda Development, LLC investor protection violation2019AZ-CC$27,801,783
Skytrace, Inc. investor protection violation2019AZ-CC$147,500
Trager, L.L.C. investor protection violation2019AZ-CC$50,000
Whispering Creek Investments LLC investor protection violation2019AZ-CC$1,214,923
The Credit Engineers, Inc. investor protection violation2019AZ-CC$25,000
Wagner Capital Management, LLC investor protection violation2019AZ-CC$71,928
American Realty Partners , LLC et al. investor protection violation2019AZ-CC$11,670,327
Corix Bioscience, Inc. et al. investor protection violation2019AZ-CC$3,235,192
The Fortitude Foundation et al. investor protection violation2020AZ-CC$1,386,024
Priority Wealth Advisors, Inc. investor protection violation2020AZ-CC$5,000
Maximo Natural Products, Inc. investor protection violation2020AZ-CC$353,751
Western Gateway Region Rural Broadband Company, Inc investor protection violation2020AZ-CC$15,000
AuroraTek Incorporated investor protection violation2020AZ-CC$742,420
Sun State Property Preservation, LLC and Wattenberg, LLC investor protection violation2021AZ-CC$901,030
Chrysology Capital Group, L.L.C. investor protection violation2021AZ-CC$10,000
The Joseph Project investor protection violation2021AZ-CC$75,000
Performance Arbitrage Company, Inc. et al. investor protection violation2020AZ-CC$653,191
Saba Tooth Tiger, LLC dba Saba Investments investor protection violation2020AZ-CC$1,412,099
Smart Acquisitions, L.L.C. and Smart Enterprises, L.L.C. and Simply Smart Homes, L.L.C. investor protection violation2020AZ-CC$60,000
Business Owners Tax Relief LLC investor protection violation2020AZ-CC$4,674,873
Smith & Cox, LLC et al. investor protection violation2020AZ-CC$7,558,866
Meroe Capital Group Ltd et al. investor protection violation2021AZ-CC$992,980
The Joseph Project investor protection violation2021AZ-CC$9,210,000
Arizona Acquisitions Group LLC investor protection violation2021AZ-CC$505,900
Ecovista Development LLC and Ecovista Avondale LLC investor protection violation2021AZ-CC$10,000
Wattenberg 1 LLC et al. investor protection violation2021AZ-CC$488,880
Verdugo Gift Company investor protection violation2021AZ-CC$6,988,143
Grand Oak Enterprises, LLC investor protection violation2021AZ-CC$239,000
OWNZONES Media Network, Inc. investor protection violation2021AZ-CC$4,500,000
NVSG702, LLC and NVSG702, LLC and Silverstate702, LLC investor protection violation2021AZ-CC$559,699
AE Wealth Management, LLC investor protection violation2021AZ-CC$1,309,400
Voice of Guo Media, Inc. investor protection violation2022AZ-CC$100,000
Luxury Management Group, LLC investor protection violation2022AZ-CC$70,000
Luxury Management Group, LLC and MTE 2013 Trust investor protection violation2022AZ-CC$768,606
Performance Realty Management, LLC investor protection violation2021AZ-CC$2,309,101
Performance Realty Management, LLC and t American Realty Partners, LLC investor protection violation2021AZ-CC$11,670,327
Corix Bioscience Inc. investor protection violation2021AZ-CC$3,235,192
Biomed Pharma Group, Inc. investor protection violation2021AZ-CC$273,630
ICA Financial Services, LLC investor protection violation2022AZ-CC$190,000
American Financial Investments, LLC investor protection violation2022AZ-CC$19,724,875
My Trader Coin investor protection violation2022AZ-CC$1,237,747
TreyTrades LLC investor protection violation2022AZ-CC$89,425
D2D Financial, LLC investor protection violation2022AZ-CC$130,000
Marketing Dynamics, Inc. investor protection violation2022AZ-CC$104,216
Archimedes Foundation Trust investor protection violation2022AZ-CC$1,760,000
Global Capital and Equity LLC investor protection violation2022AZ-CC$466,500
AZ REl School, LLC and SFG Real Estate Holdings, LLC investor protection violation2022AZ-CC$19,371
Premier Asset Management Group LLC investor protection violation2022AZ-CC$4,695,136
Sync Title Agency, LLC investor protection violation2022AZ-CC$55,000
Feneck Consulting Group investor protection violation2022AZ-CC$701,901
Cornerstone Wealth Management, LLC investor protection violation2022AZ-CC$10,000
Wealthcorp, LLC investor protection violation2022AZ-CC$1,564,446
Wenima Development LLC and I Am America investor protection violation2022AZ-CC$92,000
Money Never Sleeps LLC investor protection violation2022AZ-CC$655,885
The Financial Group, LLC investor protection violation2022AZ-CC$3,706,451
High Desert Naturals et al. investor protection violation2022AZ-CC$20,000
Automata FX Ltd investor protection violation2023AZ-CC$4,866,465
Elite Benefits Group, LLC investor protection violation2023AZ-CC$28,985
Seek Insurance, LLC and Elite Benefits Group, LLC investor protection violation2023AZ-CC$35,000
PGH Advisors LLC investor protection violation2023AZ-CC$445,790
Bear Fruit Films, L.L.C. investor protection violation2023AZ-CC$1,700,500
Financial Leverage LLC et al. investor protection violation2023AZ-CC$4,879,122
FXPIPSESSION, LLC investor protection violation2023AZ-CC$120,004
Heartland Capital Partners, LLC and Heartland Income Properties LLC investor protection violation2023AZ-CC$7,304,390
Meta 1 Coin Trust investor protection violation2023AZ-CC$4,404,361
Premier Media Services, Inc. dba Premier Distributing Service and Lenis USA investor protection violation2023AZ-CC$390,500
RRIM Asset Strategies, LLC investor protection violation2023AZ-CC$42,430
Blue Owl Technology Income Corp investor protection violation2023AZ-CC$30,000
Family Tree Estate Planning, LLC, investor protection violation2023AZ-CC$3,838,040
Elevated Automations LLC and Ecomelevation LLC, investor protection violation2024AZ-CC$712,079
Blue Owl Technology Income Corp. investor protection violation2023AZ-CC$30,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.