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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
Justby International Auctions investor protection violation2023CFTC$5,352,843
Highrise Advantage, LLC. investor protection violation2023CFTC$102,234,376
Freepoint Commodities LLC investor protection violation2023CFTC$91,000,000
Simply Gains, Inc.  investor protection violation2024CFTC$830,000
Nawabi Enterprise and Hyperion Consulting Inc. investor protection violation2024CFTC$9,000,000
Empires Consulting Corp. investor protection violation2024CFTC$64,356,794
Blue Moon Investments Inc. investor protection violation2024CFTC$204,622,580
AJS Holdings, LLC tax violations2019CO-DENVERDA$125,000
Dynamic Growth Partners LLC tax violations2019CO-DENVERDA$125,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2005CO-SEC$259,227
Key Resource Group, LLC and Key Gas Corp. and Key Gas Holding, LLC investor protection violation2007CO-SEC$300,000
OppenheimerFunds Distributor, Inc.Invescofinancial servicesinvestor protection violation2007CO-SEC$494,500
Americus Home Loans, Inc. investor protection violation2009CO-SEC$400,000
Visionary Sports Entertainment, Inc. investor protection violation2009CO-SEC$92,307
Ascension Investments, Inc. investor protection violation2010CO-SEC$92,748
Hotel Gold Crown Southland, LLC investor protection violation2010CO-SEC$1,055,000
Klytie's Developments, Inc. et al. investor protection violation2010CO-SEC$4,667,724
Epic Equitable, LLC investor protection violation2011CO-SEC$99,700
Life Enhancement Systems, LLC investor protection violation2011CO-SEC$77,543
Earth Energy Exploration, Inc. investor protection violation2012CO-SEC$414,719
DH Products, LLC investor protection violation2012CO-SEC$48,250
Fairfield Energy, Inc. and D.B. Wheeler, LLC and Amazon Exploration, LLC investor protection violation2012CO-SEC$975,000
James Investment Advisers, LLC investor protection violation2012CO-SEC$609,000
Wealth by Design, Inc. and Clinton D. Fraley Living Trust investor protection violation2012CO-SEC$365,252
Jelco Ventures, Inc. investor protection violation2012CO-SEC$400,000
AllianceBernstein L.P.Equitable Holdingsfinancial servicesinvestor protection violation2013CO-SEC$20,232
Wilson Advisory Group investor protection violation2013CO-SEC$56,000
Sandlapper Securities, LLC investor protection violation2013CO-SEC$10,000
New Body MD, LLC investor protection violation2014CO-SEC$75,000
Leland Energy, Inc. investor protection violation2014CO-SEC$700,000
Service Team, Inc. investor protection violation2014CO-SEC$25,000
Hulen Holdings, Inc. investor protection violation2014CO-SEC$36,650
Talking Water, LLC et al. investor protection violation2014CO-SEC$25,000
Preferred Spectrum Investments, LLC et al. investor protection violation2016CO-SEC$25,000
Choice Investment Management, LLC investor protection violation2016CO-SEC$10,000
Rio National Insurance Services, Inc. investor protection violation2016CO-SEC$790,719
Wall Street Radio, Inc. dba Winning on Wall Street investor protection violation2016CO-SEC$80,000
Lion Equity Investment Advisors investor protection violation2017CO-SEC$300,000
Walton Financial, LLC investor protection violation2017CO-SEC$150,000
Accelerated Wealth, LLC investor protection violation2017CO-SEC$50,000
Accelerated Wealth, LLC investor protection violation2017CO-SEC$50,000
High Trust Financial and Consulting, Inc. investor protection violation2017CO-SEC$150,000
SkiHawk Capital Partners, LLC and SkiHawk Financial, Inc. investor protection violation2017CO-SEC$50,000
GRAnderson Wealth Management Group Inc. investor protection violation2017CO-SEC$35,000
Conestoga Trust investor protection violation2017CO-SEC$40,000
Financial Network Specialists, LLC investor protection violation2018CO-SEC$36,500
Maxwell Wealth Planning, Inc. investor protection violation2018CO-SEC$170,000
Tropical Racing, Inc. investor protection violation2019CO-SEC$6,049
Annett & Associates investor protection violation2020CO-SEC$7,000
Physicians Development Group, LLC and Physicians Senior Care Fund, LLC investor protection violation2020CO-SEC$50,000
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020CO-SEC$69,338
First Command Brokerage Services, Inc. investor protection violation2022CO-SEC$63,232
J.A.G. Capital, LLC investor protection violation2023CO-SEC$7,500
Parker Street Securities LLC investor protection violation2023CO-SEC$5,300
151 East Post Road Corp. tax violations2014CT-AG$10,665
19 Pinney Street Corp. tax violations2012CT-AG$9,780
2020 Company, LLC tax violations2012CT-AG$6,900
3C Electrical Co, Inc. tax violations2014CT-AG$11,975
3SI Security Systems, Inc. tax violations2014CT-AG$13,343
A & A Drug Co. tax violations2012CT-AG$5,182
Access Intelligence LLC tax violations2014CT-AG$6,900
Acquia Inc. tax violations2016CT-AG$9,570
AcuPowder International, LLC tax violations2012CT-AG$5,640
Adler Consulting, Transport Planning and Traffic Engineering, PLLC tax violations2012CT-AG$5,520
ADP Workscape, Inc. tax violations2013CT-AG$5,685
AdvanIDE, Inc. tax violations2012CT-AG$9,255
Advicent Solutions, Inc. tax violations2015CT-AG$5,070
AFS Technologies, Inc. tax violations2012CT-AG$15,240
AIG Aerospace Adjustment Services, Inc. tax violations2014CT-AG$20,085
Air Contact Transport, Inc. tax violations2013CT-AG$8,340
Alerion Investment Partners I L.P. tax violations2014CT-AG$5,940
Alex and Ani, LLC tax violations2016CT-AG$10,500
Alliance Healthcare Services, Inc. tax violations2009CT-AG$15,427
Allied Account Services, Inc. tax violations2016CT-AG$9,344
Alterisio Construction, Inc. tax violations2012CT-AG$8,033
Amada Capital Corp. tax violations2013CT-AG$5,610
Ambassador College Bookstores, Inc. tax violations2012CT-AG$7,110
AMC Diligence, LLC tax violations2014CT-AG$5,700
Amdocs IT Services, LLC tax violations2013CT-AG$22,005
Amec Aes, Inc. tax violations2014CT-AG$5,085
American Customer Care, Inc. tax violations2016CT-AG$11,458
American Customer Care, Inc. tax violations2015CT-AG$5,729
American Cybersystems, Inc. tax violations2015CT-AG$6,300
American Express Centurion BankAmerican Expressfinancial servicestax violations2012CT-AG$14,970
American Forest Products, LLC tax violations2013CT-AG$7,260
American Mortgage Consultants, Inc. tax violations2015CT-AG$6,870
American Tax Funding Servicing, LLC tax violations2015CT-AG$5,400
Ameri-Kleen Inc. tax violations2014CT-AG$12,840
Ameritraining, Inc. tax violations2014CT-AG$8,243
AMG Marketing Services, LLC tax violations2015CT-AG$14,100
AMS Sales, LLC tax violations2015CT-AG$35,745
Anderson Merchandisers, LLC tax violations2016CT-AG$5,100
Approved Storage and Waste Hauling Inc. tax violations2014CT-AG$12,995
AQS, Inc. tax violations2015CT-AG$6,300
Aquatic Renovation Systems, Inc. tax violations2013CT-AG$7,193
Armor All/STP Products Co. tax violations2013CT-AG$6,270
Ascend Management Innovations LLCMaximusmiscellaneous servicestax violations2016CT-AG$22,800
Association of Family and Conciliation Courts, Inc. tax violations2015CT-AG$9,113
AsymmetRx, Inc. tax violations2013CT-AG$5,000
Atlantic Bridge & Engineering, Inc. tax violations2014CT-AG$7,980
Atlantic Millwrights, Inc. tax violations2014CT-AG$8,640
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.