Violation Tracker

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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 Companies	Total Penalty $	Number of Records
Bank of America	$41,332,842,096	155
UBS	$27,709,494,893	134
JPMorgan Chase	$27,007,359,167	119
Citigroup	$19,742,743,935	103
Deutsche Bank	$15,634,467,278	66
Goldman Sachs	$13,126,412,841	57
NatWest Group PLC	$12,235,546,857	25
Wells Fargo	$10,735,220,989	127
Morgan Stanley	$9,877,862,956	163
BNP Paribas	$9,164,773,000	10

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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Company	Current Parent	Current Parent Industry	Primary Offense Type	Year	Agency	Penalty Amount
MVP Group Inc.			investor protection violation	2022	WA-SEC	$29,000
PrimeFX Pro			investor protection violation	2022	WA-SEC	$22,500
Yale Partners, LLC			investor protection violation	2022	WA-SEC	$5,000
VBit Technologies Inc			investor protection violation	2022	WA-SEC	$15,000
Gunn Capital Management, LLC			investor protection violation	2022	WA-SEC	$10,000
Osage Pacific Advisors			investor protection violation	2022	WA-SEC	$15,000
Rosland Capital LLC			investor protection violation	2022	WA-SEC	$20,000
Northlake Capital & Development LLC			investor protection violation	2022	WA-SEC	$10,000
SFA Commercial LLC			investor protection violation	2022	WA-SEC	$20,000
Edward D. Jones & Co., L.P.	Jones Financial	financial services	investor protection violation	2022	WA-SEC	$175,000
TangleTrade Management and Inception Capital Management			investor protection violation	2022	WA-SEC	$50,000
Pacific Investors Group, LLC et al.			investor protection violation	2023	WA-SEC	$25,000
Fitbela Epro Limited			investor protection violation	2023	WA-SEC	$86,500
Blue Owl Credit Income Corp.			investor protection violation	2023	WA-SEC	$150,662
StormX, Inc.			investor protection violation	2023	WA-SEC	$110,000
Blue Owl Technology Income Corp.			investor protection violation	2023	WA-SEC	$76,937
Pebble Financial, Inc.			investor protection violation	2023	WA-SEC	$8,500
Coinme Inc. and Up Global SEZC			investor protection violation	2023	WA-SEC	$10,000
UC Asset LP			investor protection violation	2023	WA-SEC	$12,500
Bull & Unicorn Investments LLC			investor protection violation	2023	WA-SEC	$10,000
Compass Capital Advisors L.L.C.			investor protection violation	2023	WA-SEC	$6,500
1st Financial Bank U.S.A.	1st Financial Bank USA	financial services	banking violation	2005	WI-AG	$43,142
Capital One Bank	Capital One Financial	financial services	banking violation	2005	WI-AG	$80,032
SunTrust Bank	Truist Financial	financial services	banking violation	2005	WI-AG	$10,107
Mortgage Protection Services and Lead System Inc.			banking violation	2015	WI-FIN	$62,000
Conestoga Settlement Services LLC			investor protection violation	2019	WI-FIN	$300,000
Wisconsin Retirement & Insurance Advisors, LLC			investor protection violation	2019	WI-FIN	$72,651
Legacy Financial Network and Retirement Services, Inc.			investor protection violation	2019	WI-FIN	$177,937
Dreambuilder Investments, LLC			investor protection violation	2019	WI-FIN	$5,000
Legacy Prosperity Partners, LLC			investor protection violation	2018	WI-FIN	$24,196
MFB Investments, LLC			investor protection violation	2018	WI-FIN	$211,539
The Investment Counsel, LLC			investor protection violation	2016	WI-FIN	$60,000
Herget Group, LLC			investor protection violation	2015	WI-FIN	$166,400
The Prudential Investment Portfolios, Inc.			investor protection violation	2007	WI-FIN	$5,000
Raymond James Financial Services, Inc.	Raymond James Financial	financial services	investor protection violation	2007	WI-FIN	$50,000
Merrill Lynch Pierce Fenner & Smith Inc.	Bank of America	financial services	investor protection violation	2005	WI-FIN	$7,000
SB Financial Group			investor protection violation	2020	WI-FIN	$25,000
UAB Mid West Group			investor protection violation	2020	WI-FIN	$250,000
Geaux Global			investor protection violation	2020	WI-FIN	$155,000
CTOption			investor protection violation	2020	WI-FIN	$24,000
Kaboom USA, LLC and SKEARCH, LLC			investor protection violation	2021	WI-FIN	$5,000
PV Wealth Advisors, LLC			investor protection violation	2022	WI-FIN	$197,944
Prosper Wealth Management, LLC			investor protection violation	2022	WI-FIN	$1,683,727
Morrow Capital LLC and More Solar LLC			investor protection violation	2022	WI-FIN	$144,000