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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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Company sort iconCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearAgencyPenalty Amount
Transpo Electronics, Inc. economic sanction violation2003OFAC$15,500
TRANSCOMMUNITY FINANCIAL CORP. investor protection violation2006VA-SEC$58,900
TransCoastal Partners, LLC investor protection violation2007CA-DFPI$25,000
Transchemical Incorporated tax violations2022ATTTB$15,000
Transamerica Financial Advisors, Inc.Aegonfinancial servicesinvestor protection violation2019SEC$6,023,072
Transamerica Financial AdvisorsAegonfinancial servicesinvestor protection violation2014SEC$1,107,248
Transamerica Asset Management, Inc.Aegonfinancial servicesinvestor protection violation2020SEC$5,946,782
Trans World Animal Health, LLC investor protection violation2011IN-SEC$10,000
Trans Pacific National Bank economic sanction violation2011OFAC$12,500
Train, Babcock Advisors LLC investor protection violation2017SEC$1,700,725
Trager, L.L.C. investor protection violation2019AZ-CC$50,000
Tradition Securities and Derivatives, LLC investor protection violation2021SEC$1,787,459
Trading Epic investor protection violation2019MO-SEC$148,335
Tradier Brokerage Inc. investor protection violation2021SEC$50,000
TradeZero America, Inc. investor protection violation2022SEC$100,000
TradeZero America Inc. investor protection violation2022SEC$100,000
Tradewale LLC and Tradewale Managed Fund investor protection violation2023CFTC$2,853,810
TradeStation Securities, Inc. investor protection violation2022SEC$425,000
TradeStation Crypto, Inc. investor protection violation2024SEC$1,500,000
TRADESTATION CRYPTO, INC investor protection violation2024MULTI-FIN$1,500,000
TradeStation Crypto securities issuance or trading violation2024MULTI-AG$1,500,000
TradeRight Corp. investor protection violation2008IL-SEC$10,000
Trader's Way investor protection violation2017MO-SEC$12,000
Tradeology.com, Inc. investor protection violation2010WA-FIN$7,000
Tradenet Capital Markets Ltd. investor protection violation2020SEC$130,000
TradeMasters USA, LLC investor protection violation2018CFTC$674,504
Trademark INT PTT AB investor protection violation2020CA-DFPI$7,500
Trademark Capital Management, LLC and Blue Investments, LLC investor protection violation2009AZ-CC$3,100,880
Trade-PMR Inc. investor protection violation2016CT-SEC$75,000
Trade-PMR Inc. investor protection violation2018TX-SEC$25,000
Trade Arbed, Inc economic sanction violation2004OFAC$5,500
tpSEF, Inc. investor protection violation2022CFTC$850,000
TPG Capital Advisors, LLCTPG Capitalprivate equity (including portfolio companies)investor protection violation2017SEC$12,487,620
TPG CapitalTPG Capitalprivate equity (including portfolio companies)investor protection violation2001SEC$50,000
TPG Advisors LLC investor protection violation2016SEC$328,437
TPEG Securities, LLC investor protection violation2020CT-SEC$8,950
Toyota Motor Credit CorporationToyotamotor vehicleseconomic sanction violation2013OFAC$23,400
Town Residential investor protection violation2015NY-AG$7,500
Towle Farm Mortgage Investors, LLC investor protection violation2018NH-BSR$8,000
Towle Farm Mortgage Investors, LLC investor protection violation2019NH-BSR$24,350
Tower Research Capital LLC investor protection violation2019CFTC$67,493,849
Touradji Capital Management, L.P. investor protection violation2011SEC$1,303,336
Touchstone Funds Group Trust investor protection violation2013AK-DBS$5,000
Total Asia Associates PLT accounting fraud or deficiencies2023PCAOB$80,000
Torrey Pines Securities, Inc. investor protection violation2001FINRA$14,000
Toronto-Dominion BankToronto-Dominion Bankfinancial serviceseconomic sanction violation2017OFAC$516,105
Tops Markets, Inc.Tops Marketsretailingtax violations2000NY-AG$21,000
Topline Appliance Center tax violations2014NY-AG$1,560,000
Top of Texas Financial Strategies Inc. investor protection violation2003TX-SEC$5,000
Tonkawa Tribe anti-money-laundering deficiencies2006FINCEN$1,000,000
Toll Holdings Limited economic sanction violation2022OFAC$6,131,855
TokenLot LLC investor protection violation2018SEC$478,929
Together We Profit investor protection violation2022MI-SEC$10,000
Tofasco of America, Inc. economic sanction violation2014OFAC$21,375
Toews Corporation investor protection violation2022SEC$150,000
Todderwatch.com, Inc. investor protection violation2002FL-OFR$25,000
TNS North America, Inc. tax violations2012CT-AG$5,798
TMTE, Inc., a/k/a Chase Metals, LLC investor protection violation2020MO-SEC$38,000
TMTE, Inc. et al. investor protection violation2022MT-FIN$1,282,738
TMTE, Inc. aka Metals.com aka Chase Metals, Inc. investor protection violation2020AK-DBS$700,000
TMA Franchise Systems, Inc. d/b/a The Mosquito Authority investor protection violation2015VA-SEC$22,500
Titan Wealth Management LLC investor protection violation2007TX-SEC$9,000
Titan Trade Club investor protection violation2018MN-FIN$10,000
Titan Securities investor protection violation2023TX-INS$20,000
Titan Global Capital Management USA LLC investor protection violation2023SEC$1,042,454
Titan Fund Management, LLC investor protection violation2022SEC$95,000
Titan Capital Real Estate Fund I, LLC investor protection violation2019AZ-CC$3,076,315
Tital Funding Group 1, LLC and Titan Capital Holdings LLC investor protection violation2019AZ-CC$39,740
TISICS, LLC tax violations2016CT-AG$9,900
TIRE RECYCLERS, INC. investor protection violation2001VA-SEC$15,000
Tin Thanh Electricity Steam Industrial Corp. and Tin Thanh Oakwood Bank Corp. banking violation2018MN-FIN$35,000
Time Warner Inc. et al. accounting fraud or deficiencies2006PA-AG$23,000,000
Time Warner Cable Enterprises LLCCharter Communicationstelecommunicationstax violations2015CT-AG$6,900
Time Warner accounting fraud or deficiencies2006AK-AG$25,000,000
Timberline Buildings, LLC tax violations2013CT-AG$6,638
Tilden Loucks & Woodnorth and LLC, Lasalle St. Securities, LLC investor protection violation2012SEC$200,000
Tiffany Capital Advisors, Inc. investor protection violation2001SEC$40,000
Tierion, Inc. investor protection violation2020SEC$250,000
Tier One, Inc. investor protection violation2007SEC$85,500
Tidewell DeWitt Investment Services, LLC investor protection violation2007AL-SEC$7,262
Tidewater Financial Group PC investor protection violation2016NH-BSR$14,500
Tiburon Research Group, Inc. investor protection violation2018CA-DFPI$5,000
Tiber Creek Corp. investor protection violation2019SEC$209,797
TIAA-CREF Individual & Institutional Services, LLCTIAAfinancial servicesinvestor protection violation2019SEC$2,395,722
TIAA-CREF Individual & Institutional Services LLCTIAAfinancial servicesinvestor protection violation2024SEC$2,200,000
Thunderstruck Investments Limited investor protection violation2017MO-SEC$122,092
Thrivent Investment Management Inc.Thrivent Financialfinancial servicesinvestor protection violation2020IL-SEC$400,000
Thrive Learning Institute investor protection violation2009IL-SEC$22,734
Thriftway Food Mart anti-money-laundering deficiencies2016FINCEN$10,000
Three Nines Minerals Ltd. Et al. investor protection violation2013OR-FIN$474,000
Three Bridge Wealth Advisors, LLC investor protection violation2019SEC$60,000
Thoroughbred Financial Services, LLC investor protection violation2018SEC$1,108,618
Thornton Investment Management PLLC investor protection violation2020VT-FIN$30,000
Thorne Trading & Investment Management investor protection violation2014OR-FIN$5,000
Thor Technologies, Inc. investor protection violation2023SEC$1,053,193
Thor Industries Inc.Thor Industriesmotor vehiclesaccounting fraud or deficiencies2011SEC$1,000,000
Thomson Financial Advisors LLC investor protection violation2019WA-FIN$22,000
Thompson Price Holding Inc. investor protection violation2009SEC$288,815
Thompson Consulting Inc. investor protection violation2010SEC$400,000
Thome Financial Management, LLC investor protection violation2012WA-FIN$17,500
Thomas Weisel Partners LLCStifel Financialfinancial servicesinvestor protection violation2004SEC$12,500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.