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Violation Tracker Summary for Offense Group

Offense Group: financial offenses
Penalty Total since 2000: $287,662,850,737
Number of Penalty Records: 11,080
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$41,333,342,096156
UBS$27,713,994,893137
JPMorgan Chase$27,158,534,167124
Citigroup$19,750,393,935106
Deutsche Bank$15,638,617,27868
Goldman Sachs$13,128,062,84158
NatWest Group PLC$12,129,162,85723
Wells Fargo$10,735,730,989130
Morgan Stanley$9,905,512,956168
BNP Paribas$9,167,798,00012

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
Thomas Weisel Partners LLCStifel Financialfinancial servicesinvestor protection violation2004SEC$12,500,000
Thomas Weisel Partners LLCStifel Financialfinancial servicesinvestor protection violation2006CT-SEC$52,480
Thomas Weisel Partners LLCStifel Financialfinancial servicesinvestor protection violation2005MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $5,000,000
Thomas J. Trumeter accounting fraud or deficiencies2017PCAOB$15,000
Thomas George Associates Ltd. tax violations2016CT-AG$7,625
Thomas G. Grace Advisors investor protection violation2008MN-FIN$5,000
Thomas Christe Swimming Pool Service and Maintenance, Inc. tax violations2016CT-AG$9,855
THL Managers V, LLC and THL Managers VI, LLC investor protection violation2018SEC$6,506,016
Third Ridge Capital LP investor protection violation2005ND-SEC$5,000
Third Eye Systems, LLC investor protection violation2001WA-FIN$9,000
Thermon Manufacturing CompanyThermon Group Holdingsindustrial equipmenteconomic sanction violation2009OFAC$14,613
TherapeuticsMD Inc. investor protection violation2019SEC$200,000
Theorem Fund Services LLC investor protection violation2023SEC$122,271
Theodore J. Hogan & Associates, LLC investor protection violation2011AZ-CC$2,253,310
THEODORE J. HOGAN & ASSOCIATES investor protection violation2007VA-SEC$53,117
Theglobe.com investor protection violation2001NY-AG$100,000
The Yorkshire Group, Inc. investor protection violation2016CFTC$1,569,801
The Yellowstone Bank banking violation2021FED$9,500
The Winning Edge Financial Group, Inc. investor protection violation2022SEC$10,000
The Wilson Williams Financial Group investor protection violation2006TX-SEC$65,000
The Williams Financial Group Inc. investor protection violation2000TX-SEC$10,000
The Washington Trust Co. tax violations2015CT-AG$46,740
THE UNION BANK banking violation2003FDIC$5,600
The Union Bank banking violation2019FDIC$12,400
The Undetectables Movie, LLC investor protection violation2018GA-SEC$50,000
The U.S./Cuba Labor Exchange economic sanction violation2006OFAC$13,950
The Tri-County Bank banking violation2023NE-DBF$15,000
The Stock Exchange Trading Company, LLC investor protection violation2019MO-SEC$28,379
The Spaghetti Shop of Mid-America, Inc. investor protection violation2006VA-SEC$38,000
The Source investor protection violation2020NC-SEC$5,000
The Somerville National Bank banking violation2014OCC$8,770
The Social Equity Group, Inc. investor protection violation2004CA-DFPI$9,000
The Social Equity Group, Inc. investor protection violation2014CA-DFPI$35,000
The Short Interest, LLC and The Short Manager, LLC investor protection violation2021OR-FIN$25,000
The Sheffield Group investor protection violation2000OR-FIN$25,000
THE SENIOR'S CHOICE INC. investor protection violation2010VA-SEC$17,500
The Savings Bank banking violation2017FDIC$7,200
The RWS Group, Inc. investor protection violation2004MO-SEC$16,120
THE ROYAL BANK OF SCOTLAND GROUP PLCNatWest Group PLCfinancial servicesbanking violation2013FED$50,000,000
The Rockwell Financial Group, Inc. investor protection violation2003DE-SEC$15,000
THE RICHLAND TRUST COMPANYPark National Corp.financial servicesbanking violation2006FDIC$11,100
The Rhodes Company investor protection violation2000OR-FIN$7,500
The Reserve Fund investor protection violation2000TX-SEC$150,000
The Reliable Automatic Sprinkler Co. Inc. tax violations2015CT-AG$13,755
The Real Estate LLC and Safety Solutions USA, LLC investor protection violation2011MO-SEC$36,595
The Prudential Investment Portfolios, Inc. investor protection violation2007WI-FIN$5,000
THE PROVIDENT BANK banking violation2003FDIC$10,000
The Providence Group dba The Providence Investment Club investor protection violation2001FL-OFR$5,000
The Private Mortgage Fund, LLC investor protection violation2007CT-SEC$20,000
The Princeton Partnership, LLC investor protection violation2015MO-SEC$3,016,710
THE PRAIRIE STATE BANK banking violation2005FDIC$16,500
THE POCA VALLEY BANK, INC. banking violation2002FDIC$5,500
The Planning Group, Inc. dba Asset Strategies, Inc. investor protection violation2006MO-SEC$56,850
The Phoenix Companies, Inc. investor protection violation2014SEC$100,000
The Phoenix Companies, Inc. investor protection violation2014SEC$375,000
THE PEOPLES STATE BANK banking violation2001FDIC$10,000
THE PEOPLES BANK OF BULLITT COUNTY banking violation2002FDIC$9,800
THE PEOPLES BANK OF BULLITT COUNTY banking violation2011FDIC$7,250
THE PEOPLES BANK & TRUST COMPANY banking violation2004FDIC$17,900
THE PEOPLES BANK banking violation2010FDIC$5,500
The Parrish Group, LLC investor protection violation2019SEC$184,767
The Park National BankPark National Corp.financial servicesbanking violation2011OCC$30,415
The Park Bank banking violation2012FDIC$41,000
The Park Avenue Bank, National Association banking violation2000OCC$55,000
The Options Clearing Corporation investor protection violation2019SEC$15,000,000
The Options Clearing Corporation investor protection violation2023CFTC$5,000,000
The Options Clearing Corporation investor protection violation2023SEC$17,000,000
THE OLD FORT BANKING COMPANY banking violation2012FDIC$5,815
THE OHIO VALLEY BANK COMPANY banking violation2011FDIC$9,600
The O.N. Equity Sales Company investor protection violation2012OK-SEC$10,000
The New Wealth, LLC and Main Street Estate Group, Inc. and Jenny DB Properties, LLC investor protection violation2018MD-SEC$3,999,715
The New Dimension Group, LLC investor protection violation2012VA-SEC$11,000
The Mortgage Specialists, Inc. anti-money-laundering deficiencies2015NH-BKG$55,000
The Morgan Group investor protection violation2000FL-OFR$15,000
The Monitor Bank banking violation2015FDIC$9,600
The McMahon Team LLC investor protection violation2019PA-BKG$10,000
The McGraw Co. tax violations2015CT-AG$18,120
The McCormick Group, LLC investor protection violation2011IN-SEC$5,000
The McCall Business Group, LLC dba MBG Private Trading investor protection violation2007CT-SEC$220,000
The Maxim Group, LLC investor protection violation2011IL-SEC$60,000
The Matomi Group LLC investor protection violation2011IL-SEC$10,000
The Marquie Group Inc. investor protection violation2023SEC$10,000
The Lighthouse Events, LLC investor protection violation2020SEC$3,381,686
The Legal Funding Group of Georgia, LLC investor protection violation2022SEC$37,500
The Lampo Group, LLC investor protection violation2016MO-SEC$55,000
The Kodiak Investment Group, L.L.C. investor protection violation2009AZ-CC$382,475
THE KANSAS STATE BANK banking violation2011FDIC$5,000
The Kane Capital Investment Group, LLC investor protection violation2019CFTC$1,232,510
The Joseph Project investor protection violation2021AZ-CC$75,000
The Joseph Project investor protection violation2021AZ-CC$9,210,000
The Jaffe Financial Group Inc. investor protection violation2019FL-OFR$15,001
The Investment Counsel, LLC investor protection violation2016WI-FIN$60,000
The Investment Center Inc. investor protection violation2010NJ-AG$75,000
The Investment Center Inc. investor protection violation2016TX-SEC$50,000
The Investment Advisory Group, L.L.C. investor protection violation2011AZ-CC$13,200
The Insight Advisory Group, LLC dba Insight Total Stewardship investor protection violation2021PA-BKG$10,000
The Huntington Investment Company investor protection violation2019SEC$207,946
The Huntington Investment Co. investor protection violation2006CT-SEC$13,150
The Hubbard Group, PC and Holding Group International, Ltd. investor protection violation2010MO-SEC$27,450
The Hondo National Bank banking violation2014OCC$7,000
The Home Email Business Corp. investor protection violation2016TN-SEC$5,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.