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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
58th Presidential Inaugural Committee and Trump Organization LLC et al. tax violations2022DC-AG$750,000
5 Star Investment Group, LLC investor protection violation2015IN-SEC$5,000
4Rivers Wealth Management, LLC investor protection violation2021PA-BKG$5,000
47 East 34th Street (NY), LP tax violations2015NY-AG$4,446,153
4 L.I.F.E., Inc. investor protection violation2008CT-SEC$150,000
3T Options, LLC investor protection violation2013AZ-CC$151,919
3SI Security Systems, Inc. tax violations2014CT-AG$13,343
3M Imtec Corporation3M Companymiscellaneous manufacturingeconomic sanction violation2010OFAC$125,000
3M Company3M Companymiscellaneous manufacturingeconomic sanction violation2023OFAC$9,618,477
3D/L Capital Management, LLC investor protection violation2024SEC$285,607
3D Money, LLC et al. investor protection violation2020WA-FIN$13,312
3C Electrical Co, Inc. tax violations2014CT-AG$11,975
3C Advisors & Associates, Inc. investor protection violation2016SEC$7,500
39 Lispenard Project, LLC investor protection violation2015NY-AG$5,000
37th Parallel Properties Investment Group, LLC investor protection violation2018VA-SEC$18,000
360 Tour Designs & Marketing, LLC investor protection violation2019VA-SEC$6,000
360 Painting, LLC investor protection violation2021VA-SEC$11,000
360 Financial, Inc. investor protection violation2017SEC$40,000
3-CG, LLC and Choice Property Group, LLC investor protection violation2012AZ-CC$6,216,949
2946033 CANADA, Inc. dba The Mad Science Group investor protection violation2013MD-SEC$18,500
24XploitTrade investor protection violation2021WA-SEC$21,000
21ST. CENTURY TECHNOLOGIES LLC investor protection violation2001VA-SEC$5,000
21ST. CENTURY TECHNOLOGIES FUNDING investor protection violation2001VA-SEC$5,000
21st Sentry Technologies, Inc. and Futurecom Global, Inc. investor protection violation2010IL-SEC$20,000
21st Century Satellite Communications, Inc. investor protection violation2002AZ-CC$267,000
21st Century Investing Advisors Corp. investor protection violation2014FL-OFR$7,500
212 Advisory Group, LLC investor protection violation2019GA-SEC$20,000
211 Ventures LLC investor protection violation2013SEC$2,300,000
21 Century Power investor protection violation2001OR-FIN$25,000
2020 Company, LLC tax violations2012CT-AG$6,900
2 West, Inc., et al. investor protection violation2016SEC$2,025,179
1st Global Capital Corp. investor protection violation2006SEC$100,000
1st Global Advisors, Inc. investor protection violation2021SEC$16,873,153
1st Financial Bank USA1st Financial Bank USAfinancial servicesbanking violation2010FDIC$10,140,000
1ST FINANCIAL BANK USA1st Financial Bank USAfinancial servicesbanking violation2009FDIC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $140,000
1st Financial Bank U.S.A.1st Financial Bank USAfinancial servicesbanking violation2005WI-AG$43,142
1st Discount Brokerage, Inc. investor protection violation2012SEC$40,000
1Globe Capital, LLC investor protection violation2020SEC$200,000
19 Pinney Street Corp. tax violations2012CT-AG$9,780
151 East Post Road Corp. tax violations2014CT-AG$10,665
11th Hour Funding, LLC investor protection violation2020MI-SEC$20,000
100 Miles, LLC investor protection violation2010MD-SEC$20,000
1-800DAYTRADE.COM, Inc. investor protection violation2000FINRA$25,000
1-800-Flowers.com Franchise Co., Inc. investor protection violation2014MD-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.