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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
1-800-Flowers.com Franchise Co., Inc. investor protection violation2014MD-SEC$5,000
1-800DAYTRADE.COM, Inc. investor protection violation2000FINRA$25,000
100 Miles, LLC investor protection violation2010MD-SEC$20,000
11th Hour Funding, LLC investor protection violation2020MI-SEC$20,000
151 East Post Road Corp. tax violations2014CT-AG$10,665
19 Pinney Street Corp. tax violations2012CT-AG$9,780
1Globe Capital, LLC investor protection violation2020SEC$200,000
1st Discount Brokerage, Inc. investor protection violation2012SEC$40,000
1st Financial Bank U.S.A.1st Financial Bank USAfinancial servicesbanking violation2005WI-AG$43,142
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 Global Advisors, Inc. investor protection violation2021SEC$16,873,153
1st Global Capital Corp. investor protection violation2006SEC$100,000
2 West, Inc., et al. investor protection violation2016SEC$2,025,179
2020 Company, LLC tax violations2012CT-AG$6,900
21 Century Power investor protection violation2001OR-FIN$25,000
211 Ventures LLC investor protection violation2013SEC$2,300,000
212 Advisory Group, LLC investor protection violation2019GA-SEC$20,000
21st Century Investing Advisors Corp. investor protection violation2014FL-OFR$7,500
21st Century Satellite Communications, Inc. investor protection violation2002AZ-CC$267,000
21st Sentry Technologies, Inc. and Futurecom Global, Inc. investor protection violation2010IL-SEC$20,000
21ST. CENTURY TECHNOLOGIES FUNDING investor protection violation2001VA-SEC$5,000
21ST. CENTURY TECHNOLOGIES LLC investor protection violation2001VA-SEC$5,000
24XploitTrade investor protection violation2021WA-SEC$21,000
2946033 CANADA, Inc. dba The Mad Science Group investor protection violation2013MD-SEC$18,500
3-CG, LLC and Choice Property Group, LLC investor protection violation2012AZ-CC$6,216,949
360 Financial, Inc. investor protection violation2017SEC$40,000
360 Painting, LLC investor protection violation2021VA-SEC$11,000
360 Tour Designs & Marketing, LLC investor protection violation2019VA-SEC$6,000
37th Parallel Properties Investment Group, LLC investor protection violation2018VA-SEC$18,000
39 Lispenard Project, LLC investor protection violation2015NY-AG$5,000
3C Advisors & Associates, Inc. investor protection violation2016SEC$7,500
3C Electrical Co, Inc. tax violations2014CT-AG$11,975
3D Money, LLC et al. investor protection violation2020WA-FIN$13,312
3D/L Capital Management, LLC investor protection violation2024SEC$285,607
3M Company3M Companymiscellaneous manufacturingeconomic sanction violation2023OFAC$9,618,477
3M Imtec Corporation3M Companymiscellaneous manufacturingeconomic sanction violation2010OFAC$125,000
3SI Security Systems, Inc. tax violations2014CT-AG$13,343
3T Options, LLC investor protection violation2013AZ-CC$151,919
4 L.I.F.E., Inc. investor protection violation2008CT-SEC$150,000
47 East 34th Street (NY), LP tax violations2015NY-AG$4,446,153
4Rivers Wealth Management, LLC investor protection violation2021PA-BKG$5,000
5 Star Investment Group, LLC investor protection violation2015IN-SEC$5,000
58th Presidential Inaugural Committee and Trump Organization LLC et al. tax violations2022DC-AG$750,000
5A Holdings, LLC investor protection violation2018MO-SEC$3,548,483
603 Financial, Inc. dba Goddard Financial Planning investor protection violation2020WA-SEC$15,000
7 Oaks Pharmaceutical Corp. investor protection violation2014SC-SEC$50,000
72 Vest Level Three LLC investor protection violation2023IL-SEC$70,000
72Vest Level Three, LLC investor protection violation2016IL-SEC$5,000
7S Oil & Gas, LLC investor protection violation2017SEC$750,000
8000 Inc. investor protection violation2015SEC$6,500,000
808 Investments LLC et al. investor protection violation2009TX-SEC$10,000
911 RESTORATION FRANCHISE, INC investor protection violation2015VA-SEC$7,000
99 Crossings LLC investor protection violation2020OR-FIN$50,000
A & A Drug Co. tax violations2012CT-AG$5,182
A Better Financial Plan LLC investor protection violation2019PA-BKG$490,000
A Chicago Convention Center, LLC and Intercontinental Regional Center Trust of Chicago, LLC investor protection violation2014SEC$12,950,000
A&F Financial Securities, Inc. investor protection violation2011CT-SEC$20,000
A&O Life Fund, LLC et al. investor protection violation2009IL-SEC$20,000
A&O Resource Management, Ltd. investor protection violation2007MN-FIN$6,000
A&S World Trading Incorporated anti-money-laundering deficiencies2022FINCEN$275,000
A. Kazemi & Co., Inc. economic sanction violation2003OFAC$8,262
A. Neff Associates investor protection violation2017PA-BKG$5,000
A.C.L.N. Ltd. and Scandinavian Car Carriers investor protection violation2004SEC$27,000,000
A.G. Edwards & Sons Inc.Wells Fargofinancial servicesinvestor protection violation2003NE-DBF$20,000
A.G. Edwards & Sons Inc.Wells Fargofinancial servicesinvestor protection violation2007SC-SEC$575,000
A.G. Edwards & Sons Inc.Wells Fargofinancial servicesinvestor protection violation2008TX-SEC$5,000
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2006SEC$125,000
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2008NJ-AG$387,000
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2017MO-SEC$25,672
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2000FINRA$5,890,000
A.G. Edwards and Sons Inc.Wells Fargofinancial serviceseconomic sanction violation2008OFAC$122,358
A.L. Russell & Associates LLC and Re-Star LLC and Re-Star Holdings LLC investor protection violation2012AZ-CC$2,016,570
A.R. Schmeidler & Co., Inc. investor protection violation2013SEC$1,011,564
AAA Venture Business Brokers, Ltd. investor protection violation2014IL-SEC$27,000
AACHEN AUTO K E B INC dba TFN GROUP INC dba ITSONLY5COM investor protection violation2023MI-SEC$10,000
AAMCO TRANSMISSIONS, INC.Icahn Enterprisesdiversifiedinvestor protection violation2013VA-SEC$10,000
AAR International Inc.AAR Corp.aerospace and military contractingeconomic sanction violation2003OFAC$9,400
Aargauische Kantonalbank tax violations2015DOJ_TAX$1,983,000
Aban Offshore Limited economic sanction violation2017OFAC$17,500
AbbyBank banking violation2012FDIC$12,500
ABBYBANK banking violation2010FDIC$8,500
ABBYBANK banking violation2010FDIC$7,000
ABC Financial Planning investor protection violation2017NH-BSR$15,000
ABCO Energy Inc. and ABCO Solar Inc. investor protection violation2024AZ-CC$8,666,559
ABCSP Inc. investor protection violation2010MD-SEC$35,000
ABM Management, Inc. et al. investor protection violation2017MO-SEC$2,605,226
ABN AMROABN AMROfinancial serviceseconomic sanction violation2005NY-DFS$20,000,000
ABN AMRO Bank N.V. renamed the Royal Bank of Scotland N.V.ABN AMROfinancial serviceseconomic sanction violation2010DOJ_CRIMINAL$500,000,000
ABN AMRO Bank, IncABN AMROfinancial serviceseconomic sanction violation2004OFAC$25,847
ABN AMRO Bank, N.V.ABN AMROfinancial serviceseconomic sanction violation2006OFAC$40,000,000
ABN AMRO Bank, N.V.ABN AMROfinancial servicesinvestor protection violation2013SEC$5,547,408
ABN AMRO Clearing Chicago LLCABN AMROfinancial servicesinvestor protection violation2020SEC$586,000
ABN AMRO IncorporatedABN AMROfinancial servicesinvestor protection violation2001SEC$200,000
Abousaoui Financial, LLC investor protection violation2019IN-SEC$119,555
ABS Manager investor protection violation2015SEC$1,087,648
Abshier Webb Donnelly & Baker Inc. investor protection violation2009TX-SEC$25,000
Abtech Holdings, Inc.? investor protection violation2018SEC$133,414
Abu Nawas Beverage Company LLC tax violations2022ATTTB$25,000
Acadia Asset Management, LLC investor protection violation2015SEC$354,115
ACCA Enterprises LLC investor protection violation2017NM-SEC$10,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.