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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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CompanyCurrent ParentCurrent Parent Industry sort iconPrimary Offense TypeYearAgencyPenalty Amount
Highland Capital Partners LLC investor protection violation2022SEC$95,000
Asset Management Group of Bank of Hawaii investor protection violation2022SEC$45,000
Canaan Management, LLC investor protection violation2022SEC$95,000
Loop Capital Markets, LLC investor protection violation2022SEC$105,456
TBG Holdings Corporation investor protection violation2022SEC$100,000
Buckman Advisory Group, LLC investor protection violation2022SEC$75,000
Hudson Advisors L.P. and Lone Star Global Acquisitions Ltd. investor protection violation2022SEC$79,700,000
SparkLabs Global Ventures Management LLC and SparkLabs Management, LLC investor protection violation2022SEC$200,000
Ambassador Advisors, LLC investor protection violation2022SEC$622,642
Legacy Funding Services, LLC investor protection violation2022SEC$60,000
BiscayneAmericas Advisers L.L.C. investor protection violation2022SEC$135,000
Lend Academy Investments, LLC investor protection violation2022SEC$75,000
Ridgeview Asset Management Partners, LLC investor protection violation2022SEC$70,000
QVR, LLC investor protection violation2022SEC$50,000
Polaris Equity Management, Inc. investor protection violation2022SEC$50,000
Garrison Investment Group LP investor protection violation2022SEC$330,000
Titan Fund Management, LLC investor protection violation2022SEC$95,000
Steward Capital Management, Inc. investor protection violation2022SEC$75,000
NPA Asset Management, LLC investor protection violation2022SEC$711,628
Charles Pratt & Company, LLC investor protection violation2022SEC$100,000
Perceptive Advisors LLC investor protection violation2022SEC$1,500,000
Aventura Capital Management, LLC investor protection violation2022SEC$938,756
Energy Innovation Capital Management, LLC investor protection violation2022SEC$853,681
Kovack Advisors, Inc. investor protection violation2022SEC$899,513
The Bancorp, Inc. investor protection violation2022SEC$1,750,000
CKB168 Holdings Ltd. Et al. investor protection violation2022SEC$182,624,545
Eagle Bancorp, Inc. investor protection violation2022SEC$13,350,493
IMC Chicago, LLC investor protection violation2022SEC$125,000
Angel Oak Capital Advisors, LLC investor protection violation2022SEC$1,750,000
GreneCo, LLC investor protection violation2022SEC$414,364
Womack Investment Advisers, Inc. investor protection violation2022SEC$677,955
IFP Advisors, LLC investor protection violation2022SEC$400,000
Surgalign Holdings, Inc. investor protection violation2022SEC$2,000,000
Deccan Value Investors LP investor protection violation2022SEC$1,139,501
Crown Bridge Partners, LLC investor protection violation2022SEC$9,200,908
Aegis Capital Corp. investor protection violation2022SEC$2,520,865
TradeStation Securities, Inc. investor protection violation2022SEC$425,000
Mesirow Financial Investment Management, Inc. investor protection violation2022SEC$752,834
Private Advisor Group, LLC investor protection violation2022SEC$5,800,000
Health Insurance Innovations investor protection violation2022SEC$11,000,000
EIX Acquisition Company Corp. investor protection violation2022SC-SEC$40,000
StartEngine Crowdfunding, Inc. investor protection violation2022TX-SEC$7,500
Independent Financial Planning, LLC investor protection violation2022VA-SEC$19,500
VBit Technologies Inc investor protection violation2022WA-SEC$15,000
PV Wealth Advisors, LLC investor protection violation2022WI-FIN$197,944
Prosper Wealth Management, LLC investor protection violation2022WI-FIN$1,683,727
Sparkster Ltd investor protection violation2022SEC$35,000,000
Wave Equity Partners LLC investor protection violation2022SEC$325,000
Toews Corporation investor protection violation2022SEC$150,000
Arcadia Wealth Management, Inc. investor protection violation2022SEC$90,000
La Colombe Distilling, LLC tax violations2022ATTTB$61,510
Savage Arms, Inc. tax violations2022ATTTB$800,000
CTAX Series, LLC investor protection violation2022CFTC$2,358,661
Prime Agricultural Investors, Inc. investor protection violation2022CFTC$563,459
Main & Prospect Capital, LLC investor protection violation2022CFTC$7,606,395
Ztegrity, Inc. investor protection violation2022CFTC$943,570
BGC Derivative Markets, L.P. investor protection violation2022CFTC$1,900,000
CX Futures Exchange, L.P. investor protection violation2022CFTC$6,500,000
tpSEF, Inc. investor protection violation2022CFTC$850,000
Quantum Financial Network, LLC investor protection violation2022CFTC$192,894
Asset Risk Management, LLC investor protection violation2022CFTC$200,000
Tanius Technology, LLC investor protection violation2022CFTC$600,000
COFCO Corp. andChinatex Corp., Ltd. investor protection violation2022CFTC$720,000
XP Investments US, LLC investor protection violation2022CFTC$500,000
bZeroX, LLC investor protection violation2022CFTC$250,000
Goldline, Inc. andA-Mark Precious Metals, Inc. investor protection violation2022CFTC$1,077,801
First Secure Bank and Trust Co. banking violation2022FDIC$11,625
Customers Bank banking violation2022FED$41,500
Bittrex, Inc. economic sanction violation2022OFAC$24,280,829
Tango Card, Inc. economic sanction violation2022OFAC$116,048
CFM Indosuez Wealth economic sanction violation2022OFAC$401,039
CA Indosuez Switzerland S.A. economic sanction violation2022OFAC$720,258
Sterling Bank and Trust, FSB banking violation2022OCC$6,000,000
Hall & Company Certified Public Accountants & Consultants, Inc. accounting fraud or deficiencies2022PCAOB$30,000
Spielman Koenigsberg & Parker, LLP accounting fraud or deficiencies2022PCAOB$150,000
Liebman Goldberg & Hymowitz LLP accounting fraud or deficiencies2022PCAOB$20,000
Shanghai Perfect C.P.A. Partnership accounting fraud or deficiencies2022PCAOB$20,000
Yarel + Partners accounting fraud or deficiencies2022PCAOB$35,000
Hay & Watson accounting fraud or deficiencies2022PCAOB$50,000
PIC Renegade Properties, LLC investor protection violation2022SEC$400,000
McDermott Investment Advisors, LLC investor protection violation2022SEC$304,262
Cetera Advisors, LLC and Cetera Advisor Networks, LLC investor protection violation2022SEC$8,605,470
Elegance Brands et al. investor protection violation2022SEC$2,500,000
RSM US LLP accounting fraud or deficiencies2022SEC$3,750,000
Cemtrex, Inc. investor protection violation2022SEC$2,200,000
Standard Oil Company, Inc. investor protection violation2022SEC$150,000
Bittrex, Inc. anti-money-laundering deficiencies2022FINCEN$5,000,000
LLC Wholesale Supply LLC money laundering2022USAO$98,000,000
Digital Access, LLC investor protection violation2022AL-SEC$13,500
Wealthcorp, LLC investor protection violation2022AZ-CC$1,564,446
Wenima Development LLC and I Am America investor protection violation2022AZ-CC$92,000
Money Never Sleeps LLC investor protection violation2022AZ-CC$655,885
The Financial Group, LLC investor protection violation2022AZ-CC$3,706,451
Infinity Capital Group, LLC investor protection violation2022CA-DFPI$125,000
First Command Brokerage Services, Inc. investor protection violation2022CO-SEC$63,232
Endeavor Global Partners Corp. and Endeavor Global Partners (HK) LTD investor protection violation2022CT-SEC$700,000
Olive Tree Ridge Investment Advisors LLC investor protection violation2022CT-SEC$5,000
District Capital Management LLC investor protection violation2022DC-DISB$10,090
Longman WealthCare Management, LLC investor protection violation2022FL-OFR$9,999
Windsor Jones, LLC investor protection violation2022IA-INS$2,398,373
Punch TV Studios, Inc. investor protection violation2022KY-FIN$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.