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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 Parent sort iconCurrent Parent IndustryPrimary Offense TypeYearAgencyPenalty Amount
Construction Specialties Inc. economic sanction violation2023OFAC$660,954
Blue & Co., LLC accounting fraud or deficiencies2023PCAOB$75,000
Ciro E. Adams, CPA, LLC accounting fraud or deficiencies2023PCAOB$40,000
Jendrach Accounting and Professional Services accounting fraud or deficiencies2023PCAOB$25,000
K G Somani & Co. LLP accounting fraud or deficiencies2023PCAOB$125,000
Moore MSLL Lima Lucchesi Auditores e Contadores Ltda. accounting fraud or deficiencies2023PCAOB$25,000
RAM Associates & Company LLC accounting fraud or deficiencies2023PCAOB$150,000
AJ Robbins CPA, LLC accounting fraud or deficiencies2023PCAOB$150,000
BPM LLP accounting fraud or deficiencies2023PCAOB$50,000
Mancera, S.C. accounting fraud or deficiencies2023PCAOB$40,000
MSPC Certified Public Accountants and Advisors, A Professional Corporation accounting fraud or deficiencies2023PCAOB$30,000
Plante & Moran, PLLC accounting fraud or deficiencies2023PCAOB$40,000
Crowe U.K. LLP accounting fraud or deficiencies2023SEC$750,000
Bittrex Inc. et al. investor protection violation2023SEC$24,000,000
Houlihan Lokey Capital, Inc. investor protection violation2023SEC$15,000,000
Moelis & Company LLC investor protection violation2023SEC$10,000,000
Theorem Fund Services LLC investor protection violation2023SEC$122,271
Exchange Traded Managers Group LLC investor protection violation2023SEC$4,000,000
Vika Ventures LLC investor protection violation2023SEC$8,929,120
Ustocktrade LLC investor protection violation2023SEC$75,000
Summitcrest Capital, Inc. investor protection violation2023SEC$23,181,761
Valo Holdings Group investor protection violation2023SEC$668,240
DST Asset Manager Solutions, Inc. investor protection violation2023SEC$500,000
Malvern Bancorp, Inc. investor protection violation2023SEC$350,000
Ault Alliance, Inc. investor protection violation2023SEC$700,000
Sica Wealth Management, LLC and Circle Squared Alternative Investments, LLC investor protection violation2023SEC$584,333
Allied Wine Corp. tax violations2023ATTTB$55,000
Shacksbury Holdings Inc. tax violations2023ATTTB$68,631
Cutwater Spirits, LLC tax violations2023ATTTB$169,850
Signature Selections, LLC tax violations2023ATTTB$90,000
Park Street Imports, LLC tax violations2023ATTTB$350,000
Financial Leverage LLC et al. investor protection violation2023AZ-CC$4,879,122
FXPIPSESSION, LLC investor protection violation2023AZ-CC$120,004
Atwood Consortium LLC investor protection violation2023CA-DFPI$5,000
Stock Option Academy dba Stock Option Coach investor protection violation2023CA-DFPI$435,000
Deridex, Inc. investor protection violation2023CFTC$100,000
Mirror Trading International Proprietary Limited investor protection violation2023CFTC$1,700,000,000
Opyn, Inc. investor protection violation2023CFTC$250,000
ZeroEx, Inc. investor protection violation2023CFTC$200,000
BareIt Media LLC investor protection violation2023CFTC$100,000
Blackstone Wealth Solutions LLC investor protection violation2023CT-SEC$100,000
Blackstone Wealth Solutions LLC investor protection violation2023CT-SEC$335,000
Parnassus Funds and Parnassus Income Funds investor protection violation2023CT-SEC$8,500
Black Diamond Lifeplan Fund et al. investor protection violation2023CT-SEC$15,000
Clipper Capital Group LLC and T&T Capital Partners LLC investor protection violation2023CT-SEC$10,000
Greenfield Financial Services, LLC investor protection violation2023CT-SEC$10,000
First Fed Bank banking violation2023FDIC$13,000
Leviathan Financial Management Corp and 323 HOLDINGS LLC investor protection violation2023IN-SEC$192,400
WEALTH PLANNING & MANAGEMENT, LLC investor protection violation2023IN-SEC$6,568
Suez Rajan Limited economic sanction violation2023DOJ_NATSEC$2,500,000
USA Financial Securities Corporation investor protection violation2023ME-SEC$5,000
IBN Financial Services Inc. investor protection violation2023ME-SEC$7,500
Cubic Pye Capital Management Inc. investor protection violation2023ME-SEC$16,548
Camara Enterprises LLC investor protection violation2023MD-SEC$300,000
Snows Acquisition, LLC investor protection violation2023MA-SEC$50,000
FINANCIAL PRODUCT DISTRIBUTORS, LLC investor protection violation2023MI-SEC$20,000
PAYMENT SERVICING GROUP investor protection violation2023MI-SEC$20,000
UPSTATE LAW GROUP, LLC investor protection violation2023MI-SEC$20,000
BAYTREE CAPITAL AMA LLC investor protection violation2023MI-SEC$30,000
AACHEN AUTO K E B INC dba TFN GROUP INC dba ITSONLY5COM investor protection violation2023MI-SEC$10,000
BATES INVESTMENT GROUP, LLC investor protection violation2023MI-SEC$30,000
H & Z Enterprises HI, LLC and H & Z Cultivation, LLC investor protection violation2023MO-SEC$100,000
Priority Management, LLC investor protection violation2023MO-SEC$43,250
Telcentris, Inc. investor protection violation2022NV-SEC$6,500
Hybrid Capital Group et al. investor protection violation2023NH-BSR$784,966
Ireland & Sando LLC investor protection violation2023ND-SEC$59,250
Womack Investment Advisers, Inc. investor protection violation2023OK-SEC$200,000
Greenbacker Renewable Energy Company, LLC investor protection violation2023OR-FIN$20,000
Bunsunad, LLC investor protection violation2023OR-FIN$43,000
Lansing Street Advisors, LLC investor protection violation2023PA-BKG$100,000
Megaannum Capital, LLC investor protection violation2023PA-BKG$20,000
WDC Advisors, LLC investor protection violation2023PA-BKG$50,000
TT Capital Management investor protection violation2023PA-BKG$30,000
K.R. Margetson Ltd accounting fraud or deficiencies2023PCAOB$30,000
Warren Averett, LLC accounting fraud or deficiencies2023PCAOB$200,000
GlennCap LLC investor protection violation2023SEC$3,000,000
Artemis Wealth Advisors, LLC investor protection violation2023SEC$150,000
Stoner Cats 2 LLC investor protection violation2023SEC$1,000,000
True Capital Management, LLC investor protection violation2023SEC$821,793
YieldStreet Inc. investor protection violation2023SEC$1,900,000
Banorte Asset Management Inc. investor protection violation2023SEC$50,000
BTS Asset Management Inc. investor protection violation2023SEC$135,000
Elm Partners Management LLC investor protection violation2023SEC$175,000
Hansen and Associates Financial Group Inc investor protection violation2023SEC$50,000
Linden Thomas Advisory Services LLC investor protection violation2023SEC$135,000
Macroclimate LLC investor protection violation2023SEC$100,000
McElhenny Sheffield Capital Management LLC investor protection violation2023SEC$60,000
Mortgage Industry Advisory Corporation investor protection violation2023SEC$100,000
MRA Advisory Group investor protection violation2023SEC$85,000
Simplex Trading, LLC investor protection violation2023SEC$200,000
Trowbridge Capital Partners LLC investor protection violation2023SEC$60,000
Apex Financial Advisors Inc. investor protection violation2023SEC$130,000
Bluestone Capital Management LLC investor protection violation2023SEC$75,000
Disruptive Technology Advisers LLC investor protection violation2023SEC$225,000
Lloyd George Management (HK) Limited investor protection violation2023SEC$50,000
Prime Group Holdings LLC investor protection violation2023SEC$20,500,000
The Eideard Group, LLC investor protection violation2023SEC$80,000
SQN Capital Management, LLC investor protection violation2023SEC$200,000
Archipelago Trading Services Inc. investor protection violation2023SEC$1,500,000
Bittrex Inc. investor protection violation2023SEC$24,000,000
Impact Theory, LLC investor protection violation2023SEC$6,100,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.