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Violation Tracker Summary for Offense Group

Offense Group: financial offenses
Penalty Total since 2000: $286,391,284,995
Number of Penalty Records: 10,968
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$26,659,159,167117
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 IndustryPrimary Offense TypeYear sort iconAgencyPenalty Amount
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2024USAO$153,431,223
Industrial and Commercial Bank of China Ltd.Industrial and Commercial Bank of Chinafinancial servicesbanking violation2024FED$2,400,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2024SEC$18,000,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2024SEC$83,000,000
Medsis International, Inc. investor protection violation2024SEC$15,871,200
TradeStation Crypto securities issuance or trading violation2024MULTI-AG$1,500,000
Holtec InternationalHoltec Internationalmiscellaneous energy products and systemstax violations2024NJ-AG$5,000,000
Simply Gains, Inc.  investor protection violation2024CFTC$830,000
Select Bank banking violation2024FED$9,600
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2024FINRA$1,600,000
City National BankRoyal Bank of Canadafinancial servicesbanking violation2024OCC$65,000,000
Haynie & Company accounting fraud or deficiencies2024PCAOB$400,000
TIAA-CREF Individual & Institutional Services LLCTIAAfinancial servicesinvestor protection violation2024SEC$2,200,000
Van Eck Associates Corporation investor protection violation2024SEC$1,750,000
Northwestern Mutual Investment Services LLCNorthwestern Mutualfinancial servicesinvestor protection violation2024SEC$16,500,000
Guggenheim Securities LLC investor protection violation2024SEC$15,000,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2024SEC$12,000,000
Cambridge Investment Research Inc. investor protection violation2024SEC$10,000,000
Key Investment Services LLC investor protection violation2024SEC$10,000,000
Lincoln Financial Advisors CorporationLincoln Nationalfinancial servicesinvestor protection violation2024SEC$8,500,000
U.S. Bancorp Investments Inc.U.S. Bancorpfinancial servicesinvestor protection violation2024SEC$8,000,000
Huntington Investment Company investor protection violation2024SEC$1,250,000
TradeStation Crypto, Inc. investor protection violation2024SEC$1,500,000
Rockwell Capital Management investor protection violation2024SEC$1,602,089
Northern Star Investment Corp. II investor protection violation2024SEC$1,500,000
Aon Investments USA Inc.Aonfinancial servicesinvestor protection violation2024SEC$1,542,187
SHE Beverage Company, Inc. investor protection violation2024SEC$12,760,274
Comer Capital Group, LLC investor protection violation2024SEC$55,000
Crowd Machine, Inc. and Metavine, Inc. investor protection violation2024SEC$24,234,548
Adar Bays, LLC and Adar Alef, LLC investor protection violation2024SEC$1,145,000
Grenda Group, LLC investor protection violation2024SEC$400,000
Industrial and Commercial Bank of China Ltd.Industrial and Commercial Bank of Chinafinancial servicesbanking violation2024NY-DFS$30,000,000
TRADESTATION CRYPTO, INC investor protection violation2024MULTI-FIN$1,500,000
Elevated Automations LLC and Ecomelevation LLC, investor protection violation2024AZ-CC$712,079
Edward D. Jones & Co., LPJones Financialfinancial servicesinvestor protection violation2024PA-BKG$300,000
Purshe Kaplan Sterling Investments, Inc. investor protection violation2024MA-SEC$250,000
LEGENDARY PARTNERS LLC investor protection violation2024CA-DFPI$137,500
Blue Owl Technology Income Corp. investor protection violation2024TX-SEC$102,000
Blue Owl Credit Income Corp. investor protection violation2024TN-SEC$50,000
Blue Owl Technology Income Corp. investor protection violation2024TN-SEC$50,000
My Private Bullion investor protection violation2024OR-FIN$40,000
D.B. McKenna & Co., Inc. investor protection violation2024ME-SEC$24,241
Cornerstone Wealth Partners, LLC investor protection violation2024CA-DFPI$15,000
True Horizon Wealth Advisors, LLC investor protection violation2024PA-BKG$15,000
Collins Advisors Fund Management, LLC investor protection violation2024SC-SEC$10,550
MUFG BANK, LTD.U.S. Bancorpfinancial servicesbanking violation2024CT-BKG$10,000
Aegis Capital Corp. investor protection violation2024MO-SEC$7,500
COLLINS CAPITAL LLC investor protection violation2024IN-SEC$5,250
Northwestern Mutual Investment Services LLCNorthwestern Mutualfinancial servicesinvestor protection violation2024ME-SEC$5,000
Robert W. Baird & Co. Incorporated investor protection violation2024ME-SEC$5,000
Sovereign Legacy Securities, Inc. investor protection violation2024OR-FIN$5,000
Robbins Capital Management, Inc. investor protection violation2024TN-SEC$5,000
Gries & Associates, LLC accounting fraud or deficiencies2024PCAOB$65,000
Baker Tilly US, LLP accounting fraud or deficiencies2024PCAOB$80,000
Grant Thornton Bharat LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2024PCAOB$40,000
Mazars USA LLP accounting fraud or deficiencies2024PCAOB$60,000
SW Audit accounting fraud or deficiencies2024PCAOB$60,000
WithumSmith+Brown, PC accounting fraud or deficiencies2024PCAOB$2,000,000
Skechers U.S.A. Inc.Skechers USA Inc.apparelinvestor protection violation2024SEC$1,250,000
HG Vora Capital Management LLC investor protection violation2024SEC$950,000
Lordstown Motors Corp.Lordstown Motorsmotor vehiclesinvestor protection violation2024SEC$25,500,000
RenovaCare, Inc. investor protection violation2024SEC$500,000
3D/L Capital Management, LLC investor protection violation2024SEC$285,607
ShapeShift AG investor protection violation2024SEC$275,000
Clark Schaefer Hackett & Co. investor protection violation2024SEC$80,881
Contrarian Capital Management, L.L.C. investor protection violation2024SEC$521,326
Octopi Brewing, LLC tax violations2024ATTTB$47,043
William Grant & Sons, Inc.William Grant & Sons Ltd.beveragestax violations2024ATTTB$303,815
Nexo Capital, Inc. investor protection violation2023MULTI-FIN$22,500,000
Bloomberg Finance L.P.Bloomberginformation technologyinvestor protection violation2023SEC$5,000,000
Nexo Capital Inc. investor protection violation2023SEC$22,500,000
Moors & Cabot, Inc. investor protection violation2023SEC$1,899,456
National Trust and Fiduciary Services Company, Inc. investor protection violation2023SEC$346,799
Coinbase Inc.Coinbase Global Inc.financial servicesanti-money-laundering deficiencies2023NY-DFS$100,000,000
The Options Clearing Corporation investor protection violation2023CFTC$5,000,000
Popular Bank banking violation2023FED$2,300,000
Yellowstone Capital et al. investor protection violation2023NJ-AG$27,375,000
Energy & Environmental Investments, LLC and Energy & Environment, Inc. investor protection violation2023SEC$5,428,694
Back to Green Mining, LLC investor protection violation2023SEC$3,442,175
African Gold Acquisition Corp. investor protection violation2023SEC$103,591
Ensign Peak Advisers Inc. investor protection violation2023SEC$4,000,000
Church of Jesus Christ of Latter-day Saints investor protection violation2023SEC$1,000,000
HITE Hedge Asset Management LLC et al. investor protection violation2023SEC$214,591
Candlestick Capital Management LP investor protection violation2023SEC$810,000
The Options Clearing Corporation investor protection violation2023SEC$17,000,000
Roadrunner Transportation Systems, IncRoadrunner Transportation Systemsfreight and logisticsinvestor protection violation2023SEC$9,635,911
Payward Ventures, Inc. and Payward Trading Ltd. investor protection violation2023SEC$30,000,000
Gentex CorporationGentexautomotive partsinvestor protection violation2023SEC$4,000,000
Centaurus Financial, Inc. investor protection violation2023SEC$755,499
Activision Blizzard Inc.Microsoftinformation technologyinvestor protection violation2023SEC$35,000,000
Centaurus Financial Inc. investor protection violation2023SC-AG$650,000
Laidlaw & Company (UK) Ltd. investor protection violation2023CT-SEC$200,000
Little Miss Whiskey's Golden Dollar and Jimmy Valentine's Lonely Hearts Club tax violations2023DC-AG$144,001
MTRE VB2 LLC and Marcus Tam Real Estate Development & Investment Company LLC investor protection violation2023ID-SEC$798,859
72 Vest Level Three LLC investor protection violation2023IL-SEC$70,000
Trump Corp.Trump Organizationreal estatetax violations2023NY-MANDA$810,000
Trump Payroll Corp.Trump Organizationreal estatetax violations2023NY-MANDA$800,000
Voyager Digital Ltd. et al. investor protection violation2023NH-BSR$1,007,880
Guardian Strategic Wealth Advisors, LLC investor protection violation2023NH-BSR$10,000
Celsius Network, Inc. et al. investor protection violation2023NH-BSR$1,000,000
Bio-Sunn Technologies, Inc. investor protection violation2023ND-SEC$540,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.