Warning: Undefined array key 1 in /usr/home/goodjobsfirst/public_html/violationtrackerlive/function.php on line 727
Basic Search  |  Summaries  |  Advanced Search

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentCurrent Parent IndustryPrimary Offense TypeYear sort iconAgencyPenalty Amount
Advisor Resource Council investor protection violation2024SEC$300,000
Halitron, Inc. investor protection violation2024SEC$191,024
Wayzata Investment Partners LLC investor protection violation2024SEC$60,000
ABCO Energy Inc. and ABCO Solar Inc. investor protection violation2024AZ-CC$8,666,559
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
Equity Fund International (EFI), Inc. investor protection violation2023ND-SEC$540,000
Mantei & Associates, LLC aka Cola Wealth Advisors investor protection violation2023SC-SEC$650,000
Constructis, LLC and Constructis Group, Inc. and Constructis Energy, LLC investor protection violation2023SC-SEC$5,000
Penrod Financial Services, Inc. investor protection violation2023TX-SEC$6,500
PeoplesBank, a Codorus Valley Company banking violation2023FDIC$16,000
Blackbaud Inc.Blackbaudinformation technologyinvestor protection violation2023SEC$3,000,000
Silver Edge Financial LLC investor protection violation2023SEC$3,475,000
Greenbrier Companies Inc.Greenbrier Companiesheavy equipmentinvestor protection violation2023SEC$1,000,000
Evoqua Water Technologies Corp.Xylemmiscellaneous servicesaccounting fraud or deficiencies2023SEC$8,500,000
DXC Technology CompanyDXC Technologyinformation technologyaccounting fraud or deficiencies2023SEC$8,000,000
E. Magnus Oppenheim & Co. Inc investor protection violation2023SEC$50,000
KeyBanc Capital Markets Inc.KeyCorpfinancial servicesinvestor protection violation2023SEC$397,135
Equity Acquisition Company Ltd. investor protection violation2023SEC$3,917,436
Chembio Diagnostics, Inc. investor protection violation2023SEC$500,000
Cambria Capital, LLC investor protection violation2023SEC$100,000
Huntleigh Advisors, Inc. investor protection violation2023SEC$843,502
Datatex Investment Services, Inc. investor protection violation2023SEC$50,000
Foresight Wealth Management, LLC investor protection violation2023SEC$1,893,486
Automata FX Ltd investor protection violation2023AZ-CC$4,866,465
Elite Benefits Group, LLC investor protection violation2023AZ-CC$28,985
Seek Insurance, LLC and Elite Benefits Group, LLC investor protection violation2023AZ-CC$35,000
PGH Advisors LLC investor protection violation2023AZ-CC$445,790
J.A.G. Capital, LLC investor protection violation2023CO-SEC$7,500
Parker Street Securities LLC investor protection violation2023CO-SEC$5,300
Excel Industries, Inc. tax violations2023ATTTB$44,527
Godfrey Phillips India Limited economic sanction violation2023OFAC$332,500
Friedman, LLP accounting fraud or deficiencies2023PCAOB$100,000
Microsoft CorporationMicrosoftinformation technologyeconomic sanction violation2023OFAC$2,980,265
Uphold HQ Inc. economic sanction violation2023OFAC$72,230
Wells Fargo & Co.Wells Fargofinancial serviceseconomic sanction violation2023OFAC$30,000,000
Microsoft CorporationMicrosoftinformation technologyeconomic sanction violation2023BIS$347,631
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2023SEC$9,660,000
Chatham Asset Management LLCChatham Asset Managementfinancial servicesinvestor protection violation2023SEC$18,800,000
Vale S.A.Vale S.A.mining and mineralsaccounting fraud or deficiencies2023SEC$55,900,000
Windy Inc. investor protection violation2023SEC$89,979
Braverock Investments LLC investor protection violation2023SEC$132,000
Robinhood Financial LLCRobinhood Marketsfinancial servicesinvestor protection violation2023MULTI-FIN$10,200,000
Mizuho Capital Markets LLCMizuho Financialfinancial servicesinvestor protection violation2023CFTC$6,847,182
DCAST Capital Investments LLCandFive Traders LLC investor protection violation2023CFTC$16,087,440
Goldman SachsGoldman Sachsfinancial servicesinvestor protection violation2023CFTC$15,000,000
British American TobaccoBritish American Tobaccotobaccoeconomic sanction violation2023DOJ_NATSEC$629,000,000
British American Tobacco p.l.c.British American Tobaccotobaccoeconomic sanction violation2023OFAC$5,348,685
RT LLP accounting fraud or deficiencies2023PCAOB$50,000
Betterment LLC investor protection violation2023SEC$9,000,000
Corvex Management LP investor protection violation2023SEC$1,000,000
Murad, LLC economic sanction violation2023OFAC$3,508,286
Poloniex, LLC economic sanction violation2023OFAC$7,591,630
Gaia Inc. investor protection violation2023SEC$2,000,000
Chicago Crypto Capital LLC investor protection violation2023SEC$1,071,686
CW Petroleum Corp. investor protection violation2023SEC$5,000
DNA Brands Inc. investor protection violation2023SEC$10,000
Graystone Company Inc. investor protection violation2023SEC$25,000
Green Stream Holdings Inc. investor protection violation2023SEC$75,000
Hemp Naturals Inc. investor protection violation2023SEC$50,000
LiveWire Ergogenics Inc. investor protection violation2023SEC$50,000
Principal Solar Inc. investor protection violation2023SEC$40,000
SFLMaven Corp. investor protection violation2023SEC$25,000
The Marquie Group Inc. investor protection violation2023SEC$10,000
Verde Bio Holdings Inc. investor protection violation2023SEC$90,000
HSBC Securities (USA) Inc.HSBCfinancial servicesinvestor protection violation2023SEC$15,000,000
Scotia Capital (USA) Inc.Scotiabankfinancial servicesinvestor protection violation2023SEC$7,500,000
Pinnacle Investments LLC investor protection violation2023SEC$476,000
Classic Asset Management LLC investor protection violation2023SEC$195,228
Coinme Inc. investor protection violation2023SEC$250,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.