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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 IndustryPrimary Offense TypeYear sort iconAgencyPenalty Amount
Coinme Inc. investor protection violation2023SEC$250,000
Up Global SEZC investor protection violation2023SEC$3,520,000
Trends Investments Inc. investor protection violation2023SEC$4,007,027
Expro Group Holdings N.V. investor protection violation2023SEC$7,998,721
UBSUBSfinancial servicesbanking violation2023TX-AG$850,000
Kingdom Trust Company anti-money-laundering deficiencies2023FINCEN$1,500,000
Bear Fruit Films, L.L.C. investor protection violation2023AZ-CC$1,700,500
J.A.G. Capital, LLC investor protection violation2023CT-SEC$7,500
Parker Street Securities LLC investor protection violation2023CT-SEC$5,340
WEST STREET FINANCIAL SERVICES LLC investor protection violation2023FL-OFR$16,750
Perpetual Financial investor protection violation2023FL-OFR$72,500
Rtfbsl L.L.C. Aka First Draft Bar investor protection violation2023IL-SEC$1,161,899
MoneyLife Partners, Inc. investor protection violation2023KY-FIN$7,400
STIFEL, NICOLAUS & COMPANY, INC.Stifel Financialfinancial servicesinvestor protection violation2023MA-SEC$2,500,000
Index Portfolio Tools Advisors investor protection violation2023MD-SEC$10,000
North Texas Energy, Inc. investor protection violation2023MD-SEC$1,850,000
August Wealth Group, Inc. investor protection violation2023ME-SEC$6,982
H.C. Denison Co. investor protection violation2023ME-SEC$7,105
Seaview Global Advisors LLC investor protection violation2023NJ-BOS$150,000
Womack Investment Advisers, Inc. investor protection violation2023OK-DCC$200,000
Capital Energy Resources, LLC et al. investor protection violation2023PA-BKG$45,000
Dedicated Investment Advisers LLC investor protection violation2023PA-BKG$20,000
Altair Management Partners, Inc. investor protection violation2023PA-BKG$30,000
Independent Investment Advisors, LLC investor protection violation2023SC-SEC$15,000
Pantheon Investments, LLC investor protection violation2023TN-SEC$15,000
Mackie Financial Group, LLC investor protection violation2023TN-SEC$25,000
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2023VA-SEC$11,000
Overtime Franchise LLC investor protection violation2023VA-SEC$17,400
SyndiCap Investment and Securities Management, LLC et al. investor protection violation2023VA-SEC$60,000
Connolly Financial Advisors, LLC investor protection violation2023VT-FIN$11,000
Pacific Investors Group, LLC et al. investor protection violation2023WA-SEC$25,000
AK Equity Group LLC and Xapphire LLC investor protection violation2023CFTC$24,080,325
The Bank of New Glarus banking violation2023FDIC$9,375
Coinbase, Inc.Coinbase Global Inc.financial servicesinvestor protection violation2023NJ-AG$5,000,000
Coin Cafe investor protection violation2023NY-AG$4,300,000
Humane Society of Harrisburg Area accounting fraud or deficiencies2023PA-AG$45,055
MUFG Union Bank, National AssociationU.S. Bancorpfinancial servicesbanking violation2023OCC$15,000,000
Barzily & Co. accounting fraud or deficiencies2023PCAOB$50,000
Pacific Investment Management Company LLC (PIMCO) investor protection violation2023SEC$9,000,000
BHP Capital NY, Inc. investor protection violation2023SEC$2,500,000
Hydrogen Technology Corporation investor protection violation2023SEC$2,796,234
Boyle CP LLC accounting fraud or deficiencies2023SEC$50,000
Cantaloupe, Inc. investor protection violation2023SEC$1,500,000
First Guaranty Bancshares, Inc. investor protection violation2023SEC$600,000
RTW Investments, LP investor protection violation2023SEC$1,400,000
Sciens Investment Management, LLC and Sciens Diversified Managers, LLC investor protection violation2023SEC$275,000
CoinEx investor protection violation2023NY-AG$1,700,000
SR&B Investment Enterprises, Inc. investor protection violation2023CFTC$2,461,877
King Royalty, LLC investor protection violation2023CFTC$6,978,837
Bull Run Advantage, LLC investor protection violation2023CFTC$215,719
Green Knight Investments, LLC investor protection violation2023CFTC$675,378
Argent Asset Group LLC and First State Depository Company, LLC investor protection violation2023CFTC$145,700,000
Challenger Life Company Limited investor protection violation2023CFTC$150,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesanti-money-laundering deficiencies2023FINRA$6,000,000
Swedbank Latvia AS economic sanction violation2023OFAC$3,430,900
CohnReznick LLP accounting fraud or deficiencies2023PCAOB$20,000
Total Asia Associates PLT accounting fraud or deficiencies2023PCAOB$80,000
Marcum LLP accounting fraud or deficiencies2023PCAOB$3,000,000
RSE Markets Inc. investor protection violation2023SEC$350,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesanti-money-laundering deficiencies2023SEC$6,000,000
Foresee Inc. et al. investor protection violation2023SEC$5,374,482
Marcum LLP accounting fraud or deficiencies2023SEC$10,000,000
Insight Venture Management LLC investor protection violation2023SEC$2,364,958
Legendary Partners, LLC investor protection violation2023SEC$412,542
Empires Consulting Corp. investor protection violation2023SEC$34,839,951
Vuuzle Media Corp. et al. investor protection violation2023SEC$28,599,662
Co-Diagnostics, Inc. investor protection violation2023SEC$250,000
Future Fintech Group Inc. investor protection violation2023SEC$1,650,000
Quantstamp, Inc. investor protection violation2023SEC$1,000,000
Monroe Capital Management Advisors, LLC investor protection violation2023SEC$1,000,000
Digital World Acquisition Corp. investor protection violation2023SEC$18,000,000
Fifth Third Securities, Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2023SEC$709,971
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2023SEC$1,400,000
Benecke Economics investor protection violation2023SEC$60,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2023SEC$4,000,000
UBS Group AGUBSfinancial servicesbanking violation2023FED$268,500,000
Lear Capital investor protection violation2023SC-AG$5,500,000
Bryant Capital Trade Management Corporation investor protection violation2023CFTC$250,655
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2023CFTC$6,000,000
BNP ParibasBNP Paribasfinancial servicesinvestor protection violation2023CFTC$75,000,000
Societe GeneraleSociete Generalefinancial servicesinvestor protection violation2023CFTC$75,000,000
Wells FargoWells Fargofinancial servicesinvestor protection violation2023CFTC$75,000,000
Bank of MontrealBank of Montrealfinancial servicesinvestor protection violation2023CFTC$35,000,000
Bluprint LLC investor protection violation2023CFTC$8,863,753
American Express National BankAmerican Expressfinancial servicesbanking violation2023OCC$15,000,000
Construction Specialties Inc. economic sanction violation2023OFAC$660,954
BDO TaiwanBDO Internationalbusiness servicesaccounting fraud or deficiencies2023PCAOB$35,000
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
Wells Fargo Securities, LLC et al.Wells Fargofinancial servicesinvestor protection violation2023SEC$125,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.