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
Blue Owl Credit Income Corp. investor protection violation2023WA-SEC$150,662
Bishop Insurance & Financial Services, Inc. and Atlantic Coast Wealth Fund III, LLC and Atlantic Coast Wealth Advisors, LLC investor protection violation2023SC-SEC$100,000
Charles Winn, LLC investor protection violation2023IA-INS$419,431
Fidelity Brokerage Services LLCFidelity Investmentsfinancial servicesinvestor protection violation2023MA-SEC$750,000
Heartland Capital Partners, LLC and Heartland Income Properties LLC investor protection violation2023AZ-CC$7,304,390
King Sho Holdings aka Kingsho Holdings investor protection violation2023MD-SEC$420,000
Lavish Auto Detailing LLC investor protection violation2023MT-FIN$116,264
LPL Financial, LLCLPL Financialfinancial servicesinvestor protection violation2023MA-SEC$250,000
Meta 1 Coin Trust investor protection violation2023AZ-CC$4,404,361
Metropolitan Commercial Bank anti-money-laundering deficiencies2023NY-DFS$15,000,000
Nest Egg Retirement Solutions Inc. and Estate Protection Planning Corp of New Jersey investor protection violation2023NJ-BOS$150,000
Premier Media Services, Inc. dba Premier Distributing Service and Lenis USA investor protection violation2023AZ-CC$390,500
Shinhan Bank America anti-money-laundering deficiencies2023NY-DFS$10,000,000
Skyshell Trading investor protection violation2023OR-FIN$100,000
StormX, Inc. investor protection violation2023WA-SEC$110,000
Tycoon Trading, LLC et al. investor protection violation2023AK-DBS$40,684,525
VBIT Technologies Corp et al. investor protection violation2023MT-FIN$338,507
Webull Financial LLC investor protection violation2023MA-SEC$500,000
RRIM Asset Strategies, LLC investor protection violation2023AZ-CC$42,430
Collaborative Financial Consulting, LLC investor protection violation2023CA-DFPI$20,000
Validea Capital Management LLC investor protection violation2023CT-SEC$5,250
VAILSHIRE CAPITAL MANAGEMENT, LLC investor protection violation2023FL-OFR$5,000
Vested Securities, LLC investor protection violation2023ME-SEC$6,698
Wells Fargo Clearing Services LLCWells Fargofinancial servicesinvestor protection violation2023ME-SEC$5,000
Hightower Securities LLC investor protection violation2023ME-SEC$7,500
Avantax Investment Services Inc investor protection violation2023ME-SEC$5,000
United Planners' Financial Services of America A Limited Partner investor protection violation2023ME-SEC$5,000
Pinnacle Investments LLC investor protection violation2023ME-SEC$7,500
Bolton Global Capital investor protection violation2023ME-SEC$7,500
Pensionmark Securities, LLC investor protection violation2023ME-SEC$15,000
Fortune Financial Services Inc. investor protection violation2023ME-SEC$5,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2023ME-SEC$5,000
Creativeone Securities LLC investor protection violation2023ME-SEC$7,500
MML Investors Services, LLCMassachusetts Mutual Life Insurancefinancial servicesinvestor protection violation2023MI-SEC$10,000
DBEX-coin.net investor protection violation2023MI-SEC$30,000
Spartan Capital Securities, LLC investor protection violation2023MO-SEC$9,800
Blue Owl Technology Income Corp. fka Owl Rock Technology Income Corp. investor protection violation2023MO-SEC$35,400
Old Slip Capital Management, Inc. investor protection violation2023NH-BSR$6,000
Bain Wealth Management Group, LLC investor protection violation2023OR-FIN$35,000
WWW.EXNOWAPP.VIP investor protection violation2023OR-FIN$20,000
Preisz Associates Inc. dba Preisz Financial investor protection violation2023OR-FIN$10,000
Keenan, LLC dba Keenan Financial investor protection violation2023PA-BKG$8,500
McKenna & Sullivan, Inc. investor protection violation2023PA-BKG$30,000
Aequitas Equitas Wealth Management, LLC investor protection violation2023PA-BKG$7,500
Wilson Insight investor protection violation2023PA-BKG$45,000
Bricker Financial Planning, LLC investor protection violation2023PA-BKG$22,000
WealthWise Inc. investor protection violation2023TN-SEC$17,000
Titan Securities investor protection violation2023TX-INS$20,000
Bison Investment Advisors LLC investor protection violation2023TX-INS$42,994
Rede Wealth, LLC investor protection violation2023VA-SEC$35,000
Equitas Capital Advisors, LLC investor protection violation2023VA-SEC$5,000
Blue Owl Technology Income Corp. investor protection violation2023WA-SEC$76,937
Pebble Financial, Inc. investor protection violation2023WA-SEC$8,500
Coinme Inc. and Up Global SEZC investor protection violation2023WA-SEC$10,000
Blue Owl Technology Income Corp investor protection violation2023AZ-CC$30,000
Transportation Alliance Bank, Inc. d/b/a TAB Bank banking violation2023FDIC$315,000
Paramount Bank banking violation2023FDIC$85,000
Banque Pictet et Cie SA tax violations2023DOJ_TAX$122,900,000
PricewaterhouseCoopersPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2023PCAOB$4,000,000
PricewaterhouseCoopers Zhong Tian LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2023PCAOB$3,000,000
Shandong Haoxin Certified Public Accountants Co., Ltd. accounting fraud or deficiencies2023PCAOB$750,000
Da Hua CPAs accounting fraud or deficiencies2023PCAOB$50,000
Guney Bagimsiz Denetim Ve Serbest Muhasebeci Mali Musavirlik A.S accounting fraud or deficiencies2023PCAOB$25,000
Mah & Associates, LLP accounting fraud or deficiencies2023PCAOB$25,000
Manning Elliott LLP accounting fraud or deficiencies2023PCAOB$35,000
Olayinka Oyebola & Co accounting fraud or deficiencies2023PCAOB$90,000
Eagan Capital Management, LLC investor protection violation2023SEC$50,000
Marosi Designs LLC tax violations2023ATTTB$37,500
Far East Ship Supply tax violations2023ATTTB$60,000
RWC Group LLC tax violations2023ATTTB$1,776,836
Seattle Cider Company, LLC tax violations2023ATTTB$12,000
KuCoin securities issuance or trading violation2023NY-AG$22,066,642
Tradewale LLC and Tradewale Managed Fund investor protection violation2023CFTC$2,853,810
Oasis International Group et al. investor protection violation2023CFTC$53,270,336
Justby International Auctions investor protection violation2023CFTC$5,352,843
Highrise Advantage, LLC. investor protection violation2023CFTC$102,234,376
Freepoint Commodities LLC investor protection violation2023CFTC$91,000,000
Horicon Bank banking violation2023FDIC$23,000
Privilege Underwriters Reciprocal ExchangeTokio Marinefinancial serviceseconomic sanction violation2023OFAC$466,200
CoinList Markets LLC economic sanction violation2023OFAC$1,207,830
Nasdaq, Inc.Nasdaq Inc.financial serviceseconomic sanction violation2023OFAC$4,040,923
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2023SEC$10,000,000
OEP Capital Advisors, L.P. investor protection violation2023SEC$4,000,000
BarnBridge DAO investor protection violation2023SEC$1,457,000
Bank of Morton banking violation2023FDIC$600,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesbanking violation2023OCC$15,000,000
Family Tree Estate Planning, LLC, investor protection violation2023AZ-CC$3,838,040
Chadwick & D’Amato, LLC, and Chadwick Consulting, LLC investor protection violation2023VT-FIN$1,652,708
Colomont, Inc. investor protection violation2023VT-FIN$456,500
California Business Bank banking violation2023CA-DFPI$250,000
ICON Investment Group LLC et al. investor protection violation2023ND-SEC$175,356
Duke and Duke Wealth Management, LLC investor protection violation2023PA-BKG$100,000
PlanNow, LLC investor protection violation2023OR-FIN$80,000
Muntz Financial, LLC investor protection violation2023PA-BKG$80,000
Curve Capital LLC investor protection violation2023CA-DFPI$55,000
Black Diamond Wealth Management, LLC investor protection violation2023PA-BKG$49,000
Blue Owl Technology Income Corp. investor protection violation2023AZ-CC$30,000
ENCORE ACQUISITIONS, LLC investor protection violation2023MI-SEC$30,000
PIPS TRAILEXCH investor protection violation2023AZ-CC$25,000
Pylon Finance aka $PYLON investor protection violation2023CA-DFPI$16,000
The Tri-County Bank banking violation2023NE-DBF$15,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.