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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
The Tri-County Bank banking violation2023NE-DBF$15,000
UC Asset LP investor protection violation2023WA-SEC$12,500
RESOLUTE CAPITAL PARTNERS LTD, LLC investor protection violation2023MI-SEC$10,000
Bull & Unicorn Investments LLC investor protection violation2023WA-SEC$10,000
GINERIS WEALTH MANAGEMENT LLC investor protection violation2023IN-SEC$8,250
Six Sigma Investments Corp investor protection violation2023IL-SEC$8,000
BSMBRCAW Investments investor protection violation2023IL-SEC$8,000
DHJH Holdings, LLC investor protection violation2023PA-BKG$7,500
Compass Capital Advisors L.L.C. investor protection violation2023WA-SEC$6,500
Wolff Asset Management, LLC investor protection violation2023PA-BKG$5,000
Fifth Generation, Inc. tax violations2022ATTTB$305,000
Doll Distributing LLC tax violations2022ATTTB$225,000
Voice of Guo Media, Inc. investor protection violation2022AZ-CC$100,000
Luxury Management Group, LLC investor protection violation2022AZ-CC$70,000
Luxury Management Group, LLC and MTE 2013 Trust investor protection violation2022AZ-CC$768,606
Golden Signals LLC investor protection violation2022CFTC$2,613,276
Extreme Marketing Alliance LLC investor protection violation2022CT-SEC$10,000
Blue Grass Savings Bank banking violation2022FDIC$16,250
Madison County Community Bank banking violation2022FDIC$9,750
First Midwest BankOld National Bancorpfinancial servicesbanking violation2022FED$253,500
Goldstone Financial Group, LLC investor protection violation2022ID-SEC$10,000
Bluegrass Capital Advisors, LLC investor protection violation2022KY-FIN$25,500
Zenith Sterling Advisers LLC investor protection violation2022MO-SEC$15,000
Fango, LLC investor protection violation2022MO-SEC$83,919
TMTE, Inc. et al. investor protection violation2022MT-FIN$1,282,738
BlockFi Lending LLC investor protection violation2022MULTI-AG$50,000,000
National Bank of Pakistan anti-money-laundering deficiencies2022NY-DFS$35,000,000
Sojitz (Hong Kong) Limited economic sanction violation2022OFAC$5,228,298
Airbnb Payments, Inc.Airbnb Inc.miscellaneous serviceseconomic sanction violation2022OFAC$91,172
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2022OK-SEC$15,000
Eugene Artisan Foods, LLC and Red Wagon Foods, Inc. investor protection violation2022OR-FIN$11,700
Jemma Investment Advisors, LLC dba Jemma Financial Services investor protection violation2022PA-BKG$5,000
Andalusian Wealth Management, LLC investor protection violation2022PA-BKG$25,000
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2022PCAOB$750,000
BMKR LLP accounting fraud or deficiencies2022PCAOB$20,000
PKF O'Connor Davies, LLP accounting fraud or deficiencies2022PCAOB$40,000
Ameritas Advisory Services, LLCAmeritas Mutual Holding Companyfinancial servicesinvestor protection violation2022SEC$4,628,194
Baxter International Inc.Baxter Internationalmedical equipment and suppliesaccounting fraud or deficiencies2022SEC$18,000,000
Arthur Zaske & Associates, LLC investor protection violation2022SEC$15,000
Banyan Securities, LLC investor protection violation2022SEC$10,000
Church, Gregory, Adams Securities Corporation investor protection violation2022SEC$10,000
Gutt Financial Management, LLC investor protection violation2022SEC$25,000
Hinsdale Associates, Inc. investor protection violation2022SEC$25,000
J.K. Financial Services, Inc. investor protection violation2022SEC$10,000
N.V.N.G. Investments, Inc. investor protection violation2022SEC$15,000
Personal Financial Planning, Inc. investor protection violation2022SEC$25,000
Stone Run Capital, LLC investor protection violation2022SEC$25,000
The Winning Edge Financial Group, Inc. investor protection violation2022SEC$10,000
Wall Street Access investor protection violation2022SEC$97,523
Watermark Securities, Inc. investor protection violation2022SEC$25,000
BlockFi Lending LLC investor protection violation2022SEC$50,000,000
Wahed Invest, LLC investor protection violation2022SEC$300,000
CMG Capital Management Group, Inc. investor protection violation2022SEC$70,000
Comprehensive Capital Management, Inc. investor protection violation2022SEC$375,654
O.N. Investment Management Company investor protection violation2022SEC$1,238,653
tZERO ATS, LLC investor protection violation2022SEC$800,000
Leaf Group Ltd. investor protection violation2022SEC$325,000
OneStep Financial Services, LLC investor protection violation2022SEC$631,179
iInvestsolutions.com, LLC investor protection violation2022TN-SEC$10,000
Aptus Financial, LLC investor protection violation2022VA-SEC$6,000
Stock Management LLC dba Ben Heeb & Associates investor protection violation2022WA-SEC$15,000
NFN8 Group, Inc. investor protection violation2022AL-SEC$120,000
ICA Financial Services, LLC investor protection violation2022AZ-CC$190,000
American Financial Investments, LLC investor protection violation2022AZ-CC$19,724,875
My Trader Coin investor protection violation2022AZ-CC$1,237,747
TreyTrades LLC investor protection violation2022AZ-CC$89,425
D2D Financial, LLC investor protection violation2022AZ-CC$130,000
Marketing Dynamics, Inc. investor protection violation2022AZ-CC$104,216
Archimedes Foundation Trust investor protection violation2022AZ-CC$1,760,000
Global Capital and Equity LLC investor protection violation2022AZ-CC$466,500
AZ REl School, LLC and SFG Real Estate Holdings, LLC investor protection violation2022AZ-CC$19,371
Church Extension Loan Fund, Inc. investor protection violation2022AR-SEC$7,300
Sage Financial Design, Inc. investor protection violation2022CT-SEC$50,000
Safe Harbor Retirement Planners investor protection violation2022DE-SEC$6,500
58th Presidential Inaugural Committee and Trump Organization LLC et al. tax violations2022DC-AG$750,000
Business Solutions Consulting, LLC investor protection violation2022FL-OFR$50,000
Brand Maxer, LLC investor protection violation2022FL-OFR$170,000
Shirtted, LLC investor protection violation2022FL-OFR$25,000
Paramount Financial Services, Inc. dba Live Abundant investor protection violation2022ID-INS$38,000
ST Invest LLC investor protection violation2022IL-SEC$9,950
East Fork Energy Partners, Inc. investor protection violation2022KY-FIN$5,000
ReAlpha Asset Management, Inc. investor protection violation2022MA-SEC$375,000
U.S. Data Mining Group investor protection violation2022MA-SEC$1,000,000
Alumni Ventures Group investor protection violation2022MA-SEC$750,000
LimeLife USA LLC investor protection violation2022MT-FIN$10,000
Wesleyan Investment Foundation, Inc. investor protection violation2022NE-DBF$22,000
Ameritas Investment Co.Ameritas Mutual Holding Companyfinancial servicesinvestor protection violation2022NV-SEC$15,000
Kalos Capital, Inc. investor protection violation2022NV-SEC$79,400
Hybrid Capital Group and The Fens Company and Peerless Hi Yield Realty Group investor protection violation2022NH-BSR$769,966
Esplanade Capital Partners I LLC investor protection violation2022NH-BSR$9,500
Scanwood Limited Inc. and AOS, Inc. investor protection violation2022NH-BSR$75,000
Alumni Ventures Group investor protection violation2022NH-BSR$700,000
Seaview Global Advisors LLC investor protection violation2022NJ-BOS$500,000
MoneyGram International Inc.Madison Dearborn Partnersprivate equity (including portfolio companies)anti-money-laundering deficiencies2022NY-DFS$8,250,000
National Bank of Pakistan anti-money-laundering deficiencies2022NY-DFS$35,000,000
BRC Neighborhood Planning, LP investor protection violation2022PA-BKG$2,040,000
Buchert Ridge Community, Inc. investor protection violation2022PA-BKG$240,000
Women of Substance LLC investor protection violation2022PA-BKG$5,000
Limerick Financial Group, LLC investor protection violation2022PA-BKG$100,000
Platinum Tickets, LLC investor protection violation2022PA-BKG$25,000
Safe Investing Services investor protection violation2022PA-BKG$25,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.