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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
Safe Investing Services investor protection violation2022PA-BKG$25,000
Wealth Protection Group, LLC investor protection violation2022SD-SEC$5,000
Wealth Plus of the Dakotas Inc. investor protection violation2022SD-SEC$12,500
Servant Wealth Management, LLC investor protection violation2022TN-SEC$5,000
Guardian Wealth Solutions, Inc. investor protection violation2022TN-SEC$6,000
Robinhood Financial LLCRobinhood Marketsfinancial servicesinvestor protection violation2022VT-FIN$640,000
Eagle Strategies LLC investor protection violation2022VA-SEC$7,000
R2 Advisors, P.C. and M2 Advisors, Inc. investor protection violation2022VA-SEC$5,000
WA State Construction LLC investor protection violation2022WA-SEC$10,000
Stocktradefxt investor protection violation2022WA-SEC$21,250
Open Mind Generations investor protection violation2022WA-SEC$6,000
MVP Group Inc. investor protection violation2022WA-SEC$29,000
PrimeFX Pro investor protection violation2022WA-SEC$22,500
Yale Partners, LLC investor protection violation2022WA-SEC$5,000
Transchemical Incorporated tax violations2022ATTTB$15,000
Greenbrush Brewing Co. tax violations2022ATTTB$25,000
New Tobacco King tax violations2022ATTTB$40,000
Crescent Brewery LLC tax violations2022ATTTB$7,400
Mondelez GlobalMondelez Internationalfood productsinvestor protection violation2022CFTC$16,000,000
Fintech Investment Group Inc. andCompcoin LLC investor protection violation2022CFTC$1,800,000
Shelby Savings Bank, SSB banking violation2022FDIC$140,000
Magnolia Bank, Incorporated banking violation2022FDIC$425,000
Citizens Bank Minnesota banking violation2022FDIC$6,000
Warrior Trading investor protection violation2022FTC$3,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2022FINRA$15,200,000
Wefunder Portal LLC investor protection violation2022FINRA$1,400,000
StartEngine Capital LLC investor protection violation2022FINRA$350,000
Banco Popular de Puerto RicoPopular Inc.financial serviceseconomic sanction violation2022OFAC$255,938
Toll Holdings Limited economic sanction violation2022OFAC$6,131,855
Chisu International Corporation economic sanction violation2022OFAC$45,908
Newmont CorporationNewmont Corporationmining and mineralseconomic sanction violation2022OFAC$141,442
S&P Global, Inc.S&P Globalinformation technologyeconomic sanction violation2022OFAC$78,750
Citrin Cooperman & Company, LLP accounting fraud or deficiencies2022PCAOB$200,000
JLKZ CPA LLP accounting fraud or deficiencies2022PCAOB$50,000
WWC, P.C. accounting fraud or deficiencies2022PCAOB$50,000
Energy Capital Partners Management LPEnergy Capital Partnersprivate equity (including portfolio companies)investor protection violation2022SEC$1,000,000
Weiss Asset Management LP investor protection violation2022SEC$6,899,004
Charles Schwab & Co., Inc. et al.Charles Schwab Corp.financial servicesinvestor protection violation2022SEC$187,000,000
Petroteq Energy, Inc. investor protection violation2022SEC$1,000,000
CohnReznick LLP accounting fraud or deficiencies2022SEC$1,900,000
United Health Products, Inc. accounting fraud or deficiencies2022SEC$450,000
Synchronoss Technologies, Inc.Synchronoss Technologiesinformation technologyinvestor protection violation2022SEC$12,500,000
Morningstar Credit Ratings, LLCMorningstar Inc.miscellaneous servicesinvestor protection violation2022SEC$1,150,000
Trust Advisory Group, Ltd. investor protection violation2022SEC$214,460
Kahn Brothers Advisors, LLC investor protection violation2022SEC$847,899
Adirondack Financial Services Corp. investor protection violation2022SEC$25,000
Alphacentric Advisors LLC investor protection violation2022SEC$300,000
Garrison Point Capital, LLC investor protection violation2022SEC$3,500,000
SCWorx Corp. investor protection violation2022SEC$125,000
Madison Avenue Securities, LLC investor protection violation2022SEC$803,173
RiverSource Distributors Inc. investor protection violation2022SEC$5,000,000
RiverSource Distributors, Inc. investor protection violation2022SEC$5,000,000
TradeZero America Inc. investor protection violation2022SEC$100,000
TradeZero America, Inc. investor protection violation2022SEC$100,000
BNY Mellon Investment Adviser, Inc.Bank of New York Mellonfinancial servicesinvestor protection violation2022SEC$1,500,000
Virtua Capital Management, LLC investor protection violation2022SEC$1,864,089
Wells Fargo AdvisorsWells Fargofinancial servicesanti-money-laundering deficiencies2022SEC$7,000,000
First Republic Investment Management, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2022SEC$1,825,953
Prosperity Economics Partners LLC and Partners for Prosperity LLC investor protection violation2022SEC$1,024,484
Allianz Global Investors U.S. LLCAllianzfinancial servicesinvestor protection violation2022SEC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,024,200,000
NVIDIA CorporationNvidiaelectrical and electronic equipmentinvestor protection violation2022SEC$5,500,000
Perini Capital, LLC investor protection violation2022SEC$115,000
BTIG, LLC investor protection violation2022SEC$690,000
True Link Financial Advisors, LLC investor protection violation2022SEC$200,000
Maplelane Capital LLC investor protection violation2022SEC$824,041
Medley Management investor protection violation2022SEC$10,000,000
Wealth Plus, Inc. investor protection violation2022SEC$398,232
Highpoint Advisor Group, LLC investor protection violation2022SEC$764,737
ARS Capital Advisors, Inc. investor protection violation2022SEC$25,000
The Legal Funding Group of Georgia, LLC investor protection violation2022SEC$37,500
Rollins Inc.Rollins Inc.miscellaneous servicesaccounting fraud or deficiencies2022SEC$8,000,000
Global Investment Strategy UK Ltd. investor protection violation2022SEC$1,000,000
Chatfield PCS Ltd. and GO ECO Manufacturing, Inc. investor protection violation2022SEC$3,625,263
Stockman Kast Ryan & Co. LLP investor protection violation2022SEC$96,384
Spruce Investment Advisors, LLC investor protection violation2022SEC$75,000
Goldstone Financial Group, LLC investor protection violation2022SEC$70,000
Alumni Ventures Group, LLC investor protection violation2022SEC$5,400,000
Educators Financial Services, Inc. investor protection violation2022SEC$1,107,490
City National Rochdale, LLC investor protection violation2022SEC$30,361,803
A&S World Trading Incorporated anti-money-laundering deficiencies2022FINCEN$275,000
USAA Federal Savings BankUSAAfinancial servicesanti-money-laundering deficiencies2022FINCEN$80,000,000
Starberry Limited investor protection violation2022CFTC$1,376,206
Ernst & Young LLPErnst & Youngbusiness servicesinvestor protection violation2022SEC$100,000,000
Egan-Jones Ratings Company investor protection violation2022SEC$1,846,000
Voxeljet AG investor protection violation2022SEC$175,000
Corona Associates Capital Management, LLC investor protection violation2022SEC$50,000
Hamilton Investment Counsel, LLC investor protection violation2022SEC$150,000
Geluk Capital Management Ltd. investor protection violation2022SEC$92,688
Brink's CompanyBrink'smiscellaneous servicesinvestor protection violation2022SEC$400,000
Greenetrack Inc. tax violations2022AL-AG$76,000,000
Dallas Distilleries Incorporated tax violations2022ATTTB$73,000
Newburyport Brewing Company tax violations2022ATTTB$83,070
Davos Brands LLC tax violations2022ATTTB$30,000
Premier Asset Management Group LLC investor protection violation2022AZ-CC$4,695,136
Sync Title Agency, LLC investor protection violation2022AZ-CC$55,000
Feneck Consulting Group investor protection violation2022AZ-CC$701,901
Cornerstone Wealth Management, LLC investor protection violation2022AZ-CC$10,000
Berkley Capital Management, LLC et al. investor protection violation2022CFTC$6,198,632
SwapStar Capital LLC investor protection violation2022CFTC$5,255,560
Powerline Petroleum, LLC investor protection violation2022CFTC$875,000
Financial Tree Trust et al. investor protection violation2022CFTC$15,900,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.