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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 RWS Group, Inc. investor protection violation2004MO-SEC$16,120
AmSouth Investment Services, Inc.Regions Financialfinancial servicesinvestor protection violation2004MS-SEC$225,000
Brixon Group investor protection violation2004MS-SEC$50,000
D & M Capital, LLC and Associated Financial Services, Inc. investor protection violation2004ND-SEC$5,000
Principal Life Insurance CompanyPrincipal Financialfinancial servicesinvestor protection violation2004ND-SEC$30,000
Berthel Fisher and Company Financial Services Inc.Berthel Fisherfinancial servicesinvestor protection violation2004ND-SEC$20,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2004ND-SEC$20,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2004ND-SEC$17,000
Huntleigh Securities Corporation investor protection violation2004ND-SEC$8,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2004NH-BSR$500,000
Pennichuck Corporation investor protection violation2004NH-BSR$230,000
Rupali Exchange, Inc. anti-money-laundering deficiencies2004NY-DFS$15,000
Transworld Transmitting Corp. anti-money-laundering deficiencies2004NY-DFS$15,000
Credit AgricoleCredit Agricolefinancial servicesbanking violation2004NY-DFS$5,000,000
Chinese American Bank banking violation2004NY-DFS$5,000
Westchester Check Cashing, Inc. anti-money-laundering deficiencies2004NY-DFS$35,000
Bandco Check Cashing Services, Inc. anti-money-laundering deficiencies2004NY-DFS$50,000
T.C. Ziraat Bankasi banking violation2004NY-DFS$103,000
Sunset Financial Group Inc. et al. investor protection violation2004OK-SEC$304,664
Omni Advisor Group Inc. investor protection violation2004OR-FIN$15,000
Ragen Mackenzie Investment Services LLCWells Fargofinancial servicesinvestor protection violation2004OR-FIN$8,500
Mansfield Corporation et al. investor protection violation2004OR-FIN$120,000
Continental Broker-Dealer Corp. investor protection violation2004TN-SEC$10,000
Upper Cumberland Media Group Inc. investor protection violation2004TN-SEC$11,200
Professional Asset Management Inc. investor protection violation2004TN-SEC$22,550
InvestIN Securities Inc. investor protection violation2004TN-SEC$6,094
Woodbury Financial Services Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2004TX-SEC$12,500
Allied Energy Group et al. investor protection violation2004TX-SEC$8,000
Pruco Securities LLCPrudential Financialfinancial servicesinvestor protection violation2004TX-SEC$10,000
Milkie/Ferguson Investments Inc. investor protection violation2004TX-SEC$12,000
Flyline Management L.P. investor protection violation2004TX-SEC$16,000
Flyline Genpar L.P. investor protection violation2004TX-SEC$16,000
DRY CLEANING & MARGO SLOAN investor protection violation2004VA-SEC$25,900
MERRILL LYNCH PIERCE FENNER &Bank of Americafinancial servicesinvestor protection violation2004VA-SEC$268,723
CHESAPEAKE INVESTMENT SERVICES INC. investor protection violation2004VA-SEC$54,000
CITIGROUP GLOBAL MARKETS INCCitigroupfinancial servicesinvestor protection violation2004VA-SEC$72,486
Wolf Creek Exploration, Ltd. investor protection violation2004VA-SEC$45,000
CUMBERLAND MANAGEMENT GROUP investor protection violation2004VA-SEC$170,750
City Escrow, Inc. investor protection violation2004WA-FIN$12,000
DBH Growth Fund investor protection violation2004WA-FIN$15,000
Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2004WA-FIN$325,000
Pacific Coast Investment Company investor protection violation2004WA-FIN$108,000
Lilac City Closing & Escrow LLC investor protection violation2004WA-FIN$5,000
Northwest Best Direct, Inc. investor protection violation2004WA-FIN$39,000
Great Northern Financial Services, Inc. investor protection violation2004WA-FIN$30,000
Hercules IncorporatedAshland Global Holdingschemicalstax violations2004IRS$36,000,000
H&R Block Financial Advisors, Inc.H&R Blockfinancial servicesinvestor protection violation2004FINRA$825,000
Morgan Stanley DW IncMorgan Stanleyfinancial servicesinvestor protection violation2004FINRA$336,510
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2004FINRA$1,600,000
American Express Financial Advisors Inc.Ameriprise Financialfinancial servicesinvestor protection violation2004FINRA$700,000
Wachovia Securities LLCWells Fargofinancial servicesinvestor protection violation2004FINRA$650,000
Prudential Equity Group LLCPrudential Financialfinancial servicesinvestor protection violation2004FINRA$550,000
LINSCO/Private Ledger Corp. investor protection violation2004FINRA$450,000
PFS Investments, Inc. investor protection violation2004FINRA$450,000
Raymond James Financial Services Inc.Raymond James Financialfinancial servicesinvestor protection violation2004FINRA$400,000
Metropolitan Life Insurance Co.MetLifefinancial servicesinvestor protection violation2004FINRA$375,000
NYLife Securities, Inc.New York Life Insurancefinancial servicesinvestor protection violation2004FINRA$350,000
WM Financial Services, Inc. investor protection violation2004FINRA$350,000
Edward Jones & Co., LPJones Financialfinancial servicesinvestor protection violation2004FINRA$300,000
Chase Investment Services Corp.JPMorgan Chasefinancial servicesinvestor protection violation2004FINRA$250,000
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2004FINRA$250,000
MML Investor Services, Inc.Massachusetts Mutual Life Insurancefinancial servicesinvestor protection violation2004FINRA$250,000
Banc of America Investment Services Inc.Bank of Americafinancial servicesinvestor protection violation2004FINRA$200,000
ING Financial Partners, Inc.Voya Financialfinancial servicesinvestor protection violation2004FINRA$200,000
New England SecuritiesMetLifefinancial servicesinvestor protection violation2004FINRA$200,000
J.P. Turner & Company, LLC investor protection violation2004FINRA$185,000
Financial Network Investment Corp. investor protection violation2004FINRA$185,000
Allstate Financial Services LLCAllstatefinancial servicesinvestor protection violation2004FINRA$150,000
RBC Dain Rauscher, Inc.Royal Bank of Canadafinancial servicesinvestor protection violation2004FINRA$150,000
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2004FINRA$150,000
World Group Securities, Inc.Aegonfinancial servicesinvestor protection violation2004FINRA$150,000
Farmers Financial Solutions LLC investor protection violation2004FINRA$125,000
InterSecurities, Inc. investor protection violation2004FINRA$125,000
Jefferson Pilot Securities CorporationLincoln Nationalfinancial servicesinvestor protection violation2004FINRA$125,000
J.J.B. Hilliard, W.L. Lyons Inc. investor protection violation2004FINRA$125,000
Quick & Reilly, Inc. investor protection violation2004FINRA$125,000
SunAmerica Securities, Inc.American International Groupfinancial servicesinvestor protection violation2004FINRA$100,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2004FINRA$250,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2004FINRA$250,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2004FINRA$250,000
Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2004FINRA$250,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2004FINRA$2,400,000
Bear, Stearns & Co. Inc.JPMorgan Chasefinancial servicesinvestor protection violation2004FINRA$4,950,000
Deutsche Bank Securities, Inc.Deutsche Bankfinancial servicesinvestor protection violation2004FINRA$5,290,000
Morgan Stanley & Co. Inc.Morgan Stanleyfinancial servicesinvestor protection violation2004FINRA$5,390,000
David Lerner Assoc. investor protection violation2004FINRA$100,000
Ameritrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2004FINRA$10,000,000
Bear, Stearns & Co. Inc.JPMorgan Chasefinancial servicesinvestor protection violation2004FINRA$280,469
Lehman Brothers Inc. investor protection violation2004FINRA$123,882
Cresap, Inc. investor protection violation2004FINRA$99,458
SWS Financial Services investor protection violation2004FINRA$66,468
Kirkpatrick, Pettis, Smith, Polian Inc. investor protection violation2004FINRA$39,935
Southwest Securities, Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2004FINRA$36,971
David Lerner Associates, Inc. investor protection violation2004FINRA$32,711
Brecek & Young Advisors, Inc. investor protection violation2004FINRA$31,224
Prudential Equity Group, Inc. and Prudential Investment Management Services LLCPrudential Financialfinancial servicesinvestor protection violation2004FINRA$11,500,000
Worldco LLC investor protection violation2004FINRA$1,500,000
SCOTIABANK DE PUERTO RICO banking violation2003FDIC$8,000
THE PROVIDENT BANK banking violation2003FDIC$10,000
SENATH STATE BANK banking violation2003FDIC$25,500
THE HALSTEAD BANK banking violation2003FDIC$6,300
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.