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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
SOUTHERN PACIFIC BANK banking violation2000FDIC$7,500
Home National Bank banking violation2000OCC$5,000
Banco Do Estado Do Parana banking violation2000OCC$75,000
The Park Avenue Bank, National Association banking violation2000OCC$55,000
Yes Entertainment, LLC investor protection violation2000SEC$14,546,808
EquityAlert.com, Inc. investor protection violation2000SEC$20,000
Chemical Trust, U.S. Guarantee Corp., and United Marketing Trust investor protection violation2000SEC$20,590,000
JW Charles Financial Services, Inc. investor protection violation2000SEC$20,000
Liberty Capital Group, Inc. investor protection violation2000SEC$35,000
America Online, Inc.Apollo Global Managementprivate equity (including portfolio companies)accounting fraud or deficiencies2000SEC$3,500,000
Marion Bass Securities Corp. investor protection violation2000SEC$150,000
Focus Tech Investments, Inc. investor protection violation2000SEC$10,000
Adar International investor protection violation2000SEC$10,000
Longman & Associates, Inc. investor protection violation2000SEC$10,000
Kading Companies, S.A. and Joning Corp. investor protection violation2000SEC$10,000
National Stock Transfer Inc. investor protection violation2000SEC$5,000
First Union Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2000SEC$408,931
CGI Capital, Inc. investor protection violation2000SEC$25,000
D.E. Frey and Company, Inc. investor protection violation2000SEC$100,000
Prospera Financial Services, Inc. investor protection violation2000SEC$40,000
Signal Securities Inc. investor protection violation2000SEC$50,000
First Colonial Securities Group, Inc. investor protection violation2000SEC$25,000
F.W. Thompson Company Ltd. investor protection violation2000SEC$100,000
Dean Witter Reynolds Inc.Morgan Stanleyfinancial servicesinvestor protection violation2000SEC$476,702
Alpha Tech Stock Transfer Trust investor protection violation2000SEC$10,000
Dawson-Samberg Capital Management, Inc. investor protection violation2000SEC$100,000
Fahnestock & Co., Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2000SEC$20,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2000SEC$100,000
Owen-Joseph Asset Management Corp.? investor protection violation2000SEC$68,000
Founders Asset Management LLC investor protection violation2000SEC$50,000
Dreyfus CorporationBank of New York Mellonfinancial servicesinvestor protection violation2000SEC$950,000
Gold Asset Management, Inc. investor protection violation2000SEC$20,000
WWW Advisors, Inc. investor protection violation2000SEC$5,000
Asset Timing Corp. investor protection violation2000SEC$5,000
Investment Street Company and Dynamic Trading of Miami, Inc. investor protection violation2000SEC$25,000
Amerada HessHess Corp.oil and gastax violations2000LA-AG$4,360,000
Chevron Oil Co.Chevronoil and gastax violations2000LA-AG$9,600,000
ConocoConocoPhillipsoil and gastax violations2000LA-AG$4,360,000
Deloitte and ToucheDeloittebusiness servicesaccounting fraud or deficiencies2000AZ-AG$800,000
Dreyfus CorporationBank of New York Mellonfinancial servicesinvestor protection violation2000NY-AG$2,000,000
Energen tax violations2000LA-AG$4,360,000
ShellShell PLCoil and gastax violations2000LA-AG$4,360,000
Tate Ford Lincoln Mercury, Inc. dba Tate Auto Center accounting fraud or deficiencies2000AZ-AG$150,000
Tops Markets, Inc.Tops Marketsretailingtax violations2000NY-AG$21,000
UnocalChevronoil and gastax violations2000LA-AG$4,360,000
World Interactive Gaming Corporation investor protection violation2000NY-AG$6,300,000
JB Oxford Holdings, Inc. accounting fraud or deficiencies2000USAO$2,000,000
Truckville Inc. dba EZ Finance Auto Sales investor protection violation2000AZ-CC$5,000
Forex Investment Services Corp. et al. investor protection violation2000AZ-CC$416,086
Great Western Investment Trust, Ltd. investor protection violation2000AZ-CC$435,789
National Financial Group and World Wide Business Opportunities, LLC investor protection violation2000AZ-CC$20,000
Superior Leasing of Arizona, Inc. and Superior Holding Group, Inc. investor protection violation2000AZ-CC$6,792,956
Estate Services II, Inc. investor protection violation2000AZ-CC$15,000
Cochise Financial Corp. investor protection violation2000AZ-CC$1,301,929
Alliance Trust and Chemical Trust and United Marketing Trust investor protection violation2000AZ-CC$75,000
Tucson Estate Financial Advisors, Inc. investor protection violation2000AZ-CC$114,080
Mining Ventures International, LLC investor protection violation2000AZ-CC$253,500
Successful Finance, Inc. investor protection violation2000AZ-CC$421,040
Eye International, L.L.C. and American International Beneficial Association, Inc. investor protection violation2000AZ-CC$11,500
Buckson Realty Brokerage, Inc. investor protection violation2000DE-SEC$39,934
Condor and Eagle, Inc., Contact Generation, Inc. and TCI investor protection violation2000FL-OFR$5,000
Baggy Stuff, Inc. investor protection violation2000FL-OFR$325,000
VTR Capital, Inc. nka Fairchild Financial Group, Inc. investor protection violation2000FL-OFR$12,000
First Financial Planners, Inc. et al. investor protection violation2000FL-OFR$39,232
The Morgan Group investor protection violation2000FL-OFR$15,000
Morgan Carlton Financial Corp. investor protection violation2000FL-OFR$15,000
Morgan Commercial Private Investment Bankers investor protection violation2000FL-OFR$15,000
Offshore Financial Facilitiators investor protection violation2000FL-OFR$69,900
First Capital Services, Inc. investor protection violation2000FL-OFR$30,000
Securities Services Network, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2000FL-OFR$10,000
Southern 2000, Inc. investor protection violation2000FL-OFR$50,000
Allen Financial Group, Inc. investor protection violation2000FL-OFR$50,000
International Currency Management, LLC investor protection violation2000ID-SEC$175,000
LinkNet, Inc. fka INFOLINK, Inc. investor protection violation2000ID-SEC$10,000
FSC Securities Corp. investor protection violation2000MN-FIN$5,000
First Securities USA, Inc. investor protection violation2000MN-FIN$6,000
Linsco Private Ledger Corp. investor protection violation2000ND-SEC$25,000
Baxter, Banks & Smith Ltd. investor protection violation2000ND-SEC$5,000
BSI AG banking violation2000NY-DFS$100,000
Laser Vision Technologies Inc. investor protection violation2000OR-FIN$5,000
The Sheffield Group investor protection violation2000OR-FIN$25,000
The Rhodes Company investor protection violation2000OR-FIN$7,500
Baxter, Banks and Smith Ltd. investor protection violation2000OR-FIN$20,000
Prosper Trust investor protection violation2000OR-FIN$5,000
High Tech Travel Services Corporation investor protection violation2000OR-FIN$25,000
San Clemente Securities investor protection violation2000OR-FIN$10,000
Terra Nova Trading LLC investor protection violation2000TN-SEC$7,500
Westminster Securities Corporation investor protection violation2000TN-SEC$10,000
Smith, Brown & Groover Inc. investor protection violation2000TN-SEC$11,000
Mountain States Capital Inc. investor protection violation2000TX-SEC$30,000
Burke, Lawton, Brewer & Burke investor protection violation2000TX-SEC$7,500
The Reserve Fund investor protection violation2000TX-SEC$150,000
American Express Financial Advisors Inc.Ameriprise Financialfinancial servicesinvestor protection violation2000TX-SEC$9,000
Supertrade Securities Inc. investor protection violation2000TX-SEC$15,000
The Williams Financial Group Inc. investor protection violation2000TX-SEC$10,000
Advisory Financial Group, Inc. investor protection violation2000VA-SEC$35,000
CAPITAL BROKERAGE CORPORATION investor protection violation2000VA-SEC$7,644
Providential Securities, Inc. investor protection violation2000FINRA$115,000
Morgan Stanley & Co. Inc.Morgan Stanleyfinancial servicesinvestor protection violation2000FINRA$200,000
WMA Securities, Inc. investor protection violation2000FINRA$125,000
Cain Brothers & Company, LLC and SHP Capital Markets, Inc. investor protection violation2000FINRA$1,180,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.