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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 TypeYearAgencyPenalty Amount sort icon
Southridge Real Estate Partners L.P. and Ridgebury Partners, LLC investor protection violation2015CT-SEC$7,500
Bridgewater Communications Group LLC, The Exchange, LLC investor protection violation2016CT-SEC$7,500
S P Consulting, LLC investor protection violation2018CT-SEC$7,500
Quarve Associates, LLC investor protection violation2019CT-SEC$7,500
Glenn Haven Enterprises investor protection violation2002FL-OFR$7,500
CGF Securities, LLC investor protection violation2003FL-OFR$7,500
21st Century Investing Advisors Corp. investor protection violation2014FL-OFR$7,500
Tatco Private Wealth Management LLC investor protection violation2016FL-OFR$7,500
Gold Mountain Management LLC investor protection violation2010ID-SEC$7,500
Gold Capital Management, Inc. investor protection violation2003IL-SEC$7,500
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2005IL-SEC$7,500
R.J. Aubrey Investment Corp. investor protection violation2005IL-SEC$7,500
America's Best Financial Services, Inc. investor protection violation2011IL-SEC$7,500
Alfaro Oil & Gas, LLC and Pinnacle Partners Financial Corp. investor protection violation2011IL-SEC$7,500
Southwest Securities, Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2012IL-SEC$7,500
IMBB Investment Advisors, Inc. investor protection violation2010IN-SEC$7,500
Premiere Planning, Inc. investor protection violation2010IN-SEC$7,500
Provident Capital Management, Inc. investor protection violation2011IN-SEC$7,500
Fidelity Brokerage Services LLCFidelity Investmentsfinancial servicesinvestor protection violation2011IN-SEC$7,500
National Securities Corp. investor protection violation2013IN-SEC$7,500
Basin Oil and Gas Corp. investor protection violation2004KY-FIN$7,500
Deak Reynolds Co. investor protection violation2014MD-SEC$7,500
Redrhino, Inc. investor protection violation2016MD-SEC$7,500
Freedom Wealth Advisors, LLC investor protection violation2017ME-SEC$7,500
Silacon Corp. investor protection violation2012MN-FIN$7,500
Feltl and Company investor protection violation2012MN-FIN$7,500
Novak & Powell Financial Services, Inc. investor protection violation2014MO-SEC$7,500
Lerona Impex SA investor protection violation2016MO-SEC$7,500
Harmony Health Care Institute, Inc investor protection violation2015NH-BSR$7,500
NYLIFE Securities LLCNew York Life Insurancefinancial servicesinvestor protection violation2017NH-BSR$7,500
GunnAllen Financial Inc. investor protection violation2008OK-SEC$7,500
Lloyds Capital Group LLC investor protection violation2011OK-SEC$7,500
The Rhodes Company investor protection violation2000OR-FIN$7,500
Green Rush Consulting LLC investor protection violation2016OR-FIN$7,500
LVG Holding #1255 LLC investor protection violation2014PA-BKG$7,500
Investors Capital Corp. investor protection violation2016PA-BKG$7,500
Vasari Energy Inc. investor protection violation2017PA-BKG$7,500
Great Nation Financial Corporation investor protection violation2012SC-SEC$7,500
STG Investors LLC investor protection violation2015SC-SEC$7,500
Terra Nova Trading LLC investor protection violation2000TN-SEC$7,500
Burke, Lawton, Brewer & Burke investor protection violation2000TX-SEC$7,500
Select Asset Management LLC investor protection violation2008TX-SEC$7,500
Global Asset Management Group Inc. investor protection violation2019TX-SEC$7,500
MIDATLANTIC IRA, LLC investor protection violation2014VA-SEC$7,500
Megadance USA Corp investor protection violation2017VA-SEC$7,500
WINGS TO GO, INC. investor protection violation2018VA-SEC$7,500
Harvest Financial Group, LLC investor protection violation2019VA-SEC$7,500
Slagel Investment Management investor protection violation2019VA-SEC$7,500
Seattle Business Associates, LLC and Hanbleceya Seattle Real Estate, LLC investor protection violation2013WA-FIN$7,500
Brogan Group Investment Advisors, LLC investor protection violation2020PA-BKG$7,500
Full_Tilton Ventures, LLC investor protection violation2020WA-SEC$7,500
Eagle Alcohol Company LLCAlto Ingredientsmiscellaneous energy products and systemstax violations2020ATTTB$7,500
V Wealth Advisers, LLC investor protection violation2020MO-SEC$7,500
Mascoma Wealth Management LLC investor protection violation2020NH-BSR$7,500
Access Investment, LLC investor protection violation2020NH-BSR$7,500
Fiduciary Investment Funds, LLC investor protection violation2021SD-SEC$7,500
Fiduciary Investment Funds, LLC investor protection violation2021ND-SEC$7,500
Stephen L. Falk & Associates, Inc. investor protection violation2009FINRA$7,500
Schupp & Grochmal, LLCSchupp & Grochmalfinancial servicesinvestor protection violation2020CT-SEC$7,500
Financial Planning Center, LLP investor protection violation2021TN-SEC$7,500
StartEngine Crowdfunding, Inc. investor protection violation2022TX-SEC$7,500
J.A.G. Capital, LLC investor protection violation2023CO-SEC$7,500
J.A.G. Capital, LLC investor protection violation2023CT-SEC$7,500
IBN Financial Services Inc. investor protection violation2023ME-SEC$7,500
Hightower Securities LLC investor protection violation2023ME-SEC$7,500
Pinnacle Investments LLC investor protection violation2023ME-SEC$7,500
Bolton Global Capital investor protection violation2023ME-SEC$7,500
Creativeone Securities LLC investor protection violation2023ME-SEC$7,500
Aequitas Equitas Wealth Management, LLC investor protection violation2023PA-BKG$7,500
Aegis Capital Corp. investor protection violation2024MO-SEC$7,500
DHJH Holdings, LLC investor protection violation2023PA-BKG$7,500
Vanguard Organizations, Inc. tax violations2014CT-AG$7,560
P.W. Scott Engineering & Architecture, P.C. tax violations2013CT-AG$7,568
Rhoads Lucca Capital Management investor protection violation2013IL-SEC$7,585
Bay Bank banking violation2012FDIC$7,590
Millennium Group of New York, LLC investor protection violation2001SEC$7,602
Vision III Architects, Inc. tax violations2013CT-AG$7,613
THE DIME BANK banking violation2010FDIC$7,620
Thomas George Associates Ltd. tax violations2016CT-AG$7,625
CAPITAL BROKERAGE CORPORATION investor protection violation2000VA-SEC$7,644
Summit Golf Brands, Inc. tax violations2015CT-AG$7,650
Lifestyle Freedom Advisory Group, LLC investor protection violation2021CT-SEC$7,650
Comfort Dental Group, Inc. investor protection violation2012WA-FIN$7,688
Peoples Exchange Bank banking violation2013FDIC$7,700
REGENT BANK banking violation2011FDIC$7,700
FETCH! PET CARE INC. investor protection violation2011VA-SEC$7,700
Neighborhood Diabetes, Inc. tax violations2012CT-AG$7,725
First Bank & Trust Company banking violation2005FED$7,750
THE DART BANK banking violation2011FDIC$7,750
AMERICAN RIVER BANK banking violation2009FDIC$7,770
Kittredge Equipment Company, Inc. tax violations2012CT-AG$7,770
San Vicente Productions, Inc. tax violations2013CT-AG$7,770
BANK OF GUAM banking violation2008FDIC$7,780
Miller Construction Services, Inc. tax violations2012CT-AG$7,785
Safeware The Insurance Agency, Inc. tax violations2012CT-AG$7,785
Mercury Payment Systems, LLCFidelity National Information Servicesinformation technologytax violations2015CT-AG$7,800
WESTERN BANK banking violation2011FDIC$7,805
Ruesch International, Inc.Western Unionfinancial serviceseconomic sanction violation2004OFAC$7,811
X Plus One Solutions, Inc. tax violations2013CT-AG$7,838
Park Bank banking violation2019FDIC$7,850
DnB Nor Bank economic sanction violation2004OFAC$7,855
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.