Violation Tracker

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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 Companies	Total Penalty $	Number of Records
Bank of America	$41,332,842,096	155
UBS	$27,709,494,893	134
JPMorgan Chase	$27,007,359,167	119
Citigroup	$19,742,743,935	103
Deutsche Bank	$15,634,467,278	66
Goldman Sachs	$13,126,412,841	57
NatWest Group PLC	$12,235,546,857	25
Wells Fargo	$10,735,220,989	127
Morgan Stanley	$9,877,862,956	163
BNP Paribas	$9,164,773,000	10

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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Company	Current Parent	Current Parent Industry	Primary Offense Type	Year	Agency	Penalty Amount
New Futures Trading International Corporation			investor protection violation	2012	SEC	$1,433,889
Martin Currie			investor protection violation	2012	SEC	$8,300,000
Banco Espirito Santo S.A.			investor protection violation	2011	SEC	$7,000,000
Long Term-Short Term Inc., d/b/a BetterTrades			investor protection violation	2011	SEC	$750,000
Wall Street Capital Funding LLC			investor protection violation	2011	SEC	$300,000
Locke Capital Management Inc.			investor protection violation	2011	SEC	$3,673,996
Aerokinetic Energy Corporation			investor protection violation	2011	SEC	$859,571
LandOak Securities LLC			investor protection violation	2011	SEC	$992,140
Navigators International Management Co., Ltd.			investor protection violation	2011	SEC	$45,000
AXA Rosenberg	AXA	financial services	investor protection violation	2011	SEC	$242,000,000
Merrill Lynch	Bank of America	financial services	investor protection violation	2011	SEC	$10,000,000
Enzyme Environmental Solutions, Inc.			investor protection violation	2011	SEC	$371,135
Berkshire Resources, L.L.C.			investor protection violation	2010	SEC	$16,255,846
Prime Time Group Inc.			investor protection violation	2010	SEC	$325,000
Regions Bank	Regions Financial	financial services	investor protection violation	2010	SEC	$1,000,001
U.S. Pension Trust Corp. and U.S. College Trust Corp.	U.S. Pension Trust Corp.	financial services	investor protection violation	2010	SEC	$112,600,000
ASMAC Financial, Inc.			investor protection violation	2010	SEC	$133,995
K&L International Enterprises, Inc., Signature Leisure, Inc., and Signature Worldwide Advisors, LLC			investor protection violation	2010	SEC	$12,574,582
Thompson Consulting Inc.			investor protection violation	2010	SEC	$400,000
CFO-5 LLC			investor protection violation	2010	SEC	$3,197,222
Presstek Inc.			investor protection violation	2010	SEC	$400,000
Wealth Management LLC			investor protection violation	2010	SEC	$1,471,002
Health Net Inc.	Centene	healthcare services	investor protection violation	2016	SEC	$340,000
GMC Holding Corporation			investor protection violation	2009	SEC	$2,090,000
Value Line Inc.			investor protection violation	2009	SEC	$43,705,765
Thompson Price Holding Inc.			investor protection violation	2009	SEC	$288,815
Lion Gate Capital, Inc.			investor protection violation	2009	SEC	$150,000
Bank of America Corporation	Bank of America	financial services	investor protection violation	2009	SEC	$33,000,000
Morgan Stanley	Morgan Stanley	financial services	investor protection violation	2009	SEC	$500,000
Marshall Holdings International, Inc.			investor protection violation	2009	SEC	$8,974,033
Ameriprise Financial Services, Inc.	Ameriprise Financial	financial services	investor protection violation	2009	SEC	$17,300,000
Colonial Fund LLC and Colonial Investment Management LLC			investor protection violation	2009	SEC	$1,400,000
Merrill Lynch, Pierce, Fenner & Smith Inc.	Bank of America	financial services	investor protection violation	2009	SEC	$7,000,000
M.A.G. Capital LLC			investor protection violation	2009	SEC	$100,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.	Bank of America	financial services	investor protection violation	2009	SEC	$1,000,000
AmSouth Bank	Regions Financial	financial services	investor protection violation	2008	SEC	$11,400,000
Scottrade, Inc.	Charles Schwab Corp.	financial services	investor protection violation	2008	SEC	$950,000
Banc of America Investment Services, Inc.	Bank of America	financial services	investor protection violation	2008	SEC	$9,763,634
Broadcom Corp.	Broadcom	electrical and electronic equipment	investor protection violation	2008	SEC	$12,000,000
Federal Home Loan Mortgage Corporation (Freddie Mac)	Freddie Mac (Federal Home Loan Mortgage Corporation)	financial services	investor protection violation	2007	SEC	$50,000,000
HSBC Bank USA, N.A.	HSBC	financial services	investor protection violation	2007	SEC	$10,500,000
Crestview Capital Partners			investor protection violation	2007	SEC	$394,640
GetAnswers, Inc.			investor protection violation	2007	SEC	$15,713,676
1st Global Capital Corp.			investor protection violation	2006	SEC	$100,000
Hartford Financial Services Group, Inc.	Hartford Financial Services	financial services	investor protection violation	2006	SEC	$55,000,000
BISYS Fund Services, Inc.			investor protection violation	2006	SEC	$21,400,000
American-Amicable Life Insurance Company of Texas, Pioneer American Insurance Company, and Pioneer Security Life Insurance Company			investor protection violation	2006	SEC	$10,000,000
A.G. Edwards & Sons, Inc.	Wells Fargo	financial services	investor protection violation	2006	SEC	$125,000
Banc of America Securities LLC	Bank of America	financial services	investor protection violation	2006	SEC	$750,000
Bear, Stearns & Co., Inc.	JPMorgan Chase	financial services	investor protection violation	2006	SEC	$1,500,000
Citigroup Global Markets, Inc.	Citigroup	financial services	investor protection violation	2006	SEC	$1,500,000
Goldman Sachs & Co.	Goldman Sachs	financial services	investor protection violation	2006	SEC	$1,500,000
J.P. Morgan Securities, Inc.	JPMorgan Chase	financial services	investor protection violation	2006	SEC	$1,500,000
Lehman Brothers Inc.			investor protection violation	2006	SEC	$1,500,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Bank of America	financial services	investor protection violation	2006	SEC	$1,500,000
Morgan Keegan & Company, Inc.	Raymond James Financial	financial services	investor protection violation	2006	SEC	$125,000
Morgan Stanley & Co. Incorporated/ Morgan Stanley DW Inc.	Morgan Stanley	financial services	investor protection violation	2006	SEC	$1,500,000
Piper Jaffray & Co.	Piper Sandler	financial services	investor protection violation	2006	SEC	$125,000
RBC Dain Rauscher Inc	Royal Bank of Canada	financial services	investor protection violation	2006	SEC	$1,500,000
SunTrust Capital Markets Inc.	Truist Financial	financial services	investor protection violation	2006	SEC	$125,000
Wachovia Capital Markets, LLC	Wells Fargo	financial services	investor protection violation	2006	SEC	$125,000
Ameriprise Financial, Inc.	Ameriprise Financial	financial services	investor protection violation	2005	SEC	$30,000,000
Capital Concept Marketing, Inc.			investor protection violation	2005	SEC	$580,000
Flowserve Corporation	Flowserve	industrial equipment	investor protection violation	2005	SEC	$350,000
Citigroup Global Markets, Inc.	Citigroup	financial services	investor protection violation	2005	SEC	$20,000,000
Edward D. Jones & Co., L.P.	Jones Financial	financial services	investor protection violation	2004	SEC	$75,000,000
PanaMed Corp.			investor protection violation	2004	SEC	$5,000
Knight Securities, L.P.	Virtu Financial	financial services	investor protection violation	2004	SEC	$66,500,000
First Command Financial Planning, Inc.			investor protection violation	2004	SEC	$12,000,000
Franklin Advisers, Inc. and Franklin Templeton Distributors, Inc.	Franklin Resources	financial services	investor protection violation	2004	SEC	$20,000,000
Wachovia Corporation	Wells Fargo	financial services	investor protection violation	2004	SEC	$37,000,000
Beacon Hill Asset Management, LLC			investor protection violation	2004	SEC	$600,000
TD Waterhouse Investor Services, Inc.	Toronto-Dominion Bank	financial services	investor protection violation	2004	SEC	$2,000,000
A.C.L.N. Ltd. and Scandinavian Car Carriers			investor protection violation	2004	SEC	$27,000,000
Bridgeway Capital Management			investor protection violation	2004	SEC	$5,116,464
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLC	Allianz	financial services	investor protection violation	2004	SEC	$11,600,000
National Institute Companies of America, Inc.			investor protection violation	2004	SEC	$1,600,000
ACI Inc.			investor protection violation	2004	SEC	$7,756,750
Deutsche Bank Securities Inc.	Deutsche Bank	financial services	investor protection violation	2004	SEC	$87,500,000
Thomas Weisel Partners LLC	Stifel Financial	financial services	investor protection violation	2004	SEC	$12,500,000
Van Wagoner Capital Management, Inc.			investor protection violation	2004	SEC	$800,000
Adams Harkness, Inc. f/k/a Adams Harkness & Hill, Inc.			investor protection violation	2004	SEC	$575,000
Friedman, Billings, Ramsey & Co., Inc.	Arlington Asset Investment Corp.	financial services	investor protection violation	2004	SEC	$125,000
Janney Montgomery Scott LLC	Penn Mutual	financial services	investor protection violation	2004	SEC	$875,000
Morgan Keegan & Co., Inc.	Raymond James Financial	financial services	investor protection violation	2004	SEC	$875,000
Needham & Company, Inc.			investor protection violation	2004	SEC	$700,000
Prudential Equity Group, LLC f/k/a Prudential Securities Inc.	Prudential Financial	financial services	investor protection violation	2004	SEC	$375,000
SG Cowen & Co., LLC f/k/a SG Cowen Securities Corporation	Toronto-Dominion Bank	financial services	investor protection violation	2004	SEC	$125,000
Fidelity Brokerage Services, LLC	Fidelity Investments	financial services	investor protection violation	2004	SEC	$1,000,000
Global Telecom Services, L.L.C. d/b/a Medical Disposal Devices			investor protection violation	2004	SEC	$1,431,369
Wilmington Trust Company	M&T Bank	financial services	investor protection violation	2004	SEC	$125,000
Morgan Stanley DW Inc.	Morgan Stanley	financial services	investor protection violation	2003	SEC	$50,000,000
Premier Marketing and Investments, Inc.			investor protection violation	2003	SEC	$4,497,451
Schering-Plough Corporation	Merck	pharmaceuticals	investor protection violation	2003	SEC	$1,000,000
Deutsche Asset Management, Inc.	Deutsche Bank	financial services	investor protection violation	2003	SEC	$750,000
Prudential Securities, Inc.	Wells Fargo	financial services	investor protection violation	2003	SEC	$382,000
Bear, Stearns & Co. Inc.	JPMorgan Chase	financial services	investor protection violation	2003	SEC	$80,000,000
Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc.	Citigroup	financial services	investor protection violation	2003	SEC	$400,000,000
Credit Suisse First Boston LLC	UBS	financial services	investor protection violation	2003	SEC	$200,000,000
Goldman, Sachs & Co.	Goldman Sachs	financial services	investor protection violation	2003	SEC	$110,000,000
J.P. Morgan Securities Inc.	JPMorgan Chase	financial services	investor protection violation	2003	SEC	$80,000,000