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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 Type sort iconYearAgencyPenalty Amount
J.P. Morgan Securities Inc.JPMorgan Chasefinancial servicesinvestor protection violation2003SEC$80,000,000
Lehman Brothers Inc. investor protection violation2003SEC$80,000,000
Merrill Lynch, Pierce, Fenner & Smith, IncorporatedBank of Americafinancial servicesinvestor protection violation2003SEC$200,000,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2003SEC$125,000,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2003SEC$32,500,000
UBS Warburg LLCUBSfinancial servicesinvestor protection violation2003SEC$80,000,000
North American Medical Products, Inc. investor protection violation2003SEC$120,000
Siebel Systems, Inc.Oracleinformation technologyinvestor protection violation2002SEC$250,000
Texon Energy Corp. and Lonestar Petroleum Corp. investor protection violation2002SEC$1,268,253
Advance Local Development Corp. investor protection violation2002SEC$9,509,736
Big Country AGS, Inc. d/b/a AGS, Inc. investor protection violation2002SEC$242,840
World Financial & Investment Co., Inc. investor protection violation2001SEC$175,000
TPG CapitalTPG Capitalprivate equity (including portfolio companies)investor protection violation2001SEC$50,000
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
International Monetary Metals, Inc. investor protection violation2016CFTC$9,800,000
My Global Leverage, LLC investor protection violation2016CFTC$1,465,528
Advanced Trading Workshop, Inc. investor protection violation2016CFTC$940,000
Angus Partners LLC investor protection violation2016CFTC$250,000
The Yorkshire Group, Inc. investor protection violation2016CFTC$1,569,801
IB Capital FX, LLC investor protection violation2016CFTC$35,420,000
RBC Capital Markets LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2016SEC$2,500,000
Raymond James & AssociatesRaymond James Financialfinancial servicesinvestor protection violation2016SEC$600,000
Robert W. Baird & Co. investor protection violation2016SEC$250,000
BOK Financial CorporationBOK Financialfinancial servicesinvestor protection violation2016SEC$1,667,720
UBS Financial ServicesUBSfinancial servicesinvestor protection violation2016SEC$15,025,882
Forcerank LLC investor protection violation2016SEC$50,000
Bank LeumiBank Leumifinancial servicesinvestor protection violation2016SEC$1,600,000
Pacific Investment Management Company (PIMCO) investor protection violation2016SEC$19,829,807
Deutsche BankDeutsche Bankfinancial servicesinvestor protection violation2016SEC$18,500,000
NeuStar IncTransUnionmiscellaneous servicesinvestor protection violation2016SEC$180,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2016SEC$7,500,000
Adams Capital Management investor protection violation2017SEC$45,000
Aisling Capital investor protection violation2017SEC$70,456
Allergan Inc.AbbViepharmaceuticalsinvestor protection violation2017SEC$15,000,000
Alta Communications investor protection violation2017SEC$35,000
Commonwealth Venture Management Corporation investor protection violation2017SEC$75,000
Cypress Advisors investor protection violation2017SEC$35,000
FFL Partners investor protection violation2017SEC$75,000
Lime Rock Management investor protection violation2017SEC$75,000
NGN Capital investor protection violation2017SEC$100,000
Pershing Square Capital Management investor protection violation2017SEC$75,000
The Banc Funds Company investor protection violation2017SEC$75,000
Citadel Securities LLC investor protection violation2017SEC$22,600,000
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2017SEC$13,000,000
BNY MellonBank of New York Mellonfinancial servicesinvestor protection violation2017SEC$6,600,000
Port Authority of New York and New Jersey investor protection violation2017SEC$400,000
Interinvest Corporation investor protection violation2016SEC$6,900,000
Citigroup Global MarketsCitigroupfinancial servicesinvestor protection violation2017SEC$2,963,735
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2017SEC$2,963,735
Citigroup Global MarketsCitigroupfinancial servicesinvestor protection violation2017SEC$18,300,000
AMG Energy, LLC and R. Thomas?& Co., LLC investor protection violation2017SEC$150,000
Arcturus Corporation and Aschere Energy LLC investor protection violation2017SEC$15,500,000
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2017SEC$8,000,000
Sidoti & Company LLC investor protection violation2017SEC$100,000
Oxford City Football Club, Inc. investor protection violation2017SEC$6,853,358
Hold Brothers Online Investment Services, LLC investor protection violation2017SEC$707,764
TeamVinh.com LLC investor protection violation2017SEC$2,681,072
Momentum Investment Partners LLC dba Avatar Investment Management investor protection violation2017SEC$193,676
Rhode Island Commerce Corporation f/k/a Rhode Island Economic Development Corporation investor protection violation2017SEC$50,000
Barclays CapitalBarclaysfinancial servicesinvestor protection violation2017SEC$97,037,659
Verto Capital Management investor protection violation2017SEC$4,158,517
Enviso Capital LLC investor protection violation2017SEC$50,000
Ascenergy LLC investor protection violation2017SEC$6,859,690
State Street Bank and Trust CompanyState Street Corp.financial servicesinvestor protection violation2017SEC$35,300,000
Banca IMI Securities Corp.Intesa Sanpaolofinancial servicesinvestor protection violation2017SEC$35,300,000
7S Oil & Gas, LLC investor protection violation2017SEC$750,000
Petroforce Energy, LLC investor protection violation2017SEC$300,000
Augustine Capital Management LLC investor protection violation2017SEC$878,305
Aegerion PharmaceuticalsAmryt Pharmapharmaceuticalsinvestor protection violation2017SEC$4,100,000
SunTrust BanksTruist Financialfinancial servicesinvestor protection violation2017SEC$1,100,000
Mohlman Asset Management, LLC and Mohlman Asset Management Fund, LLC investor protection violation2017SEC$100,937
Capital Financial Partners, LLC et al. investor protection violation2017SEC$15,700,000
Credit Karma, Inc. investor protection violation2018SEC$160,000
Valor Capital Asset Management, LLC investor protection violation2018SEC$715,871
Financial Fiduciaries, LLC investor protection violation2018SEC$40,000
Equitystar Capital Management, LLC investor protection violation2018SEC$2,890,518
Dynamic Intelligence, Inc. investor protection violation2018SEC$228,552
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2018SEC$1,304,197
Americafirst Capital Management, LLC investor protection violation2018SEC$50,000
Gemini Fund Services, LLC investor protection violation2018SEC$400,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinafinancial servicesinvestor protection violation2018SEC$1,250,000
LKL Investment Counsel LLC investor protection violation2018SEC$100,000
Train, Babcock Advisors LLC investor protection violation2017SEC$1,700,725
Southwind Associates of NJ, Inc. d/b/a Villafranco Wealth Management investor protection violation2017SEC$50,000
TPG Capital Advisors, LLCTPG Capitalprivate equity (including portfolio companies)investor protection violation2017SEC$12,487,620
Packerland Brokerage Services, Inc. and Atlas Capital Management Corp. investor protection violation2017SEC$536,886
Horter Investment Management, LLC investor protection violation2017SEC$778,804
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2017SEC$8,750,000
Institutional Investor Advisers, Inc. investor protection violation2017SEC$200,000
Brahman Capital Corp. investor protection violation2017SEC$250,000
Gray Financial Group, Inc. investor protection violation2017SEC$401,298
Millennium Management LLC investor protection violation2017SEC$638,709
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2017SEC$3,500,000
YourPeople, Inc., dba Zenefits FTW Insurance ServicesTriNet Groupbusiness servicesinvestor protection violation2017SEC$450,000
Loop Capital Markets, LLC investor protection violation2017SEC$25,000
Success Holding Group International, Inc. investor protection violation2017SEC$139,737
SIX Financial Information USA Inc. investor protection violation2017SEC$107,707
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.