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
SIX Financial Information USA Inc.			investor protection violation	2017	SEC	$107,707
LBMZ Securities, Inc.			investor protection violation	2017	SEC	$240,000
VisionPoint Advisory Group, LLC			investor protection violation	2017	SEC	$45,000
360 Financial, Inc.			investor protection violation	2017	SEC	$40,000
TRH Financial LLC			investor protection violation	2017	SEC	$35,000
Sagent Wealth Management, LLC			investor protection violation	2017	SEC	$181,110
Platinum Equity Advisors, LLC	Platinum Equity	private equity (including portfolio companies)	investor protection violation	2017	SEC	$3,402,132
Howarth Financial Services, LLC			investor protection violation	2017	SEC	$203,444
JL Capital Management			investor protection violation	2017	SEC	$278,289
Potomac Asset Management Company, Inc			investor protection violation	2017	SEC	$300,000
Envoy Advisory, Inc.			investor protection violation	2017	SEC	$51,892
Municipal Finance Services, Inc.			investor protection violation	2017	SEC	$50,000
O'Connor & Company Securities, Inc.			investor protection violation	2017	SEC	$150,000
Vertical Capital Asset Management, LLC			investor protection violation	2017	SEC	$9,034,957
Ironridge Global Partners, LLC and Ironridge Global IV, Ltd.			investor protection violation	2017	SEC	$4,400,000
Institutional Investors Advisory Company			investor protection violation	2017	SEC	$843,187
Capital Dynamics, Inc.			investor protection violation	2017	SEC	$275,000
Coachman Energy Partners LLC			investor protection violation	2017	SEC	$941,507
Cadaret and Grant & Co., Inc.			investor protection violation	2017	SEC	$3,048,000
Columbia River Advisors, LLC			investor protection violation	2017	SEC	$80,000
Windsor Street Capital, L.P. fka Meyers Associates			investor protection violation	2017	SEC	$200,000
Bradway Financial, LLC and Bradway Capital Management, LLC			investor protection violation	2017	SEC	$150,000
Umbrella Research, LLC			investor protection violation	2017	SEC	$16,676
KMS Financial Services, Inc.	Reverence Capital Partners	private equity (including portfolio companies)	investor protection violation	2017	SEC	$552,086
Paramount Group Real Estate Advisor LLC			investor protection violation	2017	SEC	$250,000
Landwin Management, LLC			investor protection violation	2017	SEC	$75,000
Bantry Bay Capital, LLC			investor protection violation	2017	SEC	$100,000
Resilience Management, LLC			investor protection violation	2017	SEC	$250,000
Wm Smith & Co.			investor protection violation	2017	SEC	$50,000
Bonwick Capital Partners, LLC			investor protection violation	2017	SEC	$50,000
New York REIT, Inc. and New York Recovery Advisors, LLC			investor protection violation	2017	SEC	$165,000
Windsor Street Capital, L.P. fka Meyers Associates			investor protection violation	2017	SEC	$10,000
Tellone Management Group, Inc.			investor protection violation	2017	SEC	$75,000
Calvert Investment Distributors, Inc. and Calvert Investment Management, Inc.			investor protection violation	2017	SEC	$22,614,534
William Blair & Company, L.L.C.			investor protection violation	2017	SEC	$4,500,000
Barclays Capital Inc.	Barclays	financial services	investor protection violation	2017	SEC	$12,710,040
Lebenthal & Co., LLC			investor protection violation	2017	SEC	$150,000
Wilson-Davis & Company, Inc.			investor protection violation	2017	SEC	$310,713
Blackrock Fund Advisors	BlackRock	financial services	investor protection violation	2017	SEC	$1,500,000
Cytrx Corporation	CytRx	pharmaceuticals	investor protection violation	2017	SEC	$75,000
Lion Biotechnologies, Inc.			investor protection violation	2017	SEC	$100,000
Lawson Financial Corporation			investor protection violation	2017	SEC	$396,652
Credit Suisse Securities (USA) LLC	UBS	financial services	investor protection violation	2017	SEC	$5,754,714
Cygs, LLC			investor protection violation	2017	SEC	$60,879
Covenant Financial Services, LLC			investor protection violation	2017	SEC	$144,845
Louis Capital Markets, LP			investor protection violation	2017	SEC	$2,500,000
Advanced Emissions Solutions, Inc.	Advanced Emissions Solutions	miscellaneous energy products and systems	investor protection violation	2017	SEC	$500,000
MKJJ Consulting LLC			investor protection violation	2017	SEC	$2,973,916
Stifel, Nicolaus & Company, Incorporated	Stifel Financial	financial services	investor protection violation	2017	SEC	$300,000
Voya Financial Advisors, Inc.	Voya Financial	financial services	investor protection violation	2017	SEC	$3,095,953
Angel Oak Capital Partners, LLC			investor protection violation	2017	SEC	$3,666,370
Lone Star Value Management and Heartland Advisors			investor protection violation	2017	SEC	$300,000
Columbia Management Investment Services Corp.	Ameriprise Financial	financial services	investor protection violation	2017	SEC	$250,000
Jaypee International, Inc.			investor protection violation	2017	SEC	$25,000
Jeffrey Slocum & Associates, Inc.			investor protection violation	2017	SEC	$300,000
Olde Monmouth Stock Transfer Co., Inc.			investor protection violation	2017	SEC	$126,183
Palestra Capital Management LLC			investor protection violation	2017	SEC	$180,968
Mer Telemanagement Solutions Ltd.			investor protection violation	2017	SEC	$50,000
Centre Partners Management, LLC			investor protection violation	2017	SEC	$50,000
Essex Financial Services, Inc.			investor protection violation	2017	SEC	$183,181
Berman & Company, P.A.			investor protection violation	2017	SEC	$25,000
SandRidge Energy, Inc.	SandRidge Energy	oil and gas	investor protection violation	2016	SEC	$1,400,000
Empire Stock Transfer, Inc.			investor protection violation	2016	SEC	$154,239
M2 Law Professional Corp.			investor protection violation	2016	SEC	$154,267
TPG Advisors LLC			investor protection violation	2016	SEC	$328,437
New Silk Route Advisors, L.P.			investor protection violation	2016	SEC	$275,000
Grassi & Co., CPAs and P.C.			investor protection violation	2016	SEC	$401,510
PMB Helin Donovan, LLP			investor protection violation	2016	SEC	$160,000
OTC Global Partners, LLC			investor protection violation	2016	SEC	$87,499
Henning-Carey Proprietary Trading, LLC			investor protection violation	2016	SEC	$110,000
Hope Capital, Inc.			investor protection violation	2016	SEC	$579,747
Dupree Financial Group, LLC			investor protection violation	2016	SEC	$25,000
Elray Resources, Inc.			investor protection violation	2016	SEC	$50,000
Moloney Securities Co., Inc.			investor protection violation	2016	SEC	$41,500
Altair Nanotechnologies, Inc.			investor protection violation	2016	SEC	$250,000
Bluefire Renewables, Inc.			investor protection violation	2016	SEC	$25,000
Connexus Corporation			investor protection violation	2016	SEC	$50,000
Aviva Investors Americas, LLC			investor protection violation	2016	SEC	$250,000
Wilmington Savings Fund Society, FSB			investor protection violation	2016	SEC	$375,000
Nu Skin Enterprises, Inc.	Nu Skin Enterprises	household and personal care products	investor protection violation	2016	SEC	$765,688
3C Advisors & Associates, Inc.			investor protection violation	2016	SEC	$7,500
First Reserve Management, L.P.			investor protection violation	2016	SEC	$3,500,000
Orinda Asset Management, LLC			investor protection violation	2016	SEC	$75,000
AssetMark, Inc.			investor protection violation	2016	SEC	$500,000
Congress Wealth Management LLC			investor protection violation	2016	SEC	$100,000
BB&T Securities, LLC	Truist Financial	financial services	investor protection violation	2016	SEC	$200,000
Constellation Wealth Advisors LLC			investor protection violation	2016	SEC	$100,000
Risk Paradigm Group, LLC			investor protection violation	2016	SEC	$100,000
Executive Monetary Management, LLC			investor protection violation	2016	SEC	$100,000
W.L. Lyons, LLC			investor protection violation	2016	SEC	$200,000
Ladenburg Thalmann Asset Management Inc.	Reverence Capital Partners	private equity (including portfolio companies)	investor protection violation	2016	SEC	$200,000
HT Partners LLC			investor protection violation	2016	SEC	$100,000
Banyan Partners, LLC			investor protection violation	2016	SEC	$200,000
Prospera Financial Services, Inc.			investor protection violation	2016	SEC	$100,000
Schneider Downs Wealth Management Advisors, LP			investor protection violation	2016	SEC	$100,000
Shamrock Asset Management LLC			investor protection violation	2016	SEC	$200,000
WL Ross & Co. LLC	Invesco	financial services	investor protection violation	2016	SEC	$2,300,000
Delaney Equity Group LLC			investor protection violation	2016	SEC	$20,000
Fortius Financial Advisors, LLC			investor protection violation	2016	SEC	$94,070
Concert Global Group Limited and Concert Wealth Management, Inc.			investor protection violation	2016	SEC	$120,000
Washington Wealth Management, LLC			investor protection violation	2016	SEC	$50,000