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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
UBS Global Asset ManagementUBSfinancial servicesinvestor protection violation2012SEC$300,000
Morgan Stanley Investment ManagementMorgan Stanleyfinancial servicesinvestor protection violation2011SEC$3,300,000
RBC Capital Markets LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2011SEC$30,400,000
Charles Schwab Investment Management and Charles Schwab & Co., Inc.Charles Schwab Corp.financial servicesinvestor protection violation2011SEC$118,000,000
Bank of AmericaBank of Americafinancial servicesinvestor protection violation2010SEC$150,000,000
BlueLinx Holdings Inc.BlueLinx Holdingswholesalersinvestor protection violation2016SEC$265,000
Luca International Group, LLC investor protection violation2016SEC$68,300,000
State Street Bank and Trust CompanyState Street Corp.financial servicesinvestor protection violation2016SEC$382,400,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2016SEC$10,000,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2016SEC$415,000,000
Ethiopian Electric Power investor protection violation2016SEC$6,448,854
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2016SEC$1,000,000
First Mortgage Corporation investor protection violation2016SEC$12,700,000
Navistar International Corp.Volkswagenmotor vehiclesinvestor protection violation2016SEC$7,500,000
AVEO Pharmaceuticals Inc.LGdiversifiedinvestor protection violation2016SEC$4,000,000
Royal Alliance Associates, SagePoint Financial and FSC Securities CorporationReverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2016SEC$9,500,000
Uni-Pixel Inc. investor protection violation2016SEC$750,000
Westlands Water District investor protection violation2016SEC$125,000
Marwood Group Research LLC investor protection violation2015SEC$375,000
Sands Brothers Asset Management LLC investor protection violation2015SEC$1,000,000
Fenway Partners LLC investor protection violation2015SEC$8,716,471
DBRS Inc. investor protection violation2015SEC$5,814,482
Premiere Power LLC investor protection violation2015SEC$2,587,523
Wolverine Trading LLC and Wolverine Asset Management LLC investor protection violation2015SEC$1,153,303
Spencer Pharmaceutical Inc. investor protection violation2015SEC$1,000,000
Focus Media Holding Limited investor protection violation2015SEC$55,600,000
First Eagle Investment Management and FEF Distributors investor protection violation2015SEC$39,748,260
8000 Inc. investor protection violation2015SEC$6,500,000
Taberna Capital Management investor protection violation2015SEC$21,500,000
EnviraTrends, Inc. investor protection violation2015SEC$150,000
Colonial Tidewater Realty Income Partners investor protection violation2015SEC$1,319,386
Guggenheim Partners Investment Management LLCGuggenheim Partnersfinancial servicesinvestor protection violation2015SEC$20,000,000
ABS Manager investor protection violation2015SEC$1,087,648
China Valves Technology Inc. investor protection violation2015SEC$575,000
Nationwide Life Insurance CompanyNationwidefinancial servicesinvestor protection violation2015SEC$8,000,000
Macquarie Capital (USA) Inc.Macquariefinancial servicesinvestor protection violation2015SEC$15,000,000
BioChemics Inc. investor protection violation2015SEC$17,897,887
H.D. Vest Investment Securities investor protection violation2015SEC$225,000
VCAP Securities investor protection violation2015SEC$1,477,332
F-Squared Investments investor protection violation2014SEC$35,000,000
Wedbush SecuritiesWedbush Securitiesfinancial servicesinvestor protection violation2014SEC$2,440,000
APT MotoVox Group Inc. investor protection violation2014SEC$25,000
CoroWare Inc. investor protection violation2014SEC$25,000
ERF Wireless Inc. investor protection violation2014SEC$50,000
Green Automotive Company investor protection violation2014SEC$50,000
MineralRite Corporation investor protection violation2014SEC$25,000
Mondial Ventures Inc. investor protection violation2014SEC$50,000
Monster Arts Inc. investor protection violation2014SEC$25,000
Red Giant Entertainment Inc. investor protection violation2014SEC$25,000
Seaniemac International Ltd. investor protection violation2014SEC$50,000
Worthington Energy Inc. investor protection violation2014SEC$25,000
Charles Schwab & Co.Charles Schwab Corp.financial servicesinvestor protection violation2014SEC$61,800
Hapoalim Securities USA investor protection violation2014SEC$54,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2014SEC$56,000
Investment Professionals Inc.Ameriprise Financialfinancial servicesinvestor protection violation2014SEC$67,800
J.P. Morgan SecuritiesJPMorgan Chasefinancial servicesinvestor protection violation2014SEC$54,000
Lebenthal & Co. investor protection violation2014SEC$54,000
National Securities Corporation investor protection violation2014SEC$60,000
Oppenheimer & Co.Oppenheimer Holdingsfinancial servicesinvestor protection violation2014SEC$61,200
Riedl First Securities Co. of Kansas investor protection violation2014SEC$130,000
Stifel Nicolaus & Co.Stifel Financialfinancial servicesinvestor protection violation2014SEC$60,000
TD AmeritradeCharles Schwab Corp.financial servicesinvestor protection violation2014SEC$100,800
UBS Financial ServicesUBSfinancial servicesinvestor protection violation2014SEC$56,400
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2014SEC$67,200
OTC Solutions LLC investor protection violation2014SEC$373,239
Lincolnshire Management investor protection violation2014SEC$2,300,000
Strategic Capital Group LLC investor protection violation2014SEC$586,290
Advanced Cell Technology investor protection violation2014SEC$375,000
Linkbrokers Derivatives LLC investor protection violation2014SEC$14,000,000
AIC Inc. investor protection violation2014SEC$66,760,521
LavaFlow Inc.Citigroupfinancial servicesinvestor protection violation2014SEC$5,000,000
Liquidnet Inc. investor protection violation2014SEC$2,000,000
Empire Stock Transfer Inc. investor protection violation2014SEC$50,000
Transamerica Financial AdvisorsAegonfinancial servicesinvestor protection violation2014SEC$1,107,248
A Chicago Convention Center, LLC and Intercontinental Regional Center Trust of Chicago, LLC investor protection violation2014SEC$12,950,000
Onyx Capital Advisors investor protection violation2014SEC$9,100,000
Western Asset Management CompanyFranklin Resourcesfinancial servicesinvestor protection violation2014SEC$19,400,000
Instinet LLC investor protection violation2013SEC$813,280
ConvergEx GroupToronto-Dominion Bankfinancial servicesinvestor protection violation2013SEC$107,424,429
Greater Wenatchee Regional Events Center Public Facilities District investor protection violation2013SEC$20,000
Milan Group Inc. investor protection violation2013SEC$4,141,148
Further Lane Asset Management investor protection violation2013SEC$150,000
Knelman Asset Management Group investor protection violation2013SEC$60,000
GW & Wade investor protection violation2013SEC$250,000
Modern Portfolio Management Inc. investor protection violation2013SEC$175,000
Equitas Capital Advisers LLC investor protection violation2013SEC$225,000
Petro-Suisse Ltd. investor protection violation2013SEC$8,370,000
TD BankToronto-Dominion Bankfinancial servicesinvestor protection violation2013SEC$15,000,000
City Securities Corporation investor protection violation2013SEC$580,000
RevlonMacAndrews & Forbesdiversifiedinvestor protection violation2013SEC$850,000
211 Ventures LLC investor protection violation2013SEC$2,300,000
J.C. Reed & Co. investor protection violation2013SEC$14,910,003
Ranieri Partners investor protection violation2013SEC$375,000
Fiduciary Asset Management LLC investor protection violation2012SEC$2,859,858
eBX LLC investor protection violation2012SEC$800,000
Advanced Equities Inc investor protection violation2012SEC$1,000,000
ICP Asset Management investor protection violation2012SEC$18,275,033
Worldwide Energy and Manufacturing USA Inc. investor protection violation2012SEC$100,000
Focus Point Solutions and The H Group investor protection violation2012SEC$1,100,000
AMMB Consultant Sendirian Berhad investor protection violation2012SEC$1,550,000
New Futures Trading International Corporation investor protection violation2012SEC$1,433,889
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.