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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 TypeYear sort iconAgencyPenalty Amount
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2024USAO$153,431,223
Industrial and Commercial Bank of China Ltd.Industrial and Commercial Bank of Chinafinancial servicesbanking violation2024FED$2,400,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2024SEC$18,000,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2024SEC$83,000,000
Medsis International, Inc. investor protection violation2024SEC$15,871,200
TradeStation Crypto securities issuance or trading violation2024MULTI-AG$1,500,000
Holtec InternationalHoltec Internationalmiscellaneous energy products and systemstax violations2024NJ-AG$5,000,000
Simply Gains, Inc.  investor protection violation2024CFTC$830,000
Select Bank banking violation2024FED$9,600
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2024FINRA$1,600,000
City National BankRoyal Bank of Canadafinancial servicesbanking violation2024OCC$65,000,000
Haynie & Company accounting fraud or deficiencies2024PCAOB$400,000
TIAA-CREF Individual & Institutional Services LLCTIAAfinancial servicesinvestor protection violation2024SEC$2,200,000
Van Eck Associates Corporation investor protection violation2024SEC$1,750,000
Northwestern Mutual Investment Services LLCNorthwestern Mutualfinancial servicesinvestor protection violation2024SEC$16,500,000
Guggenheim Securities LLC investor protection violation2024SEC$15,000,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2024SEC$12,000,000
Cambridge Investment Research Inc. investor protection violation2024SEC$10,000,000
Key Investment Services LLC investor protection violation2024SEC$10,000,000
Lincoln Financial Advisors CorporationLincoln Nationalfinancial servicesinvestor protection violation2024SEC$8,500,000
U.S. Bancorp Investments Inc.U.S. Bancorpfinancial servicesinvestor protection violation2024SEC$8,000,000
Huntington Investment Company investor protection violation2024SEC$1,250,000
TradeStation Crypto, Inc. investor protection violation2024SEC$1,500,000
Rockwell Capital Management investor protection violation2024SEC$1,602,089
Northern Star Investment Corp. II investor protection violation2024SEC$1,500,000
Aon Investments USA Inc.Aonfinancial servicesinvestor protection violation2024SEC$1,542,187
SHE Beverage Company, Inc. investor protection violation2024SEC$12,760,274
Comer Capital Group, LLC investor protection violation2024SEC$55,000
Crowd Machine, Inc. and Metavine, Inc. investor protection violation2024SEC$24,234,548
Adar Bays, LLC and Adar Alef, LLC investor protection violation2024SEC$1,145,000
Grenda Group, LLC investor protection violation2024SEC$400,000
Industrial and Commercial Bank of China Ltd.Industrial and Commercial Bank of Chinafinancial servicesbanking violation2024NY-DFS$30,000,000
TRADESTATION CRYPTO, INC investor protection violation2024MULTI-FIN$1,500,000
Elevated Automations LLC and Ecomelevation LLC, investor protection violation2024AZ-CC$712,079
Edward D. Jones & Co., LPJones Financialfinancial servicesinvestor protection violation2024PA-BKG$300,000
Purshe Kaplan Sterling Investments, Inc. investor protection violation2024MA-SEC$250,000
LEGENDARY PARTNERS LLC investor protection violation2024CA-DFPI$137,500
Blue Owl Technology Income Corp. investor protection violation2024TX-SEC$102,000
Blue Owl Credit Income Corp. investor protection violation2024TN-SEC$50,000
Blue Owl Technology Income Corp. investor protection violation2024TN-SEC$50,000
My Private Bullion investor protection violation2024OR-FIN$40,000
D.B. McKenna & Co., Inc. investor protection violation2024ME-SEC$24,241
Cornerstone Wealth Partners, LLC investor protection violation2024CA-DFPI$15,000
True Horizon Wealth Advisors, LLC investor protection violation2024PA-BKG$15,000
Collins Advisors Fund Management, LLC investor protection violation2024SC-SEC$10,550
MUFG BANK, LTD.U.S. Bancorpfinancial servicesbanking violation2024CT-BKG$10,000
Aegis Capital Corp. investor protection violation2024MO-SEC$7,500
COLLINS CAPITAL LLC investor protection violation2024IN-SEC$5,250
Northwestern Mutual Investment Services LLCNorthwestern Mutualfinancial servicesinvestor protection violation2024ME-SEC$5,000
Robert W. Baird & Co. Incorporated investor protection violation2024ME-SEC$5,000
Sovereign Legacy Securities, Inc. investor protection violation2024OR-FIN$5,000
Robbins Capital Management, Inc. investor protection violation2024TN-SEC$5,000
Gries & Associates, LLC accounting fraud or deficiencies2024PCAOB$65,000
Baker Tilly US, LLP accounting fraud or deficiencies2024PCAOB$80,000
Grant Thornton Bharat LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2024PCAOB$40,000
Mazars USA LLP accounting fraud or deficiencies2024PCAOB$60,000
SW Audit accounting fraud or deficiencies2024PCAOB$60,000
WithumSmith+Brown, PC accounting fraud or deficiencies2024PCAOB$2,000,000
Skechers U.S.A. Inc.Skechers USA Inc.apparelinvestor protection violation2024SEC$1,250,000
HG Vora Capital Management LLC investor protection violation2024SEC$950,000
Lordstown Motors Corp.Lordstown Motorsmotor vehiclesinvestor protection violation2024SEC$25,500,000
RenovaCare, Inc. investor protection violation2024SEC$500,000
3D/L Capital Management, LLC investor protection violation2024SEC$285,607
ShapeShift AG investor protection violation2024SEC$275,000
Clark Schaefer Hackett & Co. investor protection violation2024SEC$80,881
Contrarian Capital Management, L.L.C. investor protection violation2024SEC$521,326
Octopi Brewing, LLC tax violations2024ATTTB$47,043
William Grant & Sons, Inc.William Grant & Sons Ltd.beveragestax violations2024ATTTB$303,815
Nawabi Enterprise and Hyperion Consulting Inc. investor protection violation2024CFTC$9,000,000
Empires Consulting Corp. investor protection violation2024CFTC$64,356,794
Blue Moon Investments Inc. investor protection violation2024CFTC$204,622,580
Guaranty Bank and Trust Company banking violation2024FDIC$80,500
JPMorgan Chase & Co.JPMorgan Chasefinancial servicesbanking violation2024FED$98,200,000
EFG International AG economic sanction violation2024OFAC$3,740,442
JPMorgan Chase Bank, N.A.JPMorgan Chasefinancial servicesbanking violation2024OCC$250,000,000
Imelda & Rekan accounting fraud or deficiencies2024PCAOB$1,000,000
KPMG Accountants N.V.KPMGbusiness servicesaccounting fraud or deficiencies2024PCAOB$25,000,000
Navarro Amper & Co. accounting fraud or deficiencies2024PCAOB$1,000,000
Pan-China Singapore PAC accounting fraud or deficiencies2024PCAOB$75,000
Berkower LLC accounting fraud or deficiencies2024PCAOB$25,000
Fontanella Associates LLC CPA & Consulting Firm accounting fraud or deficiencies2024PCAOB$25,000
Freedman & Goldberg, C.P.A.'s, P.C. accounting fraud or deficiencies2024PCAOB$25,000
PricewaterhouseCoopers AustraliaPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2024PCAOB$600,000
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2024PCAOB$2,750,000
R. Bolko CPA P.A accounting fraud or deficiencies2024PCAOB$30,000
Sassetti LLC accounting fraud or deficiencies2024PCAOB$25,000
Halperin Ilanit CPA accounting fraud or deficiencies2024PCAOB$200,000
GeaSphere LLC investor protection violation2024SEC$100,000
Bradesco Global Advisors Inc. investor protection violation2024SEC$20,000
Credicorp Capital Advisors LLC investor protection violation2024SEC$30,000
InSight Securities Inc. investor protection violation2024SEC$20,000
Monex Asset Management Inc. investor protection violation2024SEC$30,000
Senvest Management LLC investor protection violation2024SEC$6,500,000
Genesis Global Capital, LLC investor protection violation2024SEC$21,000,000
Delphia (USA) Inc. investor protection violation2024SEC$225,000
Global Predictions Inc. investor protection violation2024SEC$175,000
Volkswagen AGVolkswagenmotor vehiclesinvestor protection violation2024SEC$48,750,000
Commonwealth Equity Services, LLC d/b/a Commonwealth Financial Network investor protection violation2024SEC$93,274,068
ClearPath Wealth Management, LLC investor protection violation2024SEC$27,130,905
GA Investors investor protection violation2024SEC$1,191,938
Advisor Resource Council investor protection violation2024SEC$300,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.