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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 TypeYearAgency sort iconPenalty Amount
Gardner Insurance Agency, Inc. investor protection violation2011AR-SEC$122,365
Heritage Corner, Ltd. And Heritage Funding Group, Inc. investor protection violation2011AR-SEC$310,000
P-R-E, LLC dba Phoenix Renewable Energy investor protection violation2013AR-SEC$1,804,250
Nick Lynn Technologies, Inc. investor protection violation2013AR-SEC$70,000
SKB Partners and Maverick Investments, LLC investor protection violation2016AR-SEC$725,000
Cetera Investment Services LLC investor protection violation2021AR-SEC$50,000
CUNA Brokerage Services, Inc.CUNA Mutualfinancial servicesinvestor protection violation2021AR-SEC$50,000
Church Extension Loan Fund, Inc. investor protection violation2022AR-SEC$7,300
Anheuser-Busch, LLCAnheuser-Busch InBevbeveragestax violations2020ATTTB$5,000,000
Civitas Therapeutics tax violations2020ATTTB$516,636
Bottle Tree Beverage Company, LLC tax violations2020ATTTB$195,000
Idaho Bourbon Distillers, LLC tax violations2020ATTTB$10,000
Smoke Zone LLC tax violations2020ATTTB$25,000
Jacobs Tobacco Company tax violations2020ATTTB$114,174
Eagle Alcohol Company LLCAlto Ingredientsmiscellaneous energy products and systemstax violations2020ATTTB$7,500
Fabrizia Spirits, LLC tax violations2020ATTTB$75,000
Cooperstown Distillery, LLC tax violations2021ATTTB$32,500
Sara, Inc. tax violations2021ATTTB$20,000
Levecke Corporation tax violations2021ATTTB$28,578,944
RN Acquisition, LLC & City Beverage - Markham, LLC tax violations2021ATTTB$850,000
Stone Brewing Co., LLC tax violations2021ATTTB$1,804,430
Iowa Beverage Systems, Inc. tax violations2021ATTTB$325,000
Global Universal SRL tax violations2021ATTTB$130,000
Latitude 33 Brewing Company tax violations2021ATTTB$160,217
Alaska Commercial Company tax violations2021ATTTB$433,382
Smith & Wesson Sales CompanySmith & Wessonmiscellaneous manufacturingtax violations2021ATTTB$1,729,000
ND Cigars, Inc. tax violations2021ATTTB$115,000
Sun Liquor MFG, Inc. tax violations2021ATTTB$900,000
Fifth Generation, Inc. tax violations2022ATTTB$305,000
Doll Distributing LLC tax violations2022ATTTB$225,000
Decon Laboratories, Inc. tax violations2021ATTTB$3,200,000
Schmaltz Brewing Company LLC tax violations2021ATTTB$200,000
Mariposa Wine Company LLC D/B/A Mariposa Wine Company tax violations2021ATTTB$58,437
RYO Cigarettes of Nevada, Inc. DBA Smoke 4 Less tax violations2021ATTTB$140,000
RYO Cigarettes of Nevada Inc. DBA Double D's Tobacco Emporium tax violations2021ATTTB$210,000
Transchemical Incorporated tax violations2022ATTTB$15,000
Greenbrush Brewing Co. tax violations2022ATTTB$25,000
New Tobacco King tax violations2022ATTTB$40,000
Crescent Brewery LLC tax violations2022ATTTB$7,400
Dallas Distilleries Incorporated tax violations2022ATTTB$73,000
Newburyport Brewing Company tax violations2022ATTTB$83,070
Davos Brands LLC tax violations2022ATTTB$30,000
La Colombe Distilling, LLC tax violations2022ATTTB$61,510
Savage Arms, Inc. tax violations2022ATTTB$800,000
Midway Wholesalers, Inc. tax violations2022ATTTB$250,000
MOA Rifles, LLC tax violations2022ATTTB$100,000
Bayou Teche Brewing L.L.C. tax violations2022ATTTB$77,600
Abu Nawas Beverage Company LLC tax violations2022ATTTB$25,000
Excel Industries, Inc. tax violations2023ATTTB$44,527
Allied Wine Corp. tax violations2023ATTTB$55,000
Shacksbury Holdings Inc. tax violations2023ATTTB$68,631
Cutwater Spirits, LLC tax violations2023ATTTB$169,850
Signature Selections, LLC tax violations2023ATTTB$90,000
Park Street Imports, LLC tax violations2023ATTTB$350,000
Marosi Designs LLC tax violations2023ATTTB$37,500
Far East Ship Supply tax violations2023ATTTB$60,000
RWC Group LLC tax violations2023ATTTB$1,776,836
Seattle Cider Company, LLC tax violations2023ATTTB$12,000
Octopi Brewing, LLC tax violations2024ATTTB$47,043
William Grant & Sons, Inc.William Grant & Sons Ltd.beveragestax violations2024ATTTB$303,815
Andersen, LLP accounting fraud or deficiencies2002AZ-AG$217,000,000
Deloitte and ToucheDeloittebusiness servicesaccounting fraud or deficiencies2000AZ-AG$800,000
Tate Ford Lincoln Mercury, Inc. dba Tate Auto Center accounting fraud or deficiencies2000AZ-AG$150,000
Jalisco Auto Sales tax violations2019AZ-AG$153,000
Truckville Inc. dba EZ Finance Auto Sales investor protection violation2000AZ-CC$5,000
Forex Investment Services Corp. et al. investor protection violation2000AZ-CC$416,086
Great Western Investment Trust, Ltd. investor protection violation2000AZ-CC$435,789
National Financial Group and World Wide Business Opportunities, LLC investor protection violation2000AZ-CC$20,000
Superior Leasing of Arizona, Inc. and Superior Holding Group, Inc. investor protection violation2000AZ-CC$6,792,956
Estate Services II, Inc. investor protection violation2000AZ-CC$15,000
Cochise Financial Corp. investor protection violation2000AZ-CC$1,301,929
Alliance Trust and Chemical Trust and United Marketing Trust investor protection violation2000AZ-CC$75,000
Tucson Estate Financial Advisors, Inc. investor protection violation2000AZ-CC$114,080
Mining Ventures International, LLC investor protection violation2000AZ-CC$253,500
Successful Finance, Inc. investor protection violation2000AZ-CC$421,040
Eye International, L.L.C. and American International Beneficial Association, Inc. investor protection violation2000AZ-CC$11,500
Global Harvest Corp. investor protection violation2001AZ-CC$20,000
Mobile Cash Systems, LLC et al. investor protection violation2001AZ-CC$12,192,829
United Planners' Financial Services of America, A Limited Partnership investor protection violation2001AZ-CC$79,000
Arizona Investment Advisers, Inc. investor protection violation2001AZ-CC$3,050,000
Oxford Development, L.L.C. and CNT Family Fun Outlets, Inc. investor protection violation2001AZ-CC$5,336,160
Keith B. Davis, Inc. investor protection violation2001AZ-CC$1,073,000
Early Detection Centers Inc. and Johnathon Roberts, Inc. investor protection violation2001AZ-CC$210,000
Why Not Entertainment, L.L.C. investor protection violation2001AZ-CC$137,500
Hotel Connect, LLC et al. investor protection violation2001AZ-CC$5,400,000
Investment Planners of America, Inc. investor protection violation2001AZ-CC$25,000
Prosperity Investors Group investor protection violation2001AZ-CC$303,000
Edge Business Services, Inc. investor protection violation2001AZ-CC$10,000
Integrity Assured Life Settlements, Inc. investor protection violation2001AZ-CC$10,611
Steven S. Levine Chartered investor protection violation2001AZ-CC$5,000
Accelerated Success, Inc. investor protection violation2001AZ-CC$24,561
Bar-Lo Millennium Corp. investor protection violation2001AZ-CC$10,000
Aeromax, Inc. and Aeromag Corp. investor protection violation2001AZ-CC$10,000
Profutura LLC investor protection violation2001AZ-CC$6,215,350
Hylton Enterprises, Inc. et al. investor protection violation2002AZ-CC$242,554
Creative Financial Funding, L.L.C. et al. investor protection violation2002AZ-CC$7,947,777
William R. Evans Chartered investor protection violation2002AZ-CC$5,000
Viatical Center, Inc. investor protection violation2002AZ-CC$12,500
Beneficial Assistance investor protection violation2002AZ-CC$5,000
The Chamber Group, Inc. investor protection violation2002AZ-CC$16,342,404
American Insurance Services, L.L.C. investor protection violation2002AZ-CC$810,300
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.