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	Primary Offense Type	Year	Agency	Penalty Amount
Apple Seven Advisors Inc.	accounting fraud or deficiencies	2014	SEC	$375,000
Apple Eight Advisors Inc.	accounting fraud or deficiencies	2014	SEC	$437,500
Apple Nine Advisors Inc.	accounting fraud or deficiencies	2014	SEC	$250,000
Onyx Capital Advisors	investor protection violation	2014	SEC	$9,100,000
Instinet LLC	investor protection violation	2013	SEC	$813,280
GLG Partners L.P.	accounting fraud or deficiencies	2013	SEC	$8,954,346
Sherb & Co. LLP	accounting fraud or deficiencies	2013	SEC	$75,000
Greater Wenatchee Regional Events Center Public Facilities District	investor protection violation	2013	SEC	$20,000
Milan Group Inc.	investor protection violation	2013	SEC	$4,141,148
Further Lane Asset Management	investor protection violation	2013	SEC	$150,000
Knelman Asset Management Group	investor protection violation	2013	SEC	$60,000
GW & Wade	investor protection violation	2013	SEC	$250,000
Modern Portfolio Management Inc.	investor protection violation	2013	SEC	$175,000
Equitas Capital Advisers LLC	investor protection violation	2013	SEC	$225,000
Petro-Suisse Ltd.	investor protection violation	2013	SEC	$8,370,000
Patrizio & Zhao LLC	accounting fraud or deficiencies	2013	SEC	$30,000
Universal Travel Group	accounting fraud or deficiencies	2013	SEC	$750,000
City Securities Corporation	investor protection violation	2013	SEC	$580,000
Fuqi International Inc.	accounting fraud or deficiencies	2013	SEC	$1,000,000
China Natural Gas Inc.	accounting fraud or deficiencies	2013	SEC	$815,000
MedLink International Inc.	accounting fraud or deficiencies	2013	SEC	$8,084,515
Capital Solutions Distributors, LLC and Capital Solutions Management, LP	accounting fraud or deficiencies	2013	SEC	$4,997,077
211 Ventures LLC	investor protection violation	2013	SEC	$2,300,000
J.C. Reed & Co.	investor protection violation	2013	SEC	$14,910,003
Ranieri Partners	investor protection violation	2013	SEC	$375,000
Keyuan Petrochemicals	accounting fraud or deficiencies	2013	SEC	$1,000,000
Fiduciary Asset Management LLC	investor protection violation	2012	SEC	$2,859,858
eBX LLC	investor protection violation	2012	SEC	$800,000
Advanced Equities Inc	investor protection violation	2012	SEC	$1,000,000
ICP Asset Management	investor protection violation	2012	SEC	$18,275,033
Worldwide Energy and Manufacturing USA Inc.	investor protection violation	2012	SEC	$100,000
Focus Point Solutions and The H Group	investor protection violation	2012	SEC	$1,100,000
AMMB Consultant Sendirian Berhad	investor protection violation	2012	SEC	$1,550,000
New Futures Trading International Corporation	investor protection violation	2012	SEC	$1,433,889
Martin Currie	investor protection violation	2012	SEC	$8,300,000
Banco Espirito Santo S.A.	investor protection violation	2011	SEC	$7,000,000
Long Term-Short Term Inc., d/b/a BetterTrades	investor protection violation	2011	SEC	$750,000
Wall Street Capital Funding LLC	investor protection violation	2011	SEC	$300,000
Locke Capital Management Inc.	investor protection violation	2011	SEC	$3,673,996
LaBarge Inc.	accounting fraud or deficiencies	2011	SEC	$200,000
Aerokinetic Energy Corporation	investor protection violation	2011	SEC	$859,571
LandOak Securities LLC	investor protection violation	2011	SEC	$992,140
Navigators International Management Co., Ltd.	investor protection violation	2011	SEC	$45,000
Deerfield Capital Corp.	accounting fraud or deficiencies	2011	SEC	$1,277,070
Hudson Highland Group	accounting fraud or deficiencies	2011	SEC	$200,000
Enzyme Environmental Solutions, Inc.	investor protection violation	2011	SEC	$371,135
BroCo Investments, Inc.	accounting fraud or deficiencies	2010	SEC	$627,633
Berkshire Resources, L.L.C.	investor protection violation	2010	SEC	$16,255,846
Prime Time Group Inc.	investor protection violation	2010	SEC	$325,000
ASMAC Financial, Inc.	investor protection violation	2010	SEC	$133,995
K&L International Enterprises, Inc., Signature Leisure, Inc., and Signature Worldwide Advisors, LLC	investor protection violation	2010	SEC	$12,574,582
Thompson Consulting Inc.	investor protection violation	2010	SEC	$400,000
CFO-5 LLC	investor protection violation	2010	SEC	$3,197,222
Presstek Inc.	investor protection violation	2010	SEC	$400,000
Wealth Management LLC	investor protection violation	2010	SEC	$1,471,002
TSB Bank	banking violation	2016	FDIC	$40,000
Proficio Bank	banking violation	2016	FDIC	$250,000
Hawaiian Gardens Casino, Inc. d/b/a The Gardens Casino	anti-money-laundering deficiencies	2016	FINCEN	$2,800,000
HyperBranch Medical Technology Inc.	economic sanction violation	2016	OFAC	$107,691
CGG Services S.A	economic sanction violation	2016	OFAC	$614,250
STATE BANK OF KANSAS, THE	banking violation	2009	FDIC	$25,000
CITIZENS BANK AND TRUST COMPANY OF CHICAGO	banking violation	2009	FDIC	$5,500
COMMUNITY FIRSTBANK OF CHARLESTON	banking violation	2009	FDIC	$26,840
COATESVILLE SAVINGS BANK	banking violation	2009	FDIC	$5,500
WEST POINTE BANK	banking violation	2009	FDIC	$15,950
COMMERCIAL STATE BANK	banking violation	2009	FDIC	$20,535
STATE CENTRAL BANK	banking violation	2009	FDIC	$9,500
THE FIRST STATE BANK OF BURLINGAME	banking violation	2009	FDIC	$8,000
EAST BOSTON SAVINGS BANK	banking violation	2009	FDIC	$9,430
DELAWARE COUNTY BANK AND TRUST COMPANY, THE	banking violation	2009	FDIC	$5,000
BANK OF ONTARIO	banking violation	2009	FDIC	$5,350
HORIZON COMMUNITY BANK	banking violation	2009	FDIC	$6,740
FIRSTRUST SAVINGS BANK	banking violation	2009	FDIC	$10,000
WEST SUBURBAN BANK	banking violation	2009	FDIC	$7,000
CHEYENNE STATE BANK	banking violation	2009	FDIC	$6,765
CORNERSTONE COMMUNITY BANK	banking violation	2009	FDIC	$25,000
WAUMANDEE STATE BANK	banking violation	2009	FDIC	$13,090
AMERICAN RIVER BANK	banking violation	2009	FDIC	$7,770
COMMUNITY BANK OF CENTRAL WISCONSIN	banking violation	2009	FDIC	$7,200
MAIN STREET BANK CORP.	banking violation	2009	FDIC	$9,600
PEOPLE'S BANK AND TRUST COMPANY OF PICKETT COUNTY	banking violation	2009	FDIC	$5,390
SOUND BANKING COMPANY	banking violation	2009	FDIC	$5,400
MONROE BANK & TRUST	banking violation	2009	FDIC	$12,400
REPUBLIC FIRST BANK	banking violation	2009	FDIC	$8,750
DORAL BANK	banking violation	2009	FDIC	$38,030
HILLCREST BANK	banking violation	2009	FDIC	$8,000
Advanta Bank Corporation	banking violation	2009	FDIC	$35,150,000
BANK OF AGRICULTURE AND COMMERCE	banking violation	2009	FDIC	$100,000
AL Amerilife First Financial, LLC	banking violation	2009	FDIC	$100,000
FIRST EXCHANGE BANK	banking violation	2009	FDIC	$8,225
FIRST GUARANTY BANK	banking violation	2009	FDIC	$17,000
FIDELITY SAVINGS BANK	banking violation	2009	FDIC	$17,000
UNITED BANK	banking violation	2009	FDIC	$8,470
SEATTLE BANK	banking violation	2009	FDIC	$15,050
FIRST SERVICE BANK	banking violation	2009	FDIC	$8,000
COULEE BANK	banking violation	2009	FDIC	$5,270
GRABILL BANK	banking violation	2009	FDIC	$10,000
MARION CENTER BANK	banking violation	2009	FDIC	$12,000
CITIZENS FIRST BANK	banking violation	2009	FDIC	$16,535
WEST BANK	banking violation	2009	FDIC	$18,920
FIRST MARINER BANK	banking violation	2009	FDIC	$50,000