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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
Bittrex Inc. investor protection violation2023SEC$24,000,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2023SEC$2,900,000
Impact Theory, LLC investor protection violation2023SEC$6,100,000
Legacy Hospitality II, LLC investor protection violation2023SEC$3,892,012
Legendary Capital REIT III, LLC investor protection violation2023SEC$774,331
Wells Fargo Clearing Services LLCWells Fargofinancial servicesinvestor protection violation2023SEC$35,000,000
Alpine 4 Holdings, Inc. investor protection violation2023SEC$60,000
Black Spade Acquisition Co investor protection violation2023SEC$35,000
Fundrise Advisors, LLC investor protection violation2023SEC$250,000
Omnia Wellness Inc. investor protection violation2023SEC$60,000
ReShape Lifesciences Inc. investor protection violation2023SEC$35,000
Vivic Corp. investor protection violation2023SEC$60,000
Titan Global Capital Management USA LLC investor protection violation2023SEC$1,042,454
Basic Wealth Advisors, Inc. and Basic Financial Services, Inc. investor protection violation2023SC-SEC$10,000
Plutus Financial, Inc. dba Abra and Plutus Lending, LLC and Abra Boost, LLC investor protection violation2023SC-SEC$32,800
Bancredito International Bank and Trust Corporation anti-money-laundering deficiencies2023FINCEN$15,000,000
Amani Investments LLC anti-money-laundering deficiencies2023USAO$1,000,000
Fitbela Epro Limited investor protection violation2023WA-SEC$86,500
JPMorgan Chase Bank, N.A.JPMorgan Chasefinancial servicesinvestor protection violation2023CFTC$15,000,000
LYFE, S.A. anti-money-laundering deficiencies2023CFTC$212,014
Highland Quantitative Driven Investments LLC investor protection violation2023CFTC$476,206
Shinhan Bank America anti-money-laundering deficiencies2023FDIC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $5,000,000
Emigrant Bank economic sanction violation2023OFAC$31,867
3M Company3M Companymiscellaneous manufacturingeconomic sanction violation2023OFAC$9,618,477
Deloitte & Touche S.A.S.Deloittebusiness servicesaccounting fraud or deficiencies2023PCAOB$900,000
BDO USA, P.CBDO Internationalbusiness servicesaccounting fraud or deficiencies2023PCAOB$2,000,000
Collaborative Financial Consulting LLC investor protection violation2023SEC$20,000
Wilmington Trust Investment Management, LLCM&T Bankfinancial servicesinvestor protection violation2023SEC$1,327,147
D. E. Shaw & Co., L.P. investor protection violation2023SEC$10,000,000
Interactive Brokers Corp.Interactive Brokers Groupfinancial servicesinvestor protection violation2023SEC$35,000,000
Robert W. Baird & Co. Inc. investor protection violation2023SEC$15,000,000
William Blair & Company LLC investor protection violation2023SEC$10,000,000
Nuveen Securities LLCTIAAfinancial servicesinvestor protection violation2023SEC$8,500,000
Fifth Third Securities Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2023SEC$8,000,000
Perella Weinberg Partners LP investor protection violation2023SEC$2,500,000
DBRS Inc. investor protection violation2023SEC$6,000,000
Kroll Bond Rating Agency, LLC investor protection violation2023SEC$4,000,000
Newell Brands Inc.Newell Brandshousewares and home furnishingsaccounting fraud or deficiencies2023SEC$12,500,000
Nano-X Imaging Ltd. investor protection violation2023SEC$650,000
Luther Speight & Company, LLC investor protection violation2023SEC$20,000
Appomattox Advisory, Inc. investor protection violation2023SEC$150,000
Florence Capital Advisors, LLC investor protection violation2023SEC$200,000
Maxim Group, LLC investor protection violation2023SEC$800,000
Spruce Power Holding Corporation investor protection violation2023SEC$11,000,000
Woodbury Financial Services, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2023SEC$100,000
SagePoint Financial, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2023SEC$100,000
Osaic Wealth, Inc. investor protection violation2023SEC$100,000
FSC Securities Corporation investor protection violation2023SEC$100,000
Salomon Whitney LLC investor protection violation2023SEC$236,173
Forepont Capital LLC investor protection violation2023SEC$150,000
Apexium Financial LP investor protection violation2023SEC$150,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2023SEC$1,975,000
TAL Education Group investor protection violation2023SEC$1,250,000
Cloudastructure, Inc. investor protection violation2023SEC$558,071
Hightimes Holding Corp investor protection violation2023SEC$558,071
Cumberland Pharmaceuticals Inc. investor protection violation2023SEC$200,000
AgEagle Aerial Systems Inc. investor protection violation2023SEC$190,000
eXp World Holdings, Inc. investor protection violation2023SEC$115,000
SolarEdge Technologies, Inc. investor protection violation2023SEC$125,000
Lattice Semiconductor CorporationLattice Semiconductorelectrical and electronic equipmentinvestor protection violation2023SEC$185,000
AssetMark Inc. investor protection violation2023SEC$18,000,000
Bruderman Asset Management LLC investor protection violation2023SEC$250,000
Highlander Capital Management, LLC investor protection violation2023SEC$150,000
Fieldman Rolapp & Associates, Inc. investor protection violation2023SEC$127,916
Wellesley Asset Management, Inc investor protection violation2023SEC$1,000,000
American Infrastructure Funds LLC investor protection violation2023SEC$1,600,000
Citadel Securities LLC investor protection violation2023SEC$7,000,000
Goldman Sachs & Co. LLCGoldman Sachsfinancial servicesinvestor protection violation2023SEC$6,000,000
Carl M. Hennig, Inc. investor protection violation2023SEC$50,000
Kandi Technologies Group, Inc. investor protection violation2023SEC$710,000
CBRE, Inc.CBRE Groupreal estateinvestor protection violation2023SEC$375,000
Lyft Inc.Lyft Inc.miscellaneous servicesinvestor protection violation2023SEC$10,000,000
GGToor, Inc. investor protection violation2023SEC$40,000
Summit Planning Group, Inc. investor protection violation2023SEC$109,401
Shinhan Bank America anti-money-laundering deficiencies2023FINCEN$15,000,000
Binance Holdings Limited et al.Binance Holdingsfinancial servicesinvestor protection violation2023CFTC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,700,000,000
Tyche Asset Management LLC et al. investor protection violation2023CFTC$21,308,692
Metropolitan Commercial Bank banking violation2023FED$14,500,000
Binance Holdings Limited,Binance Holdingsfinancial servicesanti-money-laundering deficiencies2023FINCEN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $3,400,000,000
Binance Holdings, LtdBinance Holdingsfinancial serviceseconomic sanction violation2023OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $968,618,825
DaVinci Payments economic sanction violation2023OFAC$206,213
Cherry Bekaert LLP accounting fraud or deficiencies2023PCAOB$35,000
Deloitte AuditDeloittebusiness servicesaccounting fraud or deficiencies2023PCAOB$50,000
KPMG ArgentinaKPMGbusiness servicesaccounting fraud or deficiencies2023PCAOB$40,000
KPMG Auditores Independentes Ltda.KPMGbusiness servicesaccounting fraud or deficiencies2023PCAOB$40,000
RH CPA accounting fraud or deficiencies2023PCAOB$45,000
UHY LLP accounting fraud or deficiencies2023PCAOB$45,000
Somerset CPAs accounting fraud or deficiencies2023PCAOB$100,000
KPMG AZSA LLCKPMGbusiness servicesaccounting fraud or deficiencies2023PCAOB$500,000
PricewaterhouseCoopers Auditing Company SAPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2023PCAOB$3,000,000
Smythe LLP accounting fraud or deficiencies2023PCAOB$175,000
Rio Tinto PLCRio Tintomining and mineralsinvestor protection violation2023SEC$28,000,000
Laidlaw & Company (UK) Ltd. investor protection violation2023SEC$822,884
Bell Rock Capital, LLC investor protection violation2023SEC$1,509,048
Charter Communications Inc.Charter Communicationstelecommunicationsaccounting fraud or deficiencies2023SEC$25,000,000
Royal Bank of CanadaRoyal Bank of Canadafinancial servicesaccounting fraud or deficiencies2023SEC$6,000,000
BlackRock Advisors, LLCBlackRockfinancial servicesinvestor protection violation2023SEC$2,500,000
Thor Technologies, Inc. investor protection violation2023SEC$1,053,193
Anson Advisors Inc investor protection violation2023SEC$3,330,394
Oregon Tool, Inc.Platinum Equityprivate equity (including portfolio companies)anti-money-laundering deficiencies2023USAO$1,700,000
Blue Owl Credit Income Corp. investor protection violation2023WA-SEC$150,662
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.