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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
Trademark INT PTT AB investor protection violation2020CA-DFPI$7,500
Amada Franchise, Inc. investor protection violation2020CA-DFPI$10,000
Bright Light Capital Advisor, Inc. investor protection violation2020CA-DFPI$5,000
Benzer Franchising, LLC investor protection violation2020CA-DFPI$5,000
United Gold Direct, LLC investor protection violation2020CA-DFPI$45,112
Sportball Systems USA, LLC investor protection violation2020CA-DFPI$5,000
Priority Wealth Advisors, Inc. investor protection violation2020CA-DFPI$10,000
Doctors Associates LLC dba Subway investor protection violation2020CA-DFPI$410,000
Neighborhood Networks Publishing, Inc. investor protection violation2020CA-DFPI$10,000
StockCross Financial Services, Inc. investor protection violation2021CA-DFPI$100,000
Black Hill Capital Partners Inc. investor protection violation2021CA-DFPI$50,000
Infinity Capital Group, LLC investor protection violation2022CA-DFPI$125,000
Lofty Ai, Inc. investor protection violation2022CA-DFPI$37,500
Atwood Consortium LLC investor protection violation2023CA-DFPI$5,000
Stock Option Academy dba Stock Option Coach investor protection violation2023CA-DFPI$435,000
Collaborative Financial Consulting, LLC investor protection violation2023CA-DFPI$20,000
California Business Bank banking violation2023CA-DFPI$250,000
LEGENDARY PARTNERS LLC investor protection violation2024CA-DFPI$137,500
Curve Capital LLC investor protection violation2023CA-DFPI$55,000
Pylon Finance aka $PYLON investor protection violation2023CA-DFPI$16,000
Cornerstone Wealth Partners, LLC investor protection violation2024CA-DFPI$15,000
Wilkay Corp. tax violations2002CA-LACDA$59,400
Deutsche Bank SecuritiesDeutsche Bankfinancial servicesaccounting fraud or deficiencies2014CFTC$3,000,000
JPMorgan Chase BankJPMorgan Chasefinancial servicesaccounting fraud or deficiencies2012CFTC$20,000,000
International Monetary Metals, Inc. investor protection violation2016CFTC$9,800,000
My Global Leverage, LLC investor protection violation2016CFTC$1,465,528
Advanced Trading Workshop, Inc. investor protection violation2016CFTC$940,000
Angus Partners LLC investor protection violation2016CFTC$250,000
The Yorkshire Group, Inc. investor protection violation2016CFTC$1,569,801
IB Capital FX, LLC investor protection violation2016CFTC$35,420,000
Williams Advisory Group, LLC investor protection violation2018CFTC$19,450,034
Maverick International, Inc. investor protection violation2018CFTC$8,605,274
Madigan Enterprises, Inc. et al. investor protection violation2018CFTC$3,589,913
R.J. O'Brien & Associates LLC investor protection violation2018CFTC$600,000
Intrade The Prediction Market Limited (Intrade) and Trade Exchange Network Limited investor protection violation2018CFTC$3,000,000
Tallinex investor protection violation2018CFTC$10,971,279
Lansing Trade Group, LLCAndersons Inc.wholesalersinvestor protection violation2018CFTC$3,400,000
TradeMasters USA, LLC investor protection violation2018CFTC$674,504
All City Investments, LLC investor protection violation2018CFTC$670,912
X-Change Financial Access LLC investor protection violation2018CFTC$150,000
Cifuentes Fund Management, LLC investor protection violation2018CFTC$2,227,120
Algointeractive Inc investor protection violation2018CFTC$962,200
Commerzbank AGCommerzbankfinancial servicesinvestor protection violation2018CFTC$12,000,000
Gelfman Blueprint, Inc. investor protection violation2018CFTC$2,408,734
Bank of Nova ScotiaScotiabankfinancial servicesinvestor protection violation2018CFTC$800,000
Kooima & Kaemingk Commodities, Inc. investor protection violation2018CFTC$13,170,857
Mizuho Bank, Ltd.Mizuho Financialfinancial servicesinvestor protection violation2018CFTC$250,000
Geneva Trading USA, LLC investor protection violation2018CFTC$1,500,000
Victory Asset investor protection violation2018CFTC$1,800,000
Global Asset Advisors LLC d/b/a Daniels Trading investor protection violation2018CFTC$300,000
Apuro Holdings Ltd et al. investor protection violation2019CFTC$2,243,344
Eagle Market Makers, Inc. investor protection violation2019CFTC$350,000
Elephas Investment Management Ltd. investor protection violation2019CFTC$160,000
Korea Exchange, Inc. investor protection violation2019CFTC$150,000
Lucrative Pips Corporation investor protection violation2019CFTC$2,694,799
Merrill Lynch Commodities, Inc.Bank of Americafinancial servicesinvestor protection violation2019CFTC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $24,900,000
The Kane Capital Investment Group, LLC investor protection violation2019CFTC$1,232,510
Zilmil, Inc. investor protection violation2019CFTC$22,854,289
Wells Fargo Bank, N.A.Wells Fargofinancial servicesinvestor protection violation2019CFTC$14,475,000
Mitsubishi Corporation RtM Japan Ltd.Mitsubishi Corporationdiversifiedinvestor protection violation2019CFTC$500,000
Tower Research Capital LLC investor protection violation2019CFTC$67,493,849
Silver Star FX, LLC et al. investor protection violation2019CFTC$75,000
Blue Bit Banc et al. investor protection violation2019CFTC$3,346,405
XBT Corp. SARL d/b/a First Global Credit investor protection violation2019CFTC$100,000
Allied Markets, LLC investor protection violation2019CFTC$2,400,000
Omega Knight 2, LLC investor protection violation2019CFTC$15,257,028
Upstream Energy Services LLC investor protection violation2019CFTC$75,000
Treasury Vault, LLC investor protection violation2019CFTC$75,000
Fabio Bretas de Freitas and Phy Capital Investments LLC investor protection violation2019CFTC$22,986,190
BGC Financial, LPBGC Partnersfinancial servicesinvestor protection violation2019CFTC$15,000,000
GFI Securities, LLCBGC Partnersfinancial servicesinvestor protection violation2019CFTC$10,000,000
Mitsubishi International CorporationMitsubishi Corporationdiversifiedinvestor protection violation2019CFTC$400,000
Belvedere Trading LLC investor protection violation2019CFTC$1,100,000
Morgan Stanley Capital Group Inc.Morgan Stanleyfinancial servicesinvestor protection violation2019CFTC$1,500,000
PNC Bank, National AssociationPNC Financial Servicesfinancial servicesinvestor protection violation2019CFTC$300,000
Bank of New York MellonBank of New York Mellonfinancial servicesinvestor protection violation2019CFTC$750,000
NatWest Markets PlcNatWest Group PLCfinancial servicesinvestor protection violation2019CFTC$850,000
Northern Trust CompanyNorthern Trustfinancial servicesinvestor protection violation2019CFTC$1,000,000
HSBC Bank USA, N.A.HSBCfinancial servicesinvestor protection violation2019CFTC$650,000
CHS, Inc.CHS Inc.agribusinessinvestor protection violation2019CFTC$500,000
Intergrain S.A. investor protection violation2019CFTC$175,000
Hard Eight Futures, LLC investor protection violation2019CFTC$1,750,000
ARMKAT LLC investor protection violation2019CFTC$140,000
Heraeus Metals New York LLCHeraeusdiversifiedinvestor protection violation2019CFTC$130,000
Dinar Corp., Inc. and My Monex, Inc. investor protection violation2020CFTC$22,600,000
Mirae Asset Daewoo Co., Ltd. investor protection violation2020CFTC$700,000
Goldman Sachs & Co. LLCGoldman Sachsfinancial servicesinvestor protection violation2019CFTC$1,000,000
FuturesFX investor protection violation2020CFTC$1,750,000
Amada Capital Management LLC investor protection violation2020CFTC$596,700
Edge Financial Technologies, LLC investor protection violation2020CFTC$145,200
Southwest Group, LLC investor protection violation2020CFTC$75,000
Plutus Financial, Inc. d/b/a Abra investor protection violation2020CFTC$150,000
Perfection PR Firm LLC investor protection violation2020CFTC$1,296,572
Foremost Trading LLC investor protection violation2020CFTC$923,013
Deutsche Bank AGDeutsche Bankfinancial servicesinvestor protection violation2020CFTC$9,000,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2020CFTC$1,250,000
Venture Capital Investments LLC investor protection violation2020CFTC$900,604
Black Diamond Forex LP, BDF Trading LP, and Advanta FX investor protection violation2020CFTC$1,200,000
Morgan Stanley Capital Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020CFTC$5,000,000
Sunoco LPEnergy Transferpipelinesinvestor protection violation2020CFTC$450,000
ARB Trading Group LP investor protection violation2020CFTC$445,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.