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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
Dixon Insurance Agency investor protection violation2005TN-SEC$9,268
New Millennium Investment Company investor protection violation2005TN-SEC$12,000
SF Investments Inc. investor protection violation2005TN-SEC$21,325
Granite Associates Inc. investor protection violation2005TN-SEC$17,500
Shanklin Capital Management Inc. investor protection violation2005TN-SEC$10,000
Westfort Energy Ltd. investor protection violation2006TN-SEC$108,773
Hattier, Sanford & Reynoir LLP investor protection violation2007TN-SEC$25,000
Quadra Pay Inc. and Quadra Pay Land LLC investor protection violation2009TN-SEC$5,000
Church of God Foundation Inc. investor protection violation2012TN-SEC$5,050
Modern Investments LLC investor protection violation2012TN-SEC$6,890
Keblo Energy LLC investor protection violation2013TN-SEC$5,000
Quinn Financial Partners LLC investor protection violation2013TN-SEC$15,000
The Home Email Business Corp. investor protection violation2016TN-SEC$5,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2016TN-SEC$30,000
Beasley & Company investor protection violation2017TN-SEC$5,000
Fieldstone Financial Partners LLC investor protection violation2017TN-SEC$5,000
Wealth Investors LLC investor protection violation2017TN-SEC$5,000
Wesleyan Investment Foundation Inc. investor protection violation2018TN-SEC$13,000
Spectrum Financial Advisors LLC investor protection violation2019TN-SEC$5,000
Lirio LLC investor protection violation2020TN-SEC$8,000
Jones Wealth Management, LLC investor protection violation2020TN-SEC$15,000
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020TN-SEC$12,994
Save.Win LLC investor protection violation2020TN-SEC$23,210
Greenway Capital Management, LLC investor protection violation2021TN-SEC$5,000
PFM Management Services, Inc. investor protection violation2021TN-SEC$10,000
Form Advisory Group, LLC investor protection violation2021TN-SEC$6,000
Financial Planning Center, LLP investor protection violation2021TN-SEC$7,500
HBS Properties, LLC investor protection violation2021TN-SEC$225,000
iInvestsolutions.com, LLC investor protection violation2022TN-SEC$10,000
Servant Wealth Management, LLC investor protection violation2022TN-SEC$5,000
Guardian Wealth Solutions, Inc. investor protection violation2022TN-SEC$6,000
United Pentecostal Church Developemnt Fund, Inc., dba United Pentecostal Church Loan Fund investor protection violation2022TN-SEC$5,000
Pantheon Investments, LLC investor protection violation2023TN-SEC$15,000
Mackie Financial Group, LLC investor protection violation2023TN-SEC$25,000
WealthWise Inc. investor protection violation2023TN-SEC$17,000
Blue Owl Credit Income Corp. investor protection violation2024TN-SEC$50,000
Blue Owl Technology Income Corp. investor protection violation2024TN-SEC$50,000
Robbins Capital Management, Inc. investor protection violation2024TN-SEC$5,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2016SEC$35,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2016SEC$54,300,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2016SEC$4,000,000
Morgan Stanley Investment ManagementMorgan Stanleyfinancial servicesinvestor protection violation2015SEC$8,800,000
J.P. Morgan Securities LLC and JPMorgan Chase Bank N.A.JPMorgan Chasefinancial servicesinvestor protection violation2015SEC$267,000,000
ICBC Standard Bank PlcIndustrial and Commercial Bank of Chinafinancial servicesinvestor protection violation2015SEC$4,200,000
UBS Willow Management LLC and UBS Fund Advisor LLCUBSfinancial servicesinvestor protection violation2015SEC$17,500,000
UBS AGUBSfinancial servicesinvestor protection violation2015SEC$19,500,000
Blackstone GroupBlackstoneprivate equity (including portfolio companies)investor protection violation2015SEC$39,000,000
Citigroup Global MarketsCitigroupfinancial servicesinvestor protection violation2015SEC$15,000,000
Edward D. Jones & Co. LPJones Financialfinancial servicesinvestor protection violation2015SEC$20,000,000
Kohlberg Kravis Roberts & Co.KKR & Co.private equity (including portfolio companies)investor protection violation2015SEC$30,000,000
BlackRock Advisors LLCBlackRockfinancial servicesinvestor protection violation2015SEC$12,000,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2015SEC$14,400,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2014SEC$4,000,000
HSBC Private Bank (Suisse)HSBCfinancial servicesinvestor protection violation2014SEC$12,500,000
Credit Suisse Group AGUBSfinancial servicesinvestor protection violation2014SEC$196,000,000
Fifth Third BancorpFifth Third Bancorpfinancial servicesaccounting fraud or deficiencies2013SEC$6,500,000
JPMorgan & Co.JPMorgan Chasefinancial servicesaccounting fraud or deficiencies2013SEC$200,000,000
UBS SecuritiesUBSfinancial servicestoxic securities abuses2013SEC$50,000,000
Capital One Financial CorporationCapital One Financialfinancial servicesaccounting fraud or deficiencies2013SEC$3,500,000
Massachusetts Mutual Life Insurance CompanyMassachusetts Mutual Life Insurancefinancial servicesinvestor protection violation2012SEC$1,625,000
OppenheimerFunds Inc.Invescofinancial servicesinvestor protection violation2012SEC$35,000,000
UBS Financial Services Inc. of Puerto RicoUBSfinancial servicesinvestor protection violation2012SEC$26,600,000
UBS Global Asset ManagementUBSfinancial servicesinvestor protection violation2012SEC$300,000
Morgan Stanley Investment ManagementMorgan Stanleyfinancial servicesinvestor protection violation2011SEC$3,300,000
RBC Capital Markets LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2011SEC$30,400,000
Charles Schwab Investment Management and Charles Schwab & Co., Inc.Charles Schwab Corp.financial servicesinvestor protection violation2011SEC$118,000,000
Bank of AmericaBank of Americafinancial servicesinvestor protection violation2010SEC$150,000,000
BlueLinx Holdings Inc.BlueLinx Holdingswholesalersinvestor protection violation2016SEC$265,000
Luca International Group, LLC investor protection violation2016SEC$68,300,000
JNL Oilfield Instruments, LLC accounting fraud or deficiencies2016SEC$160,000
State Street Bank and Trust CompanyState Street Corp.financial servicesinvestor protection violation2016SEC$382,400,000
Phoenix Companies accounting fraud or deficiencies2016SEC$600,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2016SEC$10,000,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2016SEC$415,000,000
StratoComm Corporation accounting fraud or deficiencies2016SEC$5,068,709
Icon Capital accounting fraud or deficiencies2016SEC$750,000
IEC Electronics Corp. accounting fraud or deficiencies2016SEC$200,000
Ethiopian Electric Power investor protection violation2016SEC$6,448,854
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2016SEC$1,000,000
Albert Fried & Company anti-money-laundering deficiencies2016SEC$300,000
First Mortgage Corporation investor protection violation2016SEC$12,700,000
Swisher HygieneEcolabchemicalsaccounting fraud or deficiencies2016SEC$2,000,000
Cabela'sBass Proretailingaccounting fraud or deficiencies2016SEC$1,000,000
Logitech InternationalLogitech Internationalelectrical and electronic equipmentaccounting fraud or deficiencies2016SEC$7,500,000
INTL FCStoneStoneX Groupfinancial servicesaccounting fraud or deficiencies2016SEC$150,000
Navistar International Corp.Volkswagenmotor vehiclesinvestor protection violation2016SEC$7,500,000
Burrill Capital Management accounting fraud or deficiencies2016SEC$4,785,000
AVEO Pharmaceuticals Inc.LGdiversifiedinvestor protection violation2016SEC$4,000,000
ModusLink Global Solutions Inc.Steel Connect Inc.freight and logisticsaccounting fraud or deficiencies2016SEC$1,600,000
Royal Alliance Associates, SagePoint Financial and FSC Securities CorporationReverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2016SEC$9,500,000
Magnum Hunter Resources CorporationBlue Ridge Mountain Resourcesoil and gasaccounting fraud or deficiencies2016SEC$250,000
Uni-Pixel Inc. investor protection violation2016SEC$750,000
Westlands Water District investor protection violation2016SEC$125,000
KeyBanc Capital Markets Inc.KeyCorpfinancial servicesaccounting fraud or deficiencies2016SEC$175,000
Marrone Bio Innovations accounting fraud or deficiencies2016SEC$1,750,000
Monsanto CompanyBayerchemicalsaccounting fraud or deficiencies2016SEC$80,000,000
E.S. Financial Services anti-money-laundering deficiencies2016SEC$1,000,000
eAdGear Inc. accounting fraud or deficiencies2016SEC$22,640,000
Ocwen Financial Corp.Ocwen Financialfinancial servicesaccounting fraud or deficiencies2016SEC$2,000,000
Miller Energy Resources accounting fraud or deficiencies2016SEC$5,000,000
Grant Thornton LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2015SEC$4,500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.