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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
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2004SEC$875,000
Morgan Keegan & Co., Inc.Raymond James Financialfinancial servicesinvestor protection violation2004SEC$875,000
Needham & Company, Inc. investor protection violation2004SEC$700,000
Prudential Equity Group, LLC f/k/a Prudential Securities Inc.Prudential Financialfinancial servicesinvestor protection violation2004SEC$375,000
SG Cowen & Co., LLC f/k/a SG Cowen Securities CorporationToronto-Dominion Bankfinancial servicesinvestor protection violation2004SEC$125,000
Royal Dutch Petroleum CompanyShell PLCoil and gasaccounting fraud or deficiencies2004SEC$120,000,000
Doeren Mayhew & Co. P.C. accounting fraud or deficiencies2004SEC$115,126
Grant Thornton LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2004SEC$1,500,000
Bristol-Myers Squibb CompanyBristol-Myers Squibbpharmaceuticalsaccounting fraud or deficiencies2004SEC$150,000,000
Fidelity Brokerage Services, LLCFidelity Investmentsfinancial servicesinvestor protection violation2004SEC$1,000,000
Halliburton Co.Halliburtonoilfield services and suppliesaccounting fraud or deficiencies2004SEC$7,500,000
Global Telecom Services, L.L.C. d/b/a Medical Disposal Devices investor protection violation2004SEC$1,431,369
Measurement Specialties, Inc. accounting fraud or deficiencies2004SEC$1,000,000
Gemstar-TV Guide International, Inc. accounting fraud or deficiencies2004SEC$10,000,000
Wilmington Trust CompanyM&T Bankfinancial servicesinvestor protection violation2004SEC$125,000
i2 Technologies, Inc. accounting fraud or deficiencies2004SEC$10,000,000
Symbol Technologies, Inc.Zebra Technologieselectrical and electronic equipmentaccounting fraud or deficiencies2004SEC$37,000,000
Del Global Technologies Corp., Inc. accounting fraud or deficiencies2004SEC$400,000
Lucent Technologies Inc.Nokiatelecommunicationsaccounting fraud or deficiencies2004SEC$25,000,000
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2004SEC$2,400,000
Groh Asset Management, Inc. investor protection violation2004SEC$45,000
Kiely Financial Services, Inc. investor protection violation2004SEC$154,256
Rudney Associates, Inc. investor protection violation2004SEC$62,330
Taglich Brothers, Inc. investor protection violation2004SEC$50,000
Donaldson, Lufkin & Jenrette Securities Corp.UBSfinancial servicesinvestor protection violation2004SEC$1,000,000
JC Management, Inc. investor protection violation2004SEC$27,991
Connecticut Capital Markets, L.L.C. investor protection violation2004SEC$259,110
SEI Investments Distribution Company and SEI Investments Company investor protection violation2004SEC$375,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2004SEC$2,000,000
Fidelity National Capital Investors, Inc. investor protection violation2004SEC$125,000
Freedom Financial, Inc. investor protection violation2004SEC$25,000
David Lerner Associates, Inc. investor protection violation2004SEC$50,000
Nevis Capital Management, LLC investor protection violation2004SEC$1,700,000
Hard Asset Management, Inc. investor protection violation2004SEC$62,439
Celebrity Resorts and Casinos, Inc. investor protection violation2004SEC$347,250
Research Investment Group, Inc. investor protection violation2004SEC$24,721
Allianz Dresdner Asset Management of America LPAllianzfinancial servicesinvestor protection violation2004NJ-AG$18,000,000
Chevron Oil Co.Chevronoil and gastax violations2004LA-AG$102,000,000
Conseco, Inc.CNO Financialfinancial servicesinvestor protection violation2004NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $15,000,000
Forstmann Little & Co. investor protection violation2004CT-AG$16,200,000
Franklin/Templeton Distributors, Inc.Franklin Resourcesfinancial servicesinvestor protection violation2004CA-AG$18,000,000
Inviva, Inc. investor protection violation2004NY-AG$5,000,000
Office Depot Inc.ODP Corporationretailingtax violations2004IL-AG$803,904
PA Distributors investor protection violation2004CA-AG$9,000,000
Target Corp.Targetretailingtax violations2004IL-AG$803,904
Wal-Mart Stores Inc.Walmartretailingtax violations2004IL-AG$803,904
FIRST BANKFirst Bancorp (North Carolina)financial servicesbanking violation2004FDIC$12,000
Computer Associates International, Inc.Broadcomelectrical and electronic equipmentaccounting fraud or deficiencies2004USAO$225,000,000
G.B. Enterprises Inc. tax violations2004USAO$36,005,649
Federal Diamond Corp. tax violations2004NY-MANDA$350,000
Historical Design, Inc. tax violations2004NY-MANDA$475,000
Keshishian Ltd. tax violations2004NY-MANDA$99,969
Art Advisory Services, Inc. tax violations2004NY-MANDA$250,000
Hudson United Bank anti-money-laundering deficiencies2004NY-MANDA$5,000,000
KFNS-AM, KFNS-FM and KFRT-AM anti-money-laundering deficiencies2004USAO$158,000
Alpha Technologies Inc. tax violations2004USAO$500,000
G.B. Enterprises Inc. tax violations2004USAO$40,000,000
Healthcare Purchasing Alliance, Inc. investor protection violation2004AZ-CC$273,933
Global Trusts, L.L.C. investor protection violation2004AZ-CC$125,680
Your Living Trust investor protection violation2004AZ-CC$75,500
Corporate Architects, Inc. investor protection violation2004AZ-CC$20,925
B.B. Financial Services Group, Inc. investor protection violation2004AZ-CC$174,050
Dreos Financial Services investor protection violation2004AZ-CC$22,425
International Global Positioning, Inc. investor protection violation2004AZ-CC$615,951
Johnson Estate Planning Service, Inc. investor protection violation2004AZ-CC$176,500
Integrowth Financial Group investor protection violation2004AZ-CC$2,016,524
Unity Financial, LLC investor protection violation2004AZ-CC$1,642,564
Intersecurities, Inc. investor protection violation2004AZ-CC$50,000
HCH Enterprises, L.L.C. investor protection violation2004AZ-CC$371,000
The Social Equity Group, Inc. investor protection violation2004CA-DFPI$9,000
Blackboard, Inc. investor protection violation2004DC-DISB$5,000
Brookstreet Securities Corp. investor protection violation2004FL-OFR$15,000
Investors Capital Corp. investor protection violation2004FL-OFR$20,000
Meyers Associates, L.P. investor protection violation2004FL-OFR$15,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2004FL-OFR$10,000
Allen Douglas Securities, Inc. investor protection violation2004FL-OFR$10,000
World Group Securities, Inc.Aegonfinancial servicesinvestor protection violation2004ID-SEC$15,000
Multi-Financial Securities Corp. investor protection violation2004ID-SEC$5,000
Public Communication Services, Inc. aka Sprawlnet.com, Inc. investor protection violation2004IL-SEC$20,000
High Tech Financial Products aka EBD Consulting, Inc. investor protection violation2004IL-SEC$5,000
Rapid Technologies Group, Inc. aka Event Horizon Technologies Software, Inc. investor protection violation2004IL-SEC$20,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2004IL-SEC$5,000
HJM International Trading Ltd. investor protection violation2004IL-SEC$10,000
Octagon Financial Services, Inc. investor protection violation2004IL-SEC$11,500
Rise, Inc. investor protection violation2004KY-FIN$23,000
Basin Oil and Gas Corp. investor protection violation2004KY-FIN$7,500
Rogpex, Inc. investor protection violation2004KY-FIN$50,000
AOV WI FI investor protection violation2004MD-SEC$10,000
Windsor Asset Management investor protection violation2004MD-SEC$48,919
Nations Trust First Initiatives investor protection violation2004MD-SEC$40,000
eFox.net, Inc. investor protection violation2004MD-SEC$165,000
Ocean International Marketing BV and Churchill Associates, Ltd. investor protection violation2004MD-SEC$30,000
Euclid Systems Corp. investor protection violation2004MD-SEC$5,000
Sterling Advance Marketing, Inc. investor protection violation2004MD-SEC$30,000
Mid-Atlantic Estate Planning, Inc. investor protection violation2004MD-SEC$20,000
Lawstar, Inc. investor protection violation2004MD-SEC$15,000
National Securities Corp. investor protection violation2004MO-SEC$13,000
Continental Broker-Dealer Corp. investor protection violation2004MO-SEC$50,400
Tri-City Baptist Church, Inc. investor protection violation2004MO-SEC$15,000
Butler, Wick & Co., Inc. investor protection violation2004MO-SEC$11,600
The RWS Group, Inc. investor protection violation2004MO-SEC$16,120
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.