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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
Buttonwood Tree Management, LLC investor protection violation2018CA-DFPI$50,223
Tiburon Research Group, Inc. investor protection violation2018CA-DFPI$5,000
Mirae Asset Wealth Management (USA) Inc. investor protection violation2018CA-DFPI$40,000
Crawford Capital, LLC investor protection violation2018CA-DFPI$10,000
Sacramento Natural Foods Cooperative, Inc. investor protection violation2019CA-DFPI$6,000
Highland Capital Group, Inc. investor protection violation2019CA-DFPI$270,000
Opes Capital Group, LLC investor protection violation2019CA-DFPI$15,000
Francis Capital Management, LLC investor protection violation2019CA-DFPI$10,000
Pyramid Screening Technology, Inc. investor protection violation2019CA-DFPI$38,000
Solium Financial Services LLCMorgan Stanleyfinancial servicesinvestor protection violation2020CA-DFPI$52,047
Piara Pizza, LLC investor protection violation2020CA-DFPI$35,000
Societe Generale Financial CorporationSociete Generalefinancial servicesbanking violation2020CA-DFPI$10,250
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
Edward Jones & Co.Jones Financialfinancial servicesinvestor protection violation2008CA-AG$7,500,000
Franklin/Templeton Distributors, Inc.Franklin Resourcesfinancial servicesinvestor protection violation2004CA-AG$18,000,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2019CA-AG$150,000,000
PA Distributors investor protection violation2004CA-AG$9,000,000
Hawaiian Gardens Casino anti-money-laundering deficiencies2019CA-AG$3,100,000
General MotorsGeneral Motorsmotor vehiclesinvestor protection violation2021CA-AG$5,750,000
Artichoke Joe's Casino anti-money-laundering deficiencies2021CA-AG$5,300,000
Microsoft CorporationMicrosoftinformation technologyeconomic sanction violation2023BIS$347,631
Truckville Inc. dba EZ Finance Auto Sales investor protection violation2000AZ-CC$5,000
Forex Investment Services Corp. et al. investor protection violation2000AZ-CC$416,086
Great Western Investment Trust, Ltd. investor protection violation2000AZ-CC$435,789
National Financial Group and World Wide Business Opportunities, LLC investor protection violation2000AZ-CC$20,000
Superior Leasing of Arizona, Inc. and Superior Holding Group, Inc. investor protection violation2000AZ-CC$6,792,956
Estate Services II, Inc. investor protection violation2000AZ-CC$15,000
Cochise Financial Corp. investor protection violation2000AZ-CC$1,301,929
Alliance Trust and Chemical Trust and United Marketing Trust investor protection violation2000AZ-CC$75,000
Tucson Estate Financial Advisors, Inc. investor protection violation2000AZ-CC$114,080
Mining Ventures International, LLC investor protection violation2000AZ-CC$253,500
Successful Finance, Inc. investor protection violation2000AZ-CC$421,040
Eye International, L.L.C. and American International Beneficial Association, Inc. investor protection violation2000AZ-CC$11,500
Global Harvest Corp. investor protection violation2001AZ-CC$20,000
Mobile Cash Systems, LLC et al. investor protection violation2001AZ-CC$12,192,829
United Planners' Financial Services of America, A Limited Partnership investor protection violation2001AZ-CC$79,000
Arizona Investment Advisers, Inc. investor protection violation2001AZ-CC$3,050,000
Oxford Development, L.L.C. and CNT Family Fun Outlets, Inc. investor protection violation2001AZ-CC$5,336,160
Keith B. Davis, Inc. investor protection violation2001AZ-CC$1,073,000
Early Detection Centers Inc. and Johnathon Roberts, Inc. investor protection violation2001AZ-CC$210,000
Why Not Entertainment, L.L.C. investor protection violation2001AZ-CC$137,500
Hotel Connect, LLC et al. investor protection violation2001AZ-CC$5,400,000
Investment Planners of America, Inc. investor protection violation2001AZ-CC$25,000
Prosperity Investors Group investor protection violation2001AZ-CC$303,000
Edge Business Services, Inc. investor protection violation2001AZ-CC$10,000
Integrity Assured Life Settlements, Inc. investor protection violation2001AZ-CC$10,611
Steven S. Levine Chartered investor protection violation2001AZ-CC$5,000
Accelerated Success, Inc. investor protection violation2001AZ-CC$24,561
Bar-Lo Millennium Corp. investor protection violation2001AZ-CC$10,000
Aeromax, Inc. and Aeromag Corp. investor protection violation2001AZ-CC$10,000
Profutura LLC investor protection violation2001AZ-CC$6,215,350
Hylton Enterprises, Inc. et al. investor protection violation2002AZ-CC$242,554
Creative Financial Funding, L.L.C. et al. investor protection violation2002AZ-CC$7,947,777
William R. Evans Chartered investor protection violation2002AZ-CC$5,000
Viatical Center, Inc. investor protection violation2002AZ-CC$12,500
Beneficial Assistance investor protection violation2002AZ-CC$5,000
The Chamber Group, Inc. investor protection violation2002AZ-CC$16,342,404
American Insurance Services, L.L.C. investor protection violation2002AZ-CC$810,300
21st Century Satellite Communications, Inc. investor protection violation2002AZ-CC$267,000
Intermarc Marketing and Cashflows investor protection violation2002AZ-CC$22,750
Pre-IPO Venture Capital Fund, L.L.C. investor protection violation2002AZ-CC$525,000
Glenn A. Libertore Financial Services investor protection violation2002AZ-CC$33,460
Republic Cash Advance, Inc. and Quick Cash Advance, Inc. investor protection violation2002AZ-CC$6,348,492
Easy Money Auto Leasing, Inc. et al. investor protection violation2002AZ-CC$1,104,100
Eternal Presence, Inc. investor protection violation2002AZ-CC$58,780
Netgo, Inc. and SDIC Partnership and Camelback, Ltd. investor protection violation2002AZ-CC$10,000
Estate Conservation Strategies, Inc. investor protection violation2002AZ-CC$5,000
M-Corp International, Ltd. and M-Corp International investor protection violation2002AZ-CC$30,000
Bamex International, Ltd. investor protection violation2002AZ-CC$1,277,429
Meracana Mining Corp. investor protection violation2002AZ-CC$151,439
Scottsdale Financial Funding Group, LLC investor protection violation2003AZ-CC$3,391,570
One Vision Children's Foundation, Inc. investor protection violation2003AZ-CC$4,407,140
Bob's Cash Express, Inc. et al. investor protection violation2003AZ-CC$693,320
Non-Stop Shopping.com, Inc. dba 2C2K.com, Inc. investor protection violation2003AZ-CC$162,500
Martin & Griffin, LLC investor protection violation2003AZ-CC$6,982,222
DMS Power Cash Flow, L.L.C. and Persanco, L.L.C. investor protection violation2003AZ-CC$945,025
Ocean International Marketing, Ltd et al. investor protection violation2003AZ-CC$174,689
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
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.