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Violation Tracker Summary for Offense Group

Offense Group: financial offenses
Penalty Total since 2000: $287,662,850,737
Number of Penalty Records: 11,080
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$41,333,342,096156
UBS$27,713,994,893137
JPMorgan Chase$27,158,534,167124
Citigroup$19,750,393,935106
Deutsche Bank$15,638,617,27868
Goldman Sachs$13,128,062,84158
NatWest Group PLC$12,129,162,85723
Wells Fargo$10,735,730,989130
Morgan Stanley$9,905,512,956168
BNP Paribas$9,167,798,00012

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
Pryor, McClendon, Counts & Co., Inc. investor protection violation2002SEC$40,000
BNB Capital, Inc. investor protection violation2002SEC$5,000
Merrimac Advisors Company investor protection violation2002SEC$50,000
Andersen, LLP accounting fraud or deficiencies2002AZ-AG$217,000,000
Bear Stearns & Co. LLCJPMorgan Chasefinancial servicesinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $80,000,000
Commercial Truck & Lift Center, Inc. tax violations2002HI-AG$5,000
Concessions, Ltd. tax violations2002NH-AG$10,000
Corbin-Pacific, Inc. tax violations2002NH-AG$30,000
Credit Suisse First Boston Corp.UBSfinancial servicesinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $200,000,000
Deutsche BankDeutsche Bankfinancial servicesinvestor protection violation2002MULTI-AG$80,000,000
Goldman SachsGoldman Sachsfinancial servicesinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $110,000,000
J.P. Morgan Chase & Co.JPMorgan Chasefinancial servicesinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $80,000,000
Lehman Brothers Inc. investor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $80,000,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2002DE-AG$500,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2002NY-AG$100,000,000
Merrill Lynch & Co. Inc.Bank of Americafinancial servicesinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $100,000,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $125,000,000
Salomon Smith Barney Inc.Morgan Stanleyfinancial servicesinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $400,000,000
UBS Warburg LLCUBSfinancial servicesinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $80,000,000
BDO SeidmanBDO Internationalbusiness servicesaccounting fraud or deficiencies2002USAO$16,000,000
Wilkay Corp. tax violations2002CA-LACDA$59,400
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
Green Screen Partners, LLC et al. investor protection violation2002CA-DFPI$18,592,430
Hale Associates, Inc. investor protection violation2002DE-SEC$551,000
Suncoast Financial Services Of North American, Inc. investor protection violation2002FL-OFR$635,000
Sterling Associates investor protection violation2002FL-OFR$5,000
Sunset Financial Services, Inc. investor protection violation2002FL-OFR$21,000
United Securities Alliance, Inc. investor protection violation2002FL-OFR$10,000
D. Dean Hooley, II & Associates investor protection violation2002FL-OFR$15,000
C.J.M. Planning Corp. investor protection violation2002FL-OFR$5,000
Allstate Financial Services, LLCAllstatefinancial servicesinvestor protection violation2002FL-OFR$21,300
Rushmore Securities Corp. investor protection violation2002FL-OFR$5,000
Hornor, Townsend & Kent, Inc. investor protection violation2002FL-OFR$25,000
ICMA-RC Services, LLC investor protection violation2002FL-OFR$5,000
Todderwatch.com, Inc. investor protection violation2002FL-OFR$25,000
Insurance and Financial Brokers, Inc. investor protection violation2002FL-OFR$10,000
Cantella & Co., Inc. investor protection violation2002FL-OFR$50,000
Glenn Haven Enterprises investor protection violation2002FL-OFR$7,500
International Securities Corp. investor protection violation2002FL-OFR$5,000
Triad Advisors, Inc. investor protection violation2002FL-OFR$5,000
Strategic Strategies, Inc. investor protection violation2002FL-OFR$40,000
U.S. Investors Group, Inc. investor protection violation2002FL-OFR$10,000
Securities Services Network, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2002FL-OFR$14,938
NGS Trust investor protection violation2002ID-SEC$87,750
Anderson-David & Associates, Inc. investor protection violation2002ID-SEC$12,000
PrimeBuy Network.Com, Inc. investor protection violation2002ID-SEC$55,000
Bank of LouisvilleTruist Financialfinancial servicesinvestor protection violation2002KY-INS$27,000,000
American Express Financial Advisors, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2002MN-FIN$5,000
Williamson Poultry Farms, Inc. investor protection violation2002MS-SEC$5,000
First Montauk Securities Corporation investor protection violation2002ND-SEC$7,000
Carret Securities LLC investor protection violation2002ND-SEC$29,000
American Capital Corporation investor protection violation2002ND-SEC$8,000
Kinetics Mutual Funds Inc. investor protection violation2002NE-DBF$6,547
Merrill LynchBank of Americafinancial servicesinvestor protection violation2002NH-BSR$500,000
Tyco International Ltd.Johnson Controlsautomotive partsinvestor protection violation2002NH-BSR$5,100,000
SDM Check Cashing Corp. anti-money-laundering deficiencies2002NY-DFS$500,000
Western Union Financial Services, Inc.Western Unionfinancial servicesanti-money-laundering deficiencies2002NY-DFS$8,000,000
B&B Worm Farm investor protection violation2002OK-SEC$16,400
Data Technology Group investor protection violation2002OR-FIN$15,000
Las Vegas 220 SMR investor protection violation2002OR-FIN$15,000
Westminster Holdings Ltd et al. investor protection violation2002OR-FIN$15,000
Taramar Venture Capital LLC et al. investor protection violation2002OR-FIN$55,000
Leading Solutions Inc. investor protection violation2002OR-FIN$20,000
Sierra Pacific Mortgage Company Inc. investor protection violation2002OR-FIN$20,360
Caffe Diva Group Ltd et al. investor protection violation2002OR-FIN$75,000
U.S. Securities Intl. Corp. investor protection violation2002OR-FIN$10,000
Asset Planning Group Inc. investor protection violation2002TX-SEC$20,000
Kleinheinz Capital Partners Inc. investor protection violation2002TX-SEC$60,000
IAC SECURITIES, INC. investor protection violation2002VA-SEC$20,000
BASIN OIL & GAS CORPORATION investor protection violation2002VA-SEC$5,500
AMPAK ENERGY COMPANY investor protection violation2002VA-SEC$8,768
WASHINGTON SQUARE SECURITIES investor protection violation2002VA-SEC$15,000
ALPHACOM, INC. investor protection violation2002VA-SEC$20,000
SENIOR RETIREMENT SERVICES INC investor protection violation2002VA-SEC$125,250
Senior Estate Planning Group, Inc. et al. investor protection violation2002WA-FIN$20,000
Pacific West Securities, Inc. investor protection violation2002WA-FIN$130,000
Clairmont Capitol, Inc. investor protection violation2002WA-FIN$6,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000
Salomon Smith Barney Inc.Morgan Stanleyfinancial servicesinvestor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000
Hornblower & Weeks, Inc. investor protection violation2002FINRA$100,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.