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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 Parent sort iconCurrent Parent IndustryPrimary Offense TypeYearAgencyPenalty Amount
Old Slip Capital Management, Inc. investor protection violation2023NH-BSR$6,000
Bain Wealth Management Group, LLC investor protection violation2023OR-FIN$35,000
WWW.EXNOWAPP.VIP investor protection violation2023OR-FIN$20,000
Preisz Associates Inc. dba Preisz Financial investor protection violation2023OR-FIN$10,000
Keenan, LLC dba Keenan Financial investor protection violation2023PA-BKG$8,500
McKenna & Sullivan, Inc. investor protection violation2023PA-BKG$30,000
Aequitas Equitas Wealth Management, LLC investor protection violation2023PA-BKG$7,500
Wilson Insight investor protection violation2023PA-BKG$45,000
Bricker Financial Planning, LLC investor protection violation2023PA-BKG$22,000
WealthWise Inc. investor protection violation2023TN-SEC$17,000
Titan Securities investor protection violation2023TX-INS$20,000
Bison Investment Advisors LLC investor protection violation2023TX-INS$42,994
Rede Wealth, LLC investor protection violation2023VA-SEC$35,000
Equitas Capital Advisors, LLC investor protection violation2023VA-SEC$5,000
Blue Owl Technology Income Corp. investor protection violation2023WA-SEC$76,937
Pebble Financial, Inc. investor protection violation2023WA-SEC$8,500
Coinme Inc. and Up Global SEZC investor protection violation2023WA-SEC$10,000
Blue Owl Technology Income Corp investor protection violation2023AZ-CC$30,000
Transportation Alliance Bank, Inc. d/b/a TAB Bank banking violation2023FDIC$315,000
Paramount Bank banking violation2023FDIC$85,000
Banque Pictet et Cie SA tax violations2023DOJ_TAX$122,900,000
Shandong Haoxin Certified Public Accountants Co., Ltd. accounting fraud or deficiencies2023PCAOB$750,000
Da Hua CPAs accounting fraud or deficiencies2023PCAOB$50,000
Guney Bagimsiz Denetim Ve Serbest Muhasebeci Mali Musavirlik A.S accounting fraud or deficiencies2023PCAOB$25,000
Mah & Associates, LLP accounting fraud or deficiencies2023PCAOB$25,000
Manning Elliott LLP accounting fraud or deficiencies2023PCAOB$35,000
Olayinka Oyebola & Co accounting fraud or deficiencies2023PCAOB$90,000
Eagan Capital Management, LLC investor protection violation2023SEC$50,000
Marosi Designs LLC tax violations2023ATTTB$37,500
Far East Ship Supply tax violations2023ATTTB$60,000
RWC Group LLC tax violations2023ATTTB$1,776,836
Seattle Cider Company, LLC tax violations2023ATTTB$12,000
KuCoin securities issuance or trading violation2023NY-AG$22,066,642
Tradewale LLC and Tradewale Managed Fund investor protection violation2023CFTC$2,853,810
Oasis International Group et al. investor protection violation2023CFTC$53,270,336
Justby International Auctions investor protection violation2023CFTC$5,352,843
Highrise Advantage, LLC. investor protection violation2023CFTC$102,234,376
Freepoint Commodities LLC investor protection violation2023CFTC$91,000,000
Horicon Bank banking violation2023FDIC$23,000
CoinList Markets LLC economic sanction violation2023OFAC$1,207,830
Medsis International, Inc. investor protection violation2024SEC$15,871,200
OEP Capital Advisors, L.P. investor protection violation2023SEC$4,000,000
BarnBridge DAO investor protection violation2023SEC$1,457,000
TradeStation Crypto securities issuance or trading violation2024MULTI-AG$1,500,000
Simply Gains, Inc.  investor protection violation2024CFTC$830,000
Bank of Morton banking violation2023FDIC$600,000
Select Bank banking violation2024FED$9,600
Haynie & Company accounting fraud or deficiencies2024PCAOB$400,000
Van Eck Associates Corporation investor protection violation2024SEC$1,750,000
Guggenheim Securities LLC investor protection violation2024SEC$15,000,000
Cambridge Investment Research Inc. investor protection violation2024SEC$10,000,000
Key Investment Services LLC investor protection violation2024SEC$10,000,000
Huntington Investment Company investor protection violation2024SEC$1,250,000
TradeStation Crypto, Inc. investor protection violation2024SEC$1,500,000
Rockwell Capital Management investor protection violation2024SEC$1,602,089
Northern Star Investment Corp. II investor protection violation2024SEC$1,500,000
SHE Beverage Company, Inc. investor protection violation2024SEC$12,760,274
Comer Capital Group, LLC investor protection violation2024SEC$55,000
Crowd Machine, Inc. and Metavine, Inc. investor protection violation2024SEC$24,234,548
Adar Bays, LLC and Adar Alef, LLC investor protection violation2024SEC$1,145,000
Grenda Group, LLC investor protection violation2024SEC$400,000
Family Tree Estate Planning, LLC, investor protection violation2023AZ-CC$3,838,040
Chadwick & D’Amato, LLC, and Chadwick Consulting, LLC investor protection violation2023VT-FIN$1,652,708
TRADESTATION CRYPTO, INC investor protection violation2024MULTI-FIN$1,500,000
Elevated Automations LLC and Ecomelevation LLC, investor protection violation2024AZ-CC$712,079
Colomont, Inc. investor protection violation2023VT-FIN$456,500
California Business Bank banking violation2023CA-DFPI$250,000
Purshe Kaplan Sterling Investments, Inc. investor protection violation2024MA-SEC$250,000
ICON Investment Group LLC et al. investor protection violation2023ND-SEC$175,356
LEGENDARY PARTNERS LLC investor protection violation2024CA-DFPI$137,500
Blue Owl Technology Income Corp. investor protection violation2024TX-SEC$102,000
Duke and Duke Wealth Management, LLC investor protection violation2023PA-BKG$100,000
PlanNow, LLC investor protection violation2023OR-FIN$80,000
Muntz Financial, LLC investor protection violation2023PA-BKG$80,000
Curve Capital LLC investor protection violation2023CA-DFPI$55,000
Blue Owl Credit Income Corp. investor protection violation2024TN-SEC$50,000
Blue Owl Technology Income Corp. investor protection violation2024TN-SEC$50,000
Black Diamond Wealth Management, LLC investor protection violation2023PA-BKG$49,000
My Private Bullion investor protection violation2024OR-FIN$40,000
Blue Owl Technology Income Corp. investor protection violation2023AZ-CC$30,000
ENCORE ACQUISITIONS, LLC investor protection violation2023MI-SEC$30,000
PIPS TRAILEXCH investor protection violation2023AZ-CC$25,000
D.B. McKenna & Co., Inc. investor protection violation2024ME-SEC$24,241
Pylon Finance aka $PYLON investor protection violation2023CA-DFPI$16,000
Cornerstone Wealth Partners, LLC investor protection violation2024CA-DFPI$15,000
The Tri-County Bank banking violation2023NE-DBF$15,000
True Horizon Wealth Advisors, LLC investor protection violation2024PA-BKG$15,000
UC Asset LP investor protection violation2023WA-SEC$12,500
Collins Advisors Fund Management, LLC investor protection violation2024SC-SEC$10,550
RESOLUTE CAPITAL PARTNERS LTD, LLC investor protection violation2023MI-SEC$10,000
Bull & Unicorn Investments LLC investor protection violation2023WA-SEC$10,000
GINERIS WEALTH MANAGEMENT LLC investor protection violation2023IN-SEC$8,250
Six Sigma Investments Corp investor protection violation2023IL-SEC$8,000
BSMBRCAW Investments investor protection violation2023IL-SEC$8,000
Aegis Capital Corp. investor protection violation2024MO-SEC$7,500
DHJH Holdings, LLC investor protection violation2023PA-BKG$7,500
Compass Capital Advisors L.L.C. investor protection violation2023WA-SEC$6,500
COLLINS CAPITAL LLC investor protection violation2024IN-SEC$5,250
Robert W. Baird & Co. Incorporated investor protection violation2024ME-SEC$5,000
Sovereign Legacy Securities, Inc. investor protection violation2024OR-FIN$5,000
Wolff Asset Management, LLC investor protection violation2023PA-BKG$5,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.