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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
Financial Tree Trust et al. investor protection violation2022CFTC$15,900,000
JPMorgan Chase Bank, N.A.JPMorgan Chasefinancial servicesinvestor protection violation2022CFTC$850,000
BNP ParibasBNP Paribasfinancial servicesinvestor protection violation2022CFTC$6,000,000
Aldwych Securities LLC investor protection violation2022CT-SEC$5,000
Perkins Fund Marketing, L.L.C. investor protection violation2022CT-SEC$10,000
Fortis Group Advisors, LLC investor protection violation2022CT-SEC$5,500
Security State Bank banking violation2022FDIC$6,000
MRV Banks banking violation2022FDIC$7,000
Freedom Bank banking violation2022FDIC$8,250
Cache Valley Bank banking violation2022FDIC$8,000
EagleBank banking violation2022FED$9,500,000
Easthampton Savings Bank banking violation2022FED$17,000
North American Banking Company banking violation2022FED$13,950
Vybe Nation International Entertainment Group, LLC investor protection violation2022FL-OFR$240,000
Merchant Savings, LLC and Mastermind Web Development LLC investor protection violation2022ID-SEC$274,216
Paramount Financial Services, Inc. dba Live Abundant investor protection violation2022ID-SEC$38,000
Brews N' Views tax violations2022ME-AG$30,735
Forge Markets LLC investor protection violation2022ME-SEC$84,096
American Esports, Inc. investor protection violation2022MD-SEC$1,550,000
MSA & Associates, LLC investor protection violation2022MD-SEC$420,000
Moreland Associates, LLC investor protection violation2022MD-SEC$10,000
Chance Development, LLC investor protection violation2022MD-SEC$1,000,000
Atherocor Corp. and Adgelin Medical, Inc investor protection violation2022MD-SEC$1,050,000
MML Investors Services, LLCMassachusetts Mutual Life Insurancefinancial servicesinvestor protection violation2022MA-SEC$262,092
Nonotuck Investment Group, LLC investor protection violation2022MA-SEC$75,000
Sapphire Wealth Planning LLC investor protection violation2022MO-SEC$5,000
Proactive Money Management, Inc. investor protection violation2022MO-SEC$5,000
CDS Fintech Group, LLC investor protection violation2022MO-SEC$6,033
Steri Med Solutions LLC dba Steriport Solutions investor protection violation2022MO-SEC$559,000
MadaszConsulting, Inc. and DSM Enterprises, LLC investor protection violation2022MO-SEC$10,000
ClueLess8 Trading and FAS Holdings, LLC investor protection violation2022NJ-BOS$450,000
Grand River Enterprises Six Nations, Ltd. and Native Wholesale Supply Company, Inc. tax violations2022NY-AG$50,000,000
American Express National BankAmerican Expressfinancial serviceseconomic sanction violation2022OFAC$430,500
PNC Bank, National AssociationPNC Financial Servicesfinancial servicesbanking violation2022OCC$2,614,456
Bank of America NABank of Americafinancial servicesbanking violation2022OCC$125,000,000
Radia M92, Inc. and Radia R&D LLC and Radial Engine Innovation, Ltd investor protection violation2022OH-BKG$630,000
Premier Global Corp. investor protection violation2022OK-SEC$250,000
Stock Funding Corp. investor protection violation2022OK-SEC$10,000
SLS Agricultural Consulting and Management, LLC investor protection violation2022OK-SEC$15,000
FX Binary Option aka FXBOT investor protection violation2022OR-FIN$20,000
KPMG Inc.KPMGbusiness servicesaccounting fraud or deficiencies2022PCAOB$200,000
KPMG Samjong Accounting Corp.KPMGbusiness servicesaccounting fraud or deficiencies2022PCAOB$350,000
Robert C. Duncan Accountancy Corporation accounting fraud or deficiencies2022PCAOB$30,000
StarVest Management, Inc. investor protection violation2022SEC$70,000
Highland Capital Partners LLC investor protection violation2022SEC$95,000
Asset Management Group of Bank of Hawaii investor protection violation2022SEC$45,000
Canaan Management, LLC investor protection violation2022SEC$95,000
Loop Capital Markets, LLC investor protection violation2022SEC$105,456
BNY Mellon Capital Markets LLCBank of New York Mellonfinancial servicesinvestor protection violation2022SEC$956,833
TD Securities (USA) LLCToronto-Dominion Bankfinancial servicesinvestor protection violation2022SEC$152,955
Jefferies LLCJefferies Financial Groupdiversifiedinvestor protection violation2022SEC$143,215
TBG Holdings Corporation investor protection violation2022SEC$100,000
Buckman Advisory Group, LLC investor protection violation2022SEC$75,000
Hudson Advisors L.P. and Lone Star Global Acquisitions Ltd. investor protection violation2022SEC$79,700,000
VMware, Inc.Broadcomelectrical and electronic equipmentinvestor protection violation2022SEC$8,000,000
SparkLabs Global Ventures Management LLC and SparkLabs Management, LLC investor protection violation2022SEC$200,000
Ambassador Advisors, LLC investor protection violation2022SEC$622,642
Legacy Funding Services, LLC investor protection violation2022SEC$60,000
BiscayneAmericas Advisers L.L.C. investor protection violation2022SEC$135,000
Lend Academy Investments, LLC investor protection violation2022SEC$75,000
Ridgeview Asset Management Partners, LLC investor protection violation2022SEC$70,000
QVR, LLC investor protection violation2022SEC$50,000
Polaris Equity Management, Inc. investor protection violation2022SEC$50,000
Janus Henderson Investors US LLCJanus Hendersonfinancial servicesinvestor protection violation2022SEC$150,000
Garrison Investment Group LP investor protection violation2022SEC$330,000
Titan Fund Management, LLC investor protection violation2022SEC$95,000
Steward Capital Management, Inc. investor protection violation2022SEC$75,000
NPA Asset Management, LLC investor protection violation2022SEC$711,628
Charles Pratt & Company, LLC investor protection violation2022SEC$100,000
Perceptive Advisors LLC investor protection violation2022SEC$1,500,000
Aventura Capital Management, LLC investor protection violation2022SEC$938,756
Energy Innovation Capital Management, LLC investor protection violation2022SEC$853,681
Kovack Advisors, Inc. investor protection violation2022SEC$899,513
Granite Construction, IncorporatedGranite Constructionconstruction and engineeringaccounting fraud or deficiencies2022SEC$12,000,000
The Bancorp, Inc. investor protection violation2022SEC$1,750,000
CKB168 Holdings Ltd. Et al. investor protection violation2022SEC$182,624,545
Eagle Bancorp, Inc. investor protection violation2022SEC$13,350,493
IMC Chicago, LLC investor protection violation2022SEC$125,000
Angel Oak Capital Advisors, LLC investor protection violation2022SEC$1,750,000
GreneCo, LLC investor protection violation2022SEC$414,364
Womack Investment Advisers, Inc. investor protection violation2022SEC$677,955
IFP Advisors, LLC investor protection violation2022SEC$400,000
Surgalign Holdings, Inc. investor protection violation2022SEC$2,000,000
Deccan Value Investors LP investor protection violation2022SEC$1,139,501
Crown Bridge Partners, LLC investor protection violation2022SEC$9,200,908
Aegis Capital Corp. investor protection violation2022SEC$2,520,865
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2022SEC$1,200,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2022SEC$925,000
TradeStation Securities, Inc. investor protection violation2022SEC$425,000
Mesirow Financial Investment Management, Inc. investor protection violation2022SEC$752,834
Private Advisor Group, LLC investor protection violation2022SEC$5,800,000
Health Insurance Innovations investor protection violation2022SEC$11,000,000
EIX Acquisition Company Corp. investor protection violation2022SC-SEC$40,000
StartEngine Crowdfunding, Inc. investor protection violation2022TX-SEC$7,500
Independent Financial Planning, LLC investor protection violation2022VA-SEC$19,500
VBit Technologies Inc investor protection violation2022WA-SEC$15,000
PV Wealth Advisors, LLC investor protection violation2022WI-FIN$197,944
Prosper Wealth Management, LLC investor protection violation2022WI-FIN$1,683,727
Boeing CompanyBoeingaerospace and military contractinginvestor protection violation2022SEC$200,000,000
Compass Minerals International Inc.Compass Minerals Internationalmining and mineralsinvestor protection violation2022SEC$12,000,000
Waddell & Reed, LLCMacquariefinancial servicesinvestor protection violation2022SEC$200,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.