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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 Industry sort iconPrimary Offense TypeYearAgencyPenalty Amount
Wolff Asset Management, LLC investor protection violation2023PA-BKG$5,000
Robbins Capital Management, Inc. investor protection violation2024TN-SEC$5,000
Gries & Associates, LLC accounting fraud or deficiencies2024PCAOB$65,000
Baker Tilly US, LLP accounting fraud or deficiencies2024PCAOB$80,000
Mazars USA LLP accounting fraud or deficiencies2024PCAOB$60,000
SW Audit accounting fraud or deficiencies2024PCAOB$60,000
WithumSmith+Brown, PC accounting fraud or deficiencies2024PCAOB$2,000,000
HG Vora Capital Management LLC investor protection violation2024SEC$950,000
RenovaCare, Inc. investor protection violation2024SEC$500,000
3D/L Capital Management, LLC investor protection violation2024SEC$285,607
ShapeShift AG investor protection violation2024SEC$275,000
Clark Schaefer Hackett & Co. investor protection violation2024SEC$80,881
Contrarian Capital Management, L.L.C. investor protection violation2024SEC$521,326
Octopi Brewing, LLC tax violations2024ATTTB$47,043
Nawabi Enterprise and Hyperion Consulting Inc. investor protection violation2024CFTC$9,000,000
Empires Consulting Corp. investor protection violation2024CFTC$64,356,794
Blue Moon Investments Inc. investor protection violation2024CFTC$204,622,580
Guaranty Bank and Trust Company banking violation2024FDIC$80,500
EFG International AG economic sanction violation2024OFAC$3,740,442
Imelda & Rekan accounting fraud or deficiencies2024PCAOB$1,000,000
Navarro Amper & Co. accounting fraud or deficiencies2024PCAOB$1,000,000
Pan-China Singapore PAC accounting fraud or deficiencies2024PCAOB$75,000
Berkower LLC accounting fraud or deficiencies2024PCAOB$25,000
Fontanella Associates LLC CPA & Consulting Firm accounting fraud or deficiencies2024PCAOB$25,000
Freedman & Goldberg, C.P.A.'s, P.C. accounting fraud or deficiencies2024PCAOB$25,000
R. Bolko CPA P.A accounting fraud or deficiencies2024PCAOB$30,000
Sassetti LLC accounting fraud or deficiencies2024PCAOB$25,000
Halperin Ilanit CPA accounting fraud or deficiencies2024PCAOB$200,000
GeaSphere LLC investor protection violation2024SEC$100,000
Bradesco Global Advisors Inc. investor protection violation2024SEC$20,000
Credicorp Capital Advisors LLC investor protection violation2024SEC$30,000
InSight Securities Inc. investor protection violation2024SEC$20,000
Monex Asset Management Inc. investor protection violation2024SEC$30,000
Senvest Management LLC investor protection violation2024SEC$6,500,000
Genesis Global Capital, LLC investor protection violation2024SEC$21,000,000
Delphia (USA) Inc. investor protection violation2024SEC$225,000
Global Predictions Inc. investor protection violation2024SEC$175,000
Commonwealth Equity Services, LLC d/b/a Commonwealth Financial Network investor protection violation2024SEC$93,274,068
ClearPath Wealth Management, LLC investor protection violation2024SEC$27,130,905
GA Investors investor protection violation2024SEC$1,191,938
Advisor Resource Council investor protection violation2024SEC$300,000
Halitron, Inc. investor protection violation2024SEC$191,024
Wayzata Investment Partners LLC investor protection violation2024SEC$60,000
ABCO Energy Inc. and ABCO Solar Inc. investor protection violation2024AZ-CC$8,666,559
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.