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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
FSC Securities Corp. investor protection violation2000MN-FIN$5,000
First Securities USA, Inc. investor protection violation2000MN-FIN$6,000
Linsco Private Ledger Corp. investor protection violation2000ND-SEC$25,000
Baxter, Banks & Smith Ltd. investor protection violation2000ND-SEC$5,000
BSI AG banking violation2000NY-DFS$100,000
Laser Vision Technologies Inc. investor protection violation2000OR-FIN$5,000
The Sheffield Group investor protection violation2000OR-FIN$25,000
The Rhodes Company investor protection violation2000OR-FIN$7,500
Baxter, Banks and Smith Ltd. investor protection violation2000OR-FIN$20,000
Prosper Trust investor protection violation2000OR-FIN$5,000
High Tech Travel Services Corporation investor protection violation2000OR-FIN$25,000
San Clemente Securities investor protection violation2000OR-FIN$10,000
Terra Nova Trading LLC investor protection violation2000TN-SEC$7,500
Westminster Securities Corporation investor protection violation2000TN-SEC$10,000
Smith, Brown & Groover Inc. investor protection violation2000TN-SEC$11,000
Mountain States Capital Inc. investor protection violation2000TX-SEC$30,000
Burke, Lawton, Brewer & Burke investor protection violation2000TX-SEC$7,500
The Reserve Fund investor protection violation2000TX-SEC$150,000
American Express Financial Advisors Inc.Ameriprise Financialfinancial servicesinvestor protection violation2000TX-SEC$9,000
Supertrade Securities Inc. investor protection violation2000TX-SEC$15,000
The Williams Financial Group Inc. investor protection violation2000TX-SEC$10,000
Advisory Financial Group, Inc. investor protection violation2000VA-SEC$35,000
CAPITAL BROKERAGE CORPORATION investor protection violation2000VA-SEC$7,644
Providential Securities, Inc. investor protection violation2000FINRA$115,000
Morgan Stanley & Co. Inc.Morgan Stanleyfinancial servicesinvestor protection violation2000FINRA$200,000
WMA Securities, Inc. investor protection violation2000FINRA$125,000
Cain Brothers & Company, LLC and SHP Capital Markets, Inc. investor protection violation2000FINRA$1,180,000
First Chicago Capital Markets, Inc. investor protection violation2000FINRA$4,420,000
John Nuveen & Co., Inc.TIAAfinancial servicesinvestor protection violation2000FINRA$6,630,000
Peacock, Hislop, Staley & Given, Inc. investor protection violation2000FINRA$539,117
Scott & Stringfellow, Inc. investor protection violation2000FINRA$393,263
Kemper Distributors, Inc.Kemperfinancial servicesinvestor protection violation2000FINRA$100,000
Wheat First Securities Inc. investor protection violation2000FINRA$7,730,000
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2000FINRA$5,890,000
Raymond James & Associates Inc.Raymond James Financialfinancial servicesinvestor protection violation2000FINRA$3,410,000
CS First Boston Corp.UBSfinancial servicesinvestor protection violation2000FINRA$1,240,000
Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2000FINRA$933,000
J.C. Bradford & Co. investor protection violation2000FINRA$536,000
Southwest Securities Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2000FINRA$500,000
1-800DAYTRADE.COM, Inc. investor protection violation2000FINRA$25,000
Donnelly & Co., Inc. investor protection violation2000FINRA$17,500
LaSalle St. Securities, L.L.C. investor protection violation2000FINRA$13,000
Addison Securities, Inc. investor protection violation2000FINRA$37,500
Choice Investments, Inc. investor protection violation2000FINRA$27,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.