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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
Lordstown Motors Corp.Lordstown Motorsmotor vehiclesinvestor protection violation2024SEC$25,500,000
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
William Grant & Sons, Inc.William Grant & Sons Ltd.beveragestax violations2024ATTTB$303,815
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
JPMorgan Chase & Co.JPMorgan Chasefinancial servicesbanking violation2024FED$98,200,000
EFG International AG economic sanction violation2024OFAC$3,740,442
JPMorgan Chase Bank, N.A.JPMorgan Chasefinancial servicesbanking violation2024OCC$250,000,000
Imelda & RekanDeloittebusiness servicesaccounting fraud or deficiencies2024PCAOB$1,000,000
KPMG Accountants N.V.KPMGbusiness servicesaccounting fraud or deficiencies2024PCAOB$25,000,000
Navarro Amper & Co.Deloittebusiness servicesaccounting 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
PricewaterhouseCoopers AustraliaPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2024PCAOB$600,000
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2024PCAOB$2,750,000
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
Volkswagen AGVolkswagenmotor vehiclesinvestor protection violation2024SEC$48,750,000
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
Evoqua Water Technologies Corp.Xylemmiscellaneous servicesaccounting fraud or deficiencies2024USAO$8,500,000
Falcon Labs, Ltd. investor protection violation2024CFTC$1,768,512
QYU Holdings Inc. investor protection violation2024CFTC$11,847,030
Red Rock Secured, LLC investor protection violation2024CFTC$56,334,313
First Fed Bank banking violation2024FDIC$500,000
Pitney Bowes Bank, Inc. banking violation2024FDIC$6,097
Bank of England banking violation2024FDIC$1,500,000
SCG Plastics Co., Ltd. economic sanction violation2024OFAC$20,000,000
Hudson Valley Wealth Management Inc.  investor protection violation2024SEC$200,000
BF Borgers CPA PC  accounting fraud or deficiencies2024SEC$12,000,000
Magna Group, LLC investor protection violation2024SEC$497,840
Magna Equities II, LLC investor protection violation2024SEC$817,941
MG Partners, Ltd investor protection violation2024SEC$817,941
C-Bond Systems, Inc. investor protection violation2024SEC$175,000
Gainvest Legal Corp investor protection violation2024SEC$15,000
Eastone Equities, LLC investor protection violation2024SEC$125,000
Catalyst Capital Advisors LLC investor protection violation2024SEC$327,226
LM Global Investments LLC dba Fratarcangeli Wealth Management investor protection violation2024SEC$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.