Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$80,470,232,936
Number of Penalty Records: 
6,468
Note: 
The totals here are adjusted to account for the fact that each 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 Parent CompaniesTotal Penalty $Number of Records
Bank of America$13,547,438,962115
UBS$11,679,855,33361
Citigroup$8,176,245,73063
JPMorgan Chase$6,010,421,20671
Morgan Stanley$4,209,326,733141
Deutsche Bank$4,049,166,82840
Goldman Sachs$3,904,979,98440
Wells Fargo$2,487,362,73582
American International Group$1,623,560,00010
MF Global$1,324,000,0003


Individual Penalty Records:

Click on the company or penalty amount for more information on each case. Click on the parent name to reach the summary page for that parent company.
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
Company Parent Parent Major Industry Year Agencysort icon Penalty Amount
City Credit Capital, (UK) Ltd.   2012 CFTC $140,000
Windsor Brokers, Ltd.   2012 CFTC $140,000
Enfinium Pty Ltd   2012 CFTC $80,000
Virtual Vision Inc.   2012 CFTC $1,000,000
D.E. Shaw & Co. L.P.   2012 CFTC $140,000
Centurion Global Capital Management LLC   2012 CFTC $360,000
Newedge USA, LLC   2012 CFTC $700,000
FXOpen Investments Inc.   2012 CFTC $140,000
JG Forex Fund   2011 CFTC $1,400,000
Midwest Land & Livestock, Inc., SKV Farms Inc. and DCV Farms, Inc.   2011 CFTC $382,000
Enskilda Futures Ltd.   2011 CFTC $150,000
JadeFX, LTD and Jade Investments Group, LLC   2011 CFTC $2,600,000
Francis Grant Investments Inc.   2011 CFTC $500,000
Velocity Futures, LLC   2011 CFTC $180,000
Cyber Market Group LLC   2011 CFTC $500,000
First Capital Savings and Loan   2011 CFTC $4,500,000
Queen Shoals, LLC, Queen Shoals II, LLC, and Select Fund, LLC   2011 CFTC $24,000,000
Integra Capital Management, LLC   2011 CFTC $6,900,000
Barki LLC   2011 CFTC $40,904,000
CRW Management LP   2011 CFTC $19,000,000
Forex Capital Markets LLC Jefferies Financial Group diversified 2011 CFTC $14,200,000
Tenco, Inc.   2011 CFTC $140,000
Dearborn Trading, Inc.   2011 CFTC $180,000
Forex Capital Markets Ltd. Jefferies Financial Group diversified 2011 CFTC $140,000
New Golden Investment Group   2011 CFTC $8,000,000
Lodge Capital Group, LLC   2011 CFTC $825,000
Longbranch Group International LLC   2011 CFTC $2,000,000
Ecoval Dairy Trade, Inc.   2011 CFTC $1,425,000
ForInvest Group   2011 CFTC $280,000
Capital Blu Management, LLC   2011 CFTC $17,000,000
Raleigh Capital Management, Inc.   2011 CFTC $4,000,000
Cadent Financial Services LLC   2011 CFTC $125,000
FX Trading, LLC   2011 CFTC $110,000
Winell Associates, Inc. and Maxie Partners GP, LLC   2011 CFTC $5,200,000
Liquid Capital Management, LLC   2011 CFTC $12,000,000
C & R Financial, Inc.   2011 CFTC $5,350,000
Bunge Global Markets, Inc. Bunge agribusiness 2011 CFTC $550,000
Brookshire Raw Materials Management, LLC   2011 CFTC $15,800,000
Yellowstone Partners, Inc.   2011 CFTC $1,600,000
Centurion Asset Management, Inc.   2011 CFTC $49,700,000
Forward Investment Group, LLC   2011 CFTC $46,900,000
Jeff Shalhoub Investments   2011 CFTC $700,000
Cantor Fitzgerald & Co. Cantor Fitzgerald financial services 2011 CFTC $100,000
Newedge USA, LLC   2011 CFTC $220,000
Northstar International Group, Inc.   2011 CFTC $11,000,000
Crossfire Trading, LLC   2011 CFTC $84,000,000
Daniels Trading Group LLC   2011 CFTC $2,000,000
Diamond Ventures LLC   2011 CFTC $4,000,000
Forex Auto Profits, LLC   2011 CFTC $2,900,000
Thirteen Thirty-Two, Inc.   2010 CFTC $860,000
Strongbow Investments GP, LLC   2010 CFTC $2,800,000
FX Professional International Solutions, Inc.   2010 CFTC $4,000,000
Prestige Ventures Corporation and Federated Management Group, Inc.   2010 CFTC $26,000,000
CRE Capital Corp.   2010 CFTC $25,700,000
M25 Investments, Inc. and M37 Investments, LLC   2010 CFTC $16,200,000
Trigon Group LLC   2010 CFTC $41,200,000
Rosenthal Collins Group, L.L.C.   2010 CFTC $1,300,000
Triland USA Inc.   2010 CFTC $725,000
Alaron Trading Corporation   2010 CFTC $260,000
Vitol Inc. and Vitol Capital Management Ltd. Vitol financial services 2010 CFTC $6,000,000
Billion Coupons, Inc.   2010 CFTC $6,200,000
TRP Advisory Group, Inc. and Traders East, Inc.   2010 CFTC $150,000
ConAgra Trade Group, Inc. ConAgra Brands food products 2010 CFTC $12,000,000
Financial Investments, Inc.   2010 CFTC $130,000
Gage's Fertilizer & Grain, Inc.   2010 CFTC $175,000
McCall Business Group, LLC and MBG Global, LLC   2010 CFTC $3,800,000
Noble Americas Corp. Vitol financial services 2010 CFTC $130,000
Moore Capital Management, LP   2010 CFTC $25,000,000
San Diego Gas & Electric Company Sempra Energy utilities and power generation 2010 CFTC $80,000
Lake Dow Capital LLC   2010 CFTC $4,000,000
Guardian Futures, Inc.   2010 CFTC $260,000
First Capitol Futures Group   2010 CFTC $20,300,000
One World Capital Group   2010 CFTC $520,000
UBS AG UBS financial services 2010 CFTC $130,000
Pressio Capital Management, LP   2010 CFTC $1,000,000
Scotia Capital Inc. Scotiabank financial services 2010 CFTC $250,000
Pinemore, L.P. (Pinemore) and Birchmore, L.P.   2010 CFTC $500,000
Zurich Futures and Options, Inc   2009 CFTC $5,429,196
MF Global Inc. MF Global financial services 2009 CFTC $10,000,000
American Derivatives Corp. (ADC), Brokerage Management Corp.,   2009 CFTC $6,750,000
EMF Financial Products, LLC   2009 CFTC $4,000,000
Cadent Financial Services LLC   2009 CFTC $120,000
Saxon Financial Services Inc.   2009 CFTC $4,300,000
Princeton Global Management Ltd. and Princeton Economics International Ltd.   2009 CFTC $27,000,000
Safevest LLC   2009 CFTC $25,000,000
Cocoon Trade, Inc   2009 CFTC $1,542,787
ADM Investor Services, Inc. Archer Daniels Midland agribusiness 2009 CFTC $200,000
Walsh Trading Inc.   2009 CFTC $50,000
Renaissance Asset Management LLC   2009 CFTC $5,800,000
INH-Interholding SA   2008 CFTC $6,075,841
Innovative Capital Management, LLC   2008 CFTC $1,350,000
Linuxor Asset Management LLC   2008 CFTC $200,000
Dairy Farmers of America, Inc. Dairy Farmers of America (DFA) food products 2008 CFTC $12,000,000
Alliance Development Company   2008 CFTC $2,200,000
The Liberty Mutual Group, Inc., Addison Financial Group, Inc., Addison Management Group, Inc., Hamlin Mercer Group, Inc., and Colfax Management Group,   2008 CFTC $12,000,000
Aurifex Commodities Research Company   2008 CFTC $150,000
4NExchange   2008 CFTC $480,000
Mansur Capital Corporation   2008 CFTC $75,000
Persistent Edge Management, LLC   2008 CFTC $120,000
Stillwater Capital Partners, Inc. and Stillwater Capital Partners, LLC   2008 CFTC $135,000
Foreign Fund (a/k/a First Bank)   2008 CFTC $2,432,486
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
(*): Some penalties are partial or complete duplicates of other penalty records, either because a DOJ settlement duplicates an agency record or because EPA listed the full penalty for a company for each of the company's relevant facilities. Penalty amounts marked with an asterisk have been identified by Good Jobs First as duplicating other penalty amounts.