Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$79,626,798,768
Number of Penalty Records: 
6,329
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$13,535,778,962113
UBS$11,671,743,15960
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
Signal Lake Management, LLC   2018 CT-SEC $100,000
Blaine Capital, LLC   2018 CT-SEC $5,000
Southridge Capital Management LLC   2018 CT-SEC $500,000
ProEquities, Inc. Dai-ichi Life financial services 2018 CT-SEC $7,590
AFT Logistics, LLC nka Equity One Contractors LLC   2018 CT-SEC $20,000
Endeavor Management Solutions, LLC   2018 CT-SEC $100,000
Allied Energy, Inc. fka Allied Syndications, Inc.   2018 CT-SEC $10,000
SE Ohio Shale & Oriskany Development   2018 CT-SEC $10,000
Leland Energy, Inc.   2018 CT-SEC $100,000
Leland Tennessee Holdings, Inc.   2018 CT-SEC $100,000
Opportunity Drilling & Acquisition Fund, LLP   2018 CT-SEC $100,000
Romano Brothers and Company   2018 CT-SEC $5,040
S P Consulting, LLC   2018 CT-SEC $7,500
First Allied Securities, Inc. and First Allied Advisory Services, Inc.   2019 CT-SEC $49,266
Quarve Associates, LLC   2019 CT-SEC $7,500
Voya Financial Advisors, Inc. fka ING Financial Partners, Inc. Voya Financial financial services 2019 CT-SEC $1,015,000
Prophet Financial Planning, LLC   2019 CT-SEC $10,000
Safe Harbour LLC   2019 CT-SEC $20,450
GHC Fund One LLC aka Gilbert Hill Fund I, LLC   2019 CT-SEC $100,000
Bermingham Wealth Strategies   2019 CT-SEC $100,000
Horter Investment Management, LLC   2019 CT-SEC $12,500
North American Drilling Corporation   2020 CT-SEC $100,000
Solium Financial Services LLC Morgan Stanley financial services 2020 CT-SEC $51,136
Native American Energy Group, Inc.   2020 CT-SEC $100,000
Great Heritage Investments, LLC   2020 CT-SEC $20,000
ARO Equity, LLC   2020 CT-SEC $300,000
Mosaic Financial Strategies LLC and Mosaic Portfolio Strategists, LLC   2020 CT-SEC $1,390,000
Monitor Capital, LLC   2020 CT-SEC $6,720
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2020 CT-SEC $400,000
Insurance Trends, Inc.   2020 CT-SEC $100,000
TPEG Securities, LLC   2020 CT-SEC $8,950
Insurance Trends, Inc.   2020 CT-SEC $100,000
Financial Vision Advisory Services, LLC   2020 CT-SEC $5,375
The Hansbury Group, LLC   2020 CT-SEC $5,000
Janney Montgomery Scott, LLC Penn Mutual financial services 2020 CT-SEC $250,000
Quint Wealth Management, Inc.   2020 CT-SEC $5,000
Schupp & Grochmal, LLC Schupp & Grochmal financial services 2020 CT-SEC $7,500
Solace Investments, LLC   2020 CT-SEC $300,000
Wilmington Capital Securities, LLC   2020 CT-SEC $11,275
Blackboard, Inc.   2004 DC-DISB $5,000
Newbury Street Capital Limited Partnership   2011 DC-DISB $5,590
MetLife Securities, Inc. MetLife financial services 2012 DC-DISB $25,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2013 DC-DISB $15,000
Preston Wealth Management, LLC   2014 DC-DISB $432,525
Success Trade Inc.   2015 DC-DISB $13,179,804
J.P. Morgan Securities LLC JPMorgan Chase financial services 2018 DC-DISB $5,000
Solium Financial Services Morgan Stanley financial services 2021 DC-DISB $9,879
Citigroup Global Markets Inc. Citigroup financial services 2009 DE-AG $309,000
J.P. Morgan Securities JPMorgan Chase financial services 2014 DE-AG $51,400
McLaughlin, Piven & Vogel   2009 DE-AG $60,000
Merrill Lynch Bank of America financial services 2009 DE-AG $459,000
Merrill Lynch Bank of America financial services 2002 DE-AG $500,000
Morgan Stanley DW Morgan Stanley financial services 2005 DE-AG $700,000
Royal Bank of Canada Royal Bank of Canada financial services 2009 DE-AG $22,156
UBS Financial Services, Inc. UBS financial services 2013 DE-AG $70,077
Wachovia Securities, LLC Wells Fargo financial services 2009 DE-AG $309,000
Pathmaker Solutions, LLC   2020 DE-AG $100,000
Buckson Realty Brokerage, Inc.   2000 DE-SEC $39,934
Delaware Financial Insurance and Investment, Inc.   2001 DE-SEC $15,000
Global Security Management Association Incorporation   2001 DE-SEC $8,000
Janney Montgomery Scott, Inc. Penn Mutual financial services 2001 DE-SEC $210,909
Hale Associates, Inc.   2002 DE-SEC $551,000
The Rockwell Financial Group, Inc.   2003 DE-SEC $15,000
Miller Johnson Steichen Kinnard, Inc.   2005 DE-SEC $5,000
Wilmington Trust Co. M&T Bank financial services 2005 DE-SEC $50,000
Ameritrade, Inc.   2009 DE-SEC $40,000
ATC Investment Group, LLC   2010 DE-SEC $53,158
PNC Investments LLC PNC Financial Services financial services 2010 DE-SEC $250,000
AllianceBernstein L.P. Equitable Holdings financial services 2012 DE-SEC $20,000
Oppenheimer & Co., Inc. Oppenheimer Holdings financial services 2015 DE-SEC $685,000
Janney Montgomery Scott LLC Penn Mutual financial services 2015 DE-SEC $105,000
LPL Financial LLC LPL Financial financial services 2015 DE-SEC $200,000
Leucadia National Corporation Jefferies Financial Group diversified 2015 DOJ_ANTITRUST $240,000
Flakeboard America Limited AntarChile diversified 2014 DOJ_ANTITRUST $4,950,000
Berkshire Hathaway Inc. Berkshire Hathaway diversified 2014 DOJ_ANTITRUST $896,000
MacAndrews & Forbes Holdings Inc MacAndrews & Forbes diversified 2013 DOJ_ANTITRUST $720,000
Biglari Holdings Inc. Biglari Holdings diversified 2012 DOJ_ANTITRUST $850,000
Nautilus Hyosung Holdings Inc.   2011 DOJ_ANTITRUST $200,000
Smithfield Foods Inc WH Group food products 2010 DOJ_ANTITRUST $900,000
Caledonia Investments   2016 DOJ_ANTITRUST $480,000
ValueAct   2016 DOJ_ANTITRUST $11,000,000
ESL Partners L.P. and ZAM Holdings L.P.   2008 DOJ_ANTITRUST $800,000
ValueAct Capital Partners L.P.   2007 DOJ_ANTITRUST $1,100,000
Iconix Brand Group Iconix Brand Group apparel 2007 DOJ_ANTITRUST $550,000
Smithfield Foods Inc. WH Group food products 2004 DOJ_ANTITRUST $2,000,000
Manulife Financial Corporation Manulife Financial financial services 2004 DOJ_ANTITRUST $1,000,000
Hearst Corp. Hearst media 2001 DOJ_ANTITRUST $4,000,000
Duke Energy Corporation Duke Energy utilities and power generation 2017 DOJ_ANTITRUST $600,000
Third Point LLC   2019 DOJ_ANTITRUST $609,810
Prudential Equity Group LLC Prudential Financial financial services 2006 DOJ_CRIMINAL $600,000,000
Lumber Liquidators Holdings Inc. Lumber Liquidators Inc. housewares and home furnishings 2019 DOJ_CRIMINAL $27,000,000
Baton Holdings LLC Red Ventures business services 2019 DOJ_CRIMINAL $28,000,000
Propex Derivatives Pty Ltd   2020 DOJ_CRIMINAL $1,000,000
Goldman Sachs Group, Inc. Goldman Sachs financial services 2018 FED $54,750,000
Worden Capital Management LLC   2020 FINRA $1,550,000
Transamerica Financial Advisors, Inc. Aegon financial services 2020 FINRA $8,800,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC Wells Fargo financial services 2020 FINRA $2,075,000
SG Americas Securities, LLC Societe Generale financial services 2020 FINRA $1,550,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2020 FINRA $7,200,000
Stifel, Nicolaus & Company, Incorporated Stifel Financial financial services 2020 FINRA $3,650,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2019 FINRA $4,600,000
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.