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
BB&T Securities, LLC Truist Financial financial services 2015 SEC $200,000
Ameritas Investment Corp. Ameritas Mutual Holding Company financial services 2015 SEC $200,000
NW Capital Markets Inc.   2015 SEC $100,000
Northland Securities, Inc.   2015 SEC $220,000
Mesirow Financial, Inc.   2015 SEC $100,000
Joe Jolly & Co., Inc.   2015 SEC $100,000
J.J.B. Hilliard and W.L. Lyons, LLC   2015 SEC $420,000
The Frazer Lanier Company, Incorporated   2015 SEC $100,000
Fifth Third Securities, Inc. Fifth Third Bancorp financial services 2015 SEC $20,000
Estrada Hinojosa & Company, Inc.   2015 SEC $40,000
U.S. Bank Municipal Securities Group U.S. Bancorp financial services 2015 SEC $60,000
UMB Bank N.A. Investment Banking Division UMB Financial Corp. financial services 2015 SEC $420,000
UBS Financial Services Inc. UBS financial services 2015 SEC $480,000
Ross, Sinclaire & Associates, LLC   2015 SEC $220,000
Prager & Co., LLC   2015 SEC $100,000
PNC Capital Markets LLC PNC Financial Services financial services 2015 SEC $500,000
Hyperdynamics Corporation   2015 SEC $75,000
G Asset Management, LLC   2015 SEC $175,000
R.T. Jones Capital Equities Management, Inc.   2015 SEC $75,000
Ditto Holdings, Inc.   2015 SEC $50,000
Mackensen & Company, Inc.   2015 SEC $100,000
Success Trade, Inc. and Success Trade Securities, Inc.   2015 SEC $26,158,214
Signator Investors, Inc.   2015 SEC $450,000
Acadia Asset Management, LLC   2015 SEC $354,115
Tri-Star Advisors, Inc.   2015 SEC $150,000
Parallax Investments, LLC   2015 SEC $200,000
Gold Mountain Management, LLC   2015 SEC $200,000
Montgomery Street Research, LLC   2015 SEC $342,718
Dion Money Management, LLC   2015 SEC $50,000
Macquarie Capital Investment Management LLC, et al Macquarie financial services 2015 SEC $120,000
Wisteria Global, Inc.   2015 SEC $1,138,935
Cotterman-Wilson CPAs, Inc   2015 SEC $36,897
Pekin Singer Strauss Asset Management Inc   2015 SEC $150,000
Commonwealth Capital Management, LLC, et al.   2015 SEC $50,000
SFX Financial Advisory Management Enterprises, Inc.   2015 SEC $150,000
Trust & Investment Advisors, Inc.   2015 SEC $50,000
Alpha Titans LLC   2015 SEC $698,450
Houston American Energy Corp.   2015 SEC $400,000
StateTrust Investments, Inc.   2015 SEC $90,000
Kornitzer Capital Management, Inc.   2015 SEC $50,000
KBR, Inc. KBR construction and engineering 2015 SEC $130,000
Global Fixed Income, LLC, et al.   2015 SEC $3,385,989
Keypoint Capital Management, LLC   2015 SEC $77,250
Coral Reef Media, LLC   2015 SEC $52,395
Stilwell Value LLC   2015 SEC $250,000
SMP Investments I, LLC   2015 SEC $63,750
Water Island Capital LLC   2015 SEC $50,000
Child, Van Wagoner & Bradshaw, PLLC   2015 SEC $130,506
New Line Capital, LLC   2015 SEC $25,000
Wyoming Investment Management Services, LLC   2015 SEC $10,000
International Capital Group, LLC   2015 SEC $3,170,054
First National Community Bancorp Inc   2015 SEC $175,000
Consulting Services Group, LLC   2015 SEC $150,000
Shelton Financial Group, Inc.   2015 SEC $190,066
EDGA Exchange, Inc. and EDGX Exchange, Inc.   2015 SEC $14,000,000
Voya Holdings Inc. Voya Financial financial services 2018 SEC $3,600,000
Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America financial services 2018 SEC $1,404,000
New York Stock Exchange IntercontinentalExchange Group financial services 2018 SEC $14,000,000
Edwin Shaw LLC   2018 SEC $544,744
Deutsche Bank Securities Inc. Deutsche Bank financial services 2018 SEC $4,450,000
Ameriprise Financial Services Ameriprise Financial financial services 2018 SEC $230,000
Dedicated Sound and Audio, Inc.   2018 SEC $250,000
Choice Equity   2018 SEC $2,430,850
Southridge Capital Management LLC and Southridge Advisors LLC   2018 SEC $7,864,064
Capital Cove Bancorp LLC   2018 SEC $1,829,868
PNC Investments LLC PNC Financial Services financial services 2018 SEC $7,307,770
Securities America Advisors Inc. Reverence Capital Partners private equity (including portfolio companies) 2018 SEC $5,828,448
Geneos Wealth Management Inc.   2018 SEC $1,808,121
CSIR Group, LLC   2018 SEC $17,142
Verto Capital Management LLC   2018 SEC $620,594
Electronic Transaction Clearing Inc.   2018 SEC $80,000
Eureeca Capital SPC   2014 SEC $25,000
Clean Energy Capital, LLC   2014 SEC $2,246,030
Rothman Securities, Inc.   2014 SEC $90,000
Highland Capital Management, L.P.   2014 SEC $225,000
Colorado Financial Service Corporation   2014 SEC $25,000
Westend Capital Management, LLC   2014 SEC $150,000
Security Capital Research & Management Incorporated   2014 SEC $88,000
Willis Lease Finance Corporation   2014 SEC $150,000
Tel-Instrument Electronics Corp.   2014 SEC $75,000
KMG Chemicals, Inc. CMC Materials miscellaneous manufacturing 2014 SEC $150,000
Jones Lang LaSalle Incorporated Jones Lang LaSalle real estate 2014 SEC $150,000
Del Mar Asset Management, LP   2014 SEC $66,000
Brown Brothers Harriman & Co. Brown Brothers Harriman financial services 2014 SEC $120,000
Royal Bank of Scotland Group plc NatWest Group PLC financial services 2014 SEC $120,000
Starwood Hotel & Resorts Worldwide, Inc. Marriott International hotels 2014 SEC $75,000
Lazarus Management Company LLC   2014 SEC $60,000
P.A.W. Capital Partners, L.P.   2014 SEC $68,000
RIMA Senvest Management, LLC   2014 SEC $68,000
Sankaty Advisors, LLC   2014 SEC $68,000
Trinad Management, LLC   2014 SEC $95,000
Universal Electronics Inc. Universal Electronics Inc. electrical and electronic equipment 2014 SEC $75,000
Ridgeback Capital Management LP   2014 SEC $104,500
Structured Portfolio Management, L.L.C., SPM Jr., L.L.C., and SPM IV, L.L.C.   2014 SEC $300,000
Bank of America Corporation Bank of America financial services 2014 SEC $20,000,000
Monness, Crespi, Hardt & Co., Inc.   2014 SEC $150,000
The Phoenix Companies, Inc.   2014 SEC $100,000
PHL Variable Insurance Company   2014 SEC $100,000
Dominick & Dominick LLC   2014 SEC $75,000
Lakeside Capital Management, LLC   2014 SEC $590,152
Paradigm Capital Management, Inc.   2014 SEC $2,181,771
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.