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Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$81,951,144,270
Number of Penalty Records: 
6,612
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$11,680,355,33362
Citigroup$8,177,245,73064
JPMorgan Chase$6,210,421,20673
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
First Midstate Incorporated   2016 SEC $100,000
Barclays Capital Inc. Barclays financial services 2016 SEC $500,000
ARRG Corp.   2016 SEC $410,753
Equinox Fund Management, LLC   2016 SEC $400,000
Everhart Financial Group, Inc.   2016 SEC $305,407
SG Americas Securities LLC Societe Generale financial services 2015 SEC $1,011,093
KCG Americas LLC Virtu Financial financial services 2015 SEC $1,055,197
Canarsie Capital, LLC   2015 SEC $3,494,938
DKM Certified Public Accountants, Inc.   2015 SEC $60,043
Messineo & Co., CPAs, LLC   2015 SEC $25,000
Bander Law Firm, PLLC   2015 SEC $273,184
Azarmehr Law Group   2015 SEC $57,965
Alpha Fiduciary, Inc.   2015 SEC $250,000
Cranshire Capital Advisors, LLC   2015 SEC $250,000
JH Partners, LLC   2015 SEC $225,000
Virtus Investment Advisers, Inc.   2015 SEC $16,500,000
Metis Wealth Advisors, LLC   2015 SEC $71,489
Cherokee Investment Partners, LLC and Cherokee Advisers, LLC   2015 SEC $100,000
Retirement Investment Advisors, Inc. and Research Holdings, LLC   2015 SEC $219,243
Welhouse & Associates, Inc.   2015 SEC $769,059
Latour Trading LLC   2015 SEC $8,053,439
Edward D. Jones & Co., L.P. Jones Financial financial services 2015 SEC $100,000
Duncan-Williams, Inc   2015 SEC $250,000
Crews & Associates, Inc.   2015 SEC $250,000
Country Club Bank   2015 SEC $140,000
Commerce Bank Capital Markets Group   2015 SEC $40,000
Comerica Securities, Inc. Comerica financial services 2015 SEC $60,000
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
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.