Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
Number of Penalty Records: 
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
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
Mercury Capital   2012 SEC $45,747
1st Discount Brokerage, Inc.   2012 SEC $40,000
AXA Advisors, LLC Equitable Holdings financial services 2012 SEC $100,000
Investment Placement Group   2011 SEC $4,072,027
Touradji Capital Management, L.P.   2011 SEC $1,303,336
Hanes Morgan & Co., Inc   2011 SEC $100,000
Feltl & Company, Inc.   2011 SEC $203,172
Asset Advisors, LLC   2011 SEC $20,000
FTN Financial Securities Corp.   2011 SEC $1,873,636
Pipeline Trading Systems LLC   2011 SEC $1,000,000
Credit Suisse Alternative Capital, LLC and Credit Suisse Asset Management, LLC Credit Suisse financial services 2011 SEC $2,500,000
Gilford Securities, Incorporated   2011 SEC $612,113
Global Sentry Equity Transfer, Inc.   2011 SEC $375,000
Fontana Capital, LLC   2011 SEC $984,790
Brookside Capital, LLC   2011 SEC $2,124,079
Level Global Investors, L.P.   2011 SEC $3,244,171
Pegasus Investment Management, LLC   2011 SEC $95,469
Wunderlich Securities, Inc.   2011 SEC $532,624
Legend Securities, Inc.   2011 SEC $50,000
Aristeia Capital, LLC   2011 SEC $1,762,776
JSK Associates, Inc.   2011 SEC $60,000
Securities Transfer Corporation   2011 SEC $10,000
Envision Capital Management, Ltd.   2011 SEC $100,000
Alpine Woods Capital Investors, LLC   2011 SEC $650,000
Horseman Capital Management, L.P.?   2011 SEC $1,484,952
BNY Mellon Securities LLC Bank of New York Mellon financial services 2011 SEC $24,045,447
American Pegasus LDG, LLC and American Pegasus Investment Management, Inc.   2010 SEC $850,000
Gartmore Investment Limited   2010 SEC $1,347,251
New Castle Funds LLC   2010 SEC $293,064
World Group Securities, Inc. Aegon financial services 2010 SEC $200,000
The Buckingham Research Group, Inc. and Buckingham Capital Management   2010 SEC $125,000
Sands Brothers Asset Management LLC   2010 SEC $60,000
Ark Asset Management Co., Inc.   2010 SEC $750,000
Valentine Capital Asset Management, Inc.?   2010 SEC $432,007
Carlson Capital, L.P.   2010 SEC $2,653,234
Sierra Financial Advisors, LLC   2010 SEC $14,599
LACE Financial Corp.   2010 SEC $20,000
Pinnacle Capital Markets LLC   2010 SEC $25,000
Spencer International Advisors, Inc.   2010 SEC $75,000
Appaloosa Management L.P.   2010 SEC $1,304,523
Goldman Sachs Execution & Clearing, L.P. Goldman Sachs financial services 2010 SEC $225,000
Haberman Value Fund, L.P.   2010 SEC $263,443
Southwest Securities, Inc. Hilltop Holdings financial services 2010 SEC $470,147
GPS Partners, LLC   2010 SEC $1,284,171
Prime Capital Services, Inc.   2010 SEC $144,262
Warrior Fund LLC   2010 SEC $221,384
Axiom Capital Management, Inc.   2010 SEC $60,000
Moody's Investors Service, Inc. Moody's information technology 2018 SEC $1,250,000
Moody's Investors Service, Inc. Moody's information technology 2018 SEC $15,000,000
AEGON USA Investment Management LLC et al. Aegon financial services 2018 SEC $97,600,000
First Western Advisors   2018 SEC $202,767
Intertech Solutions, Inc.   2018 SEC $7,400,000
Merrill Lynch, Pierce, Fenner & Smith Bank of America financial services 2018 SEC $8,900,000
Ameriprise Financial Services Inc. Ameriprise Financial financial services 2018 SEC $4,500,000
NW Capital Markets Inc.   2018 SEC $87,065
Ribbon Communications Inc. (fka Sonus Networks) Ribbon Communications telecommunications 2018 SEC $1,900,000
Mizuho Securities USA LLC Mizuho Financial financial services 2018 SEC $1,250,000
Deutsche Bank Trust Co. Americas and Deutsche Bank Securities Inc. Deutsche Bank financial services 2018 SEC $73,200,000
Morgan Stanley Smith Barney Morgan Stanley financial services 2018 SEC $3,600,000
Alexander Capital L.P.   2018 SEC $410,987
Wells Fargo Advisors LLC Wells Fargo financial services 2018 SEC $5,108,441
Merrill Lynch, Pierce, Fenner & Smith Bank of America financial services 2018 SEC $42,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2018 SEC $15,700,000
deVere USA, Inc.   2018 SEC $8,000,000
Bachrach Asset Management Inc.   2018 SEC $75,000
Biglari Capital LLC Biglari Holdings diversified 2018 SEC $75,000
Brahma Management Ltd.   2018 SEC $75,000
Bristol Group Inc.   2018 SEC $75,000
CAI Managers & Co. L.P.   2018 SEC $75,000
Cherokee Investment Partners LLC   2018 SEC $75,000
Ecosystem Investment Partners LLC   2018 SEC $75,000
Elm Partners Management LLC   2018 SEC $75,000
HEP Management Corp.   2018 SEC $75,000
Prescott General Partners LLC   2018 SEC $75,000
RLJ Equity Partners LLC   2018 SEC $75,000
Rose Park Advisors LLC   2018 SEC $75,000
Veteri Place Corp.   2018 SEC $75,000
Industrial and Commercial Bank of China Financial Services LLC Industrial and Commercial Bank of China financial services 2018 SEC $860,000
Barcelona Strategies LLC   2018 SEC $542,120
Visium Asset Management LP   2018 SEC $10,120,711
Moon River Studios, Inc.   2018 SEC $1,824,368
Guardians Trustee, LLC   2018 SEC $179,253
Charles Schwab & Co., Inc. Charles Schwab Corp. financial services 2018 SEC $2,800,000
Malachi Financial Products, Inc.   2018 SEC $85,858
Texas Coastal Energy Company   2018 SEC $7,200,000
Aria Partners GP, LLC   2018 SEC $150,000
Biltmore Wealth Management, LLC   2018 SEC $183,043
Merrill Lynch, Pierce and Fenner & Smith Incorporated Bank of America financial services 2018 SEC $8,872,723
BKS Advisors LLC   2018 SEC $75,000
Lockwood Advisors, Incorporated   2018 SEC $200,000
Hamlin Capital Management, LLC?   2018 SEC $900,000
Knowledge Leaders Capital, LLC   2018 SEC $50,000
Sycamore Lane Partners LLC   2018 SEC $134,042
Beverly Hills Wealth Management, LLC   2018 SEC $100,000
New Silk Route Advisors, L.P.   2018 SEC $75,000
Mount Kellett Capital Management LP?   2018 SEC $160,000
Genesis Associates Limited Partnership   2018 SEC $50,000
FP Resources USA Inc   2018 SEC $92,383
Lobster Point Holdings Limited   2018 SEC $92,383
HBA Advisors, LLC   2018 SEC $15,000
Oaktree Capital Management, L.P. Oaktree Capital Management private equity (including portfolio companies) 2018 SEC $100,000
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.