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
Oaktree Capital Management, L.P. Oaktree Capital Management private equity (including portfolio companies) 2018 SEC $100,000
EnCap Investments L.P. Encap Investments private equity (including portfolio companies) 2018 SEC $500,000
Sofinnova Ventures, Inc.   2018 SEC $120,000
Romano Brothers & Company   2018 SEC $15,000
Advanced Drainage Systems, Inc. Advanced Drainage Systems building materials 2018 SEC $1,000,000
The Dow Chemical Company Dow Inc. chemicals 2018 SEC $1,750,000
Beam Suntory Inc. Suntory beverages 2018 SEC $8,181,838
THL Managers V, LLC and THL Managers VI, LLC   2018 SEC $6,506,016
Aisling Capital LLC   2018 SEC $200,000
Grand Teton Capital Management, LLC?   2018 SEC $141,443
Cantor Fitzgerald & Co. Cantor Fitzgerald financial services 2018 SEC $1,250,000
Bayes Capital, LLC   2018 SEC $300,000
Constant Contact, Inc. and Endurance International Group Holdings, Inc. Endurance International Group business services 2018 SEC $8,000,000
Lyxor Asset Management, Inc.   2018 SEC $500,000
Manhattan Transfer Registrar Company   2018 SEC $52,493
Winter, Kloman, Moter & Repp, S.C.   2018 SEC $33,848
Equity Services, Inc.   2009 SEC $300,000
Simpson Capital Management, Inc.   2009 SEC $6,650,000
Merriman Curhan Ford & Co.   2009 SEC $100,000
Rhino Trading, LLC and Fat Squirrel Trading Group, LLC   2009 SEC $395,000
Banc of America Investment Services, Inc. Bank of America financial services 2009 SEC $150,000
Perceptive Advisors LLC   2009 SEC $439,755
First New York Securities L.L.C.   2009 SEC $69,008
GLB Trading, Inc.   2009 SEC $220,670
Commonwealth Equity Services, LLP d/b/a Commonwealth Financial Network   2009 SEC $100,000
United Global Securities, Inc.   2009 SEC $25,000
Lightspeed Trading LLC   2009 SEC $77,260
AXA Advisors, LLC Equitable Holdings financial services 2009 SEC $50,000
Merchant Capital, L.L.C.   2009 SEC $55,000
United Industrial Corporation   2009 SEC $337,679
New York Life Investment Management LLC New York Life Insurance financial services 2009 SEC $6,100,784
Wolfe & Hurst Bond Brokers, Inc   2009 SEC $25,000
Ingram Micro Inc. Platinum Equity private equity (including portfolio companies) 2009 SEC $15,000,000
INTECH Investment Management LLC   2009 SEC $300,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2009 SEC $500,001
Hennessee Group LLC   2009 SEC $814,644
American Skandia Investment Services, Inc. Prudential Financial financial services 2009 SEC $68,000,000
Woodbury Financial Services, Inc. Reverence Capital Partners private equity (including portfolio companies) 2009 SEC $65,000
Cornerstone Capital Management, Inc.?   2009 SEC $335,758
TD Options LLC Toronto-Dominion Bank financial services 2009 SEC $1,000,000
Susquehanna Investment Group   2009 SEC $7,640,000
Goldman Sachs Execution & Clearing, L.P. and SLK-Hull Derivatives LLC Goldman Sachs financial services 2009 SEC $7,200,000
Knight Financial Products, LLC Virtu Financial financial services 2009 SEC $2,040,000
Group One Trading, L.P.   2009 SEC $1,800,000
Equitec Proprietary Markets, LLC   2009 SEC $2,080,000
Botta Capital Management, L.L.C.   2009 SEC $825,000
RBC Capital Markets Corporation Royal Bank of Canada financial services 2009 SEC $125,000
Oppenheimer & Co. Inc Oppenheimer Holdings financial services 2009 SEC $850,000
Diamondback Capital Management, LLC   2009 SEC $162,175
SG Americas Securities, LLC Societe Generale financial services 2009 SEC $8,384,932
Ferris, Baker Watts, Inc. Royal Bank of Canada financial services 2009 SEC $800,656
Gabelli Funds, LLC Gamco Investors Inc. financial services 2009 SEC $450,000
Massachusetts Financial Services Company Sun Life Financial financial services 2018 SEC $1,900,000
Retirement Capital Strategies, Inc.?   2018 SEC $50,000
CarrierEQ Inc. (Airfox)   2018 SEC $250,000
Paragon Coin Inc.   2018 SEC $250,000
ITG Inc.   2018 SEC $12,000,000
Citibank N.A. Citigroup financial services 2018 SEC $38,700,000
Tesla Inc. Tesla Inc. motor vehicles 2018 SEC $20,000,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2018 SEC $5,000,000
LendingClub Asset Management LLC LendingClub Corp. financial services 2018 SEC $5,000,000
Walgreens Boots Alliance Inc. Walgreens Boots Alliance retailing 2018 SEC $34,500,000
Voya Financial Advisors Inc. Voya Financial financial services 2018 SEC $1,000,000
SG Americas Securities LLC (Societe Generale) Societe Generale financial services 2018 SEC $800,000
CMB Export LLC   2018 SEC $5,150,000
Cardiff Lexington Corporation   2018 SEC $25,000
Cool Technologies Inc.   2018 SEC $75,000
Dasan Zhone Solutions Inc.   2018 SEC $50,000
First Hartford Corporation   2018 SEC $50,000
Infrax Systems Inc.   2018 SEC $50,000
Clovis Oncology Inc. Clovis Oncology pharmaceuticals 2018 SEC $20,000,000
SeaWorld Entertainment Inc. SeaWorld Entertainment entertainment 2018 SEC $4,000,000
Citigroup Global Markets Inc. Citigroup financial services 2018 SEC $12,937,475
Crypto Asset Management LP   2018 SEC $200,000
TokenLot LLC   2018 SEC $478,929
Cadaret, Grant & Co. Inc. Atria Wealth Solutions financial services 2018 SEC $513,194
NW Capital Markets Inc.   2018 SEC $87,065
TelexElectric, LLLP   2018 SEC $2,022,239
Telex Mobile Holdings, Inc.   2018 SEC $500,870
FX & Beyond Corporation   2018 SEC $1,392,656
Hope Advisors, LLC   2018 SEC $1,487,235
WealthCFO, LLC   2018 SEC $409,405
Retirement Capital Strategies, Inc.?   2018 SEC $50,000
Pennant Management, Inc.   2018 SEC $400,000
Putnam Investment Management, LLC Power Financial Corporation financial services 2018 SEC $1,000,000
Hudson Housing Capital LLC   2018 SEC $65,000
Lichter, Yu and Associates, Inc., et al.?   2018 SEC $64,900
TD Ameritrade, Inc. Charles Schwab Corp. financial services 2018 SEC $500,000
Heartland Payment Systems, LLC Global Payments Inc. financial services 2018 SEC $2,160,000
Ophrys, LLC   2018 SEC $500,000
Primoris Services Corporation Primoris Services construction and engineering 2018 SEC $200,000
Eric Hall & Associates, LLC   2018 SEC $54,761
Creative Planning, Inc.   2018 SEC $200,000
Abtech Holdings, Inc.?   2018 SEC $133,414
Cushing Asset Management, LP   2018 SEC $100,000
Capital Analysts, LLC   2018 SEC $1,820,349
Holthouse Carlin & Van Trigt LLP?   2018 SEC $300,000
Harbour Investments, Inc.   2018 SEC $241,479
Crypto Asset Management, LP   2018 SEC $200,000
BB&T Securities, LLC Truist Financial financial services 2018 SEC $100,000
VSS Fund Management LLC   2018 SEC $200,000
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.