Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$80,470,232,936
Number of Penalty Records: 
6,468
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$11,679,855,33361
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
DLL CPAS, LLC   2019 SEC $51,387
Katz, Sapper & Miller, LLP   2019 SEC $101,834
Hertz Global Holdings, Inc. Hertz miscellaneous services 2018 SEC $16,000,000
ADT Inc. Apollo Global Management private equity (including portfolio companies) 2018 SEC $100,000
Lightyear Capital LLC   2018 SEC $400,000
BioElectronics, Corp.   2018 SEC $191,640
Thoroughbred Financial Services, LLC   2018 SEC $1,108,618
Sterling Global Strategies LLC   2018 SEC $175,000
Ancora Advisors LLC   2018 SEC $100,000
NB Alternatives Advisers LLC   2018 SEC $2,733,608
Santander Consumer USA Holdings Inc. Banco Santander financial services 2018 SEC $1,500,000
UBS Financial Services Inc. UBS financial services 2018 SEC $5,000,000
Yucaipa Master Manager, LLC   2018 SEC $2,934,312
Landaas & Company   2018 SEC $598,941
Frontier Oilfield Services, Inc.   2018 SEC $25,000
CoinAlpha Advisors LLC   2018 SEC $50,000
Fifth Street Management, LLC   2018 SEC $3,983,660
Spark Trading Group LLC   2019 SEC $694,915
Deer Park Road Management Company LP   2019 SEC $5,000,000
Wilson-Davis & Co., Inc.   2019 SEC $300,000
Corinthian Capital Group, LLC   2019 SEC $100,000
GT Advanced Technologies Inc.   2019 SEC $140,000
Deutsche Bank Trust Company Americas Deutsche Bank financial services 2019 SEC $500,000
Charter Capital Management, LLC   2019 SEC $40,000
ZBS Group LLP   2019 SEC $48,461
Clear Scope Advisors, Inc.   2019 SEC $25,678
Mutual Coin Fund LLC   2019 SEC $10,000
Sweetwater Investments, Inc.   2019 SEC $1,164,747
Tiber Creek Corp.   2019 SEC $209,797
Account Management LLC   2019 SEC $100,000
AOC Securities LLC   2019 SEC $250,000
AR Capital LLC   2019 SEC $53,000,000
Bitqyck Inc.   2019 SEC $8,375,617
BMO Capital Markets Corporation Bank of Montreal financial services 2019 SEC $3,946,000
Canaccord Genuity LLC   2019 SEC $250,000
Cantor Fitzgerald & Co. Cantor Fitzgerald financial services 2019 SEC $647,000
Dale Scott & Company, Inc.   2019 SEC $25,000
DFRF Enterprises LLC and DFRF Enterprises, LLC   2019 SEC $19,390,352
EMS Capital LP   2019 SEC $317,415
Equal Earth, Inc.   2019 SEC $7,655,000
Facebook Inc. Facebook information technology 2019 SEC $100,000,000
Fieldstone Financial Management Group LLC   2019 SEC $1,322,971
Financial Sherpa, Inc.   2019 SEC $436,861
Foundations Asset Management, LLC   2019 SEC $363,947
Guaranteed Investigations, Inc.   2019 SEC $16,846
ICO Rating   2019 SEC $268,998
IFS Securities   2019 SEC $50,000
Industrial and Commercial Bank of China Financial Services LLC Industrial and Commercial Bank of China financial services 2019 SEC $42,700,000
Laurel Wealth Advisors, Inc.   2019 SEC $100,000
Lefavi Wealth Management, Inc.   2019 SEC $1,288,735
Mosaic Capital, LLC   2019 SEC $250,000
MVP Manager LLC   2019 SEC $249,739
Nomura Securities International Inc. Nomura financial services 2019 SEC $26,400,000
Omega Protein Corporation Cooke Inc. food products 2019 SEC $400,000
School Services of California, Inc.   2019 SEC $10,000
Spring Hill Capital Markets, LLC, et al.   2019 SEC $485,803
State Street Bank and Trust Company State Street Corp. financial services 2019 SEC $88,780,000
The Options Clearing Corporation   2019 SEC $15,000,000
The Parrish Group, LLC   2019 SEC $184,767
TherapeuticsMD Inc.   2019 SEC $200,000
Wedbush Securities Inc. Wedbush Securities financial services 2019 SEC $8,100,000
Channing Capital Management, LLC   2019 SEC $50,000
Portfolio Advisors Alliance   2019 SEC $1,259,721
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2019 SEC $1,545,758
Golden California Regional Center, LLC   2019 SEC $50,295,232
Capital Source Lending LLC   2019 SEC $5,720,451
XBT Corp Sarl dba First Global Credit   2019 SEC $131,952
UQM Technologies, Inc. Danfoss industrial equipment 2019 SEC $500,000
Northwest Biotherapeutics, Inc.   2019 SEC $250,000
Lek Securities Corp.   2019 SEC $1,525,892
PlexCorps   2019 SEC $4,911,613
Block.one   2019 SEC $24,000,000
Bill Few Associates Inc.   2019 SEC $2,398,304
Cargile Investment Management Inc.   2019 SEC $70,140
Comprehensive Capital Management Inc.   2019 SEC $93,631
Equity Services Inc.   2019 SEC $587,017
Essex Financial Services Inc.   2019 SEC $645,000
Folger Nolan Fleming Douglas Capital Management Inc.   2019 SEC $59,478
Henley & Company Wealth Management LLC   2019 SEC $36,866
Hilltop Securities Inc. and Hilltop Securities Independent Network Inc. Hilltop Holdings financial services 2019 SEC $810,785
IC Advisory Services Inc.   2019 SEC $1,195,186
Independent Financial Group LLC   2019 SEC $1,426,150
Investment Partners Ltd.   2019 SEC $43,384
IPG Investment Advisors LLC   2019 SEC $85,294
Michigan Advisors Inc.   2019 SEC $327,976
Saxony Capital Management LLC   2019 SEC $230,220
Wedbush Securities Inc. Wedbush Securities financial services 2019 SEC $1,852,540
Founders Financial Securities, LLC   2019 SEC $1,475,465
Outset Global LLP   2019 SEC $207,409
Virtu Americas LLC Virtu Financial financial services 2019 SEC $1,500,000
Nebulous, Inc.   2019 SEC $224,601
Mid Atlantic Financial Management, Inc.   2019 SEC $300,000
Longfin Corp.   2019 SEC $6,755,848
Cutting Edge Business Services, Inc.   2019 SEC $273,336
BMO Harris Financial Advisors Inc. and BMO Asset Management Corp. Bank of Montreal financial services 2019 SEC $37,980,000
Mylan N.V. Viatris pharmaceuticals 2019 SEC $30,000,000
Omgeo Matching Services US, LLC   2019 SEC $2,000,000
GFI Securities LLC BGC Partners financial services 2019 SEC $4,300,000
Harding Advisory LLC   2019 SEC $850,000
Pinnacle Companies, LLC   2019 SEC $1,112,000
Three Bridge Wealth Advisors, LLC   2019 SEC $60,000
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.