« Return to search form

Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$77,810,804,234
Number of Penalty Records: 
5,487
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$13,398,455,23576
UBS$11,623,979,90947
Citigroup$8,095,660,13535
JPMorgan Chase$5,978,549,59944
Morgan Stanley$4,122,821,847102
Deutsche Bank$3,994,334,82825
Goldman Sachs$3,888,695,98726
Wells Fargo$2,425,119,26153
American International Group$1,618,900,0005
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
United Gold Direct, LLC   2020 CA-DFPI $45,112
Sportball Systems USA, LLC   2020 CA-DFPI $5,000
Credit Suisse Credit Suisse financial services 2016 CFTC $665,000
BNP Paribas Securities BNP Paribas financial services 2015 CFTC $140,000
Morgan Stanley Morgan Stanley financial services 2015 CFTC $300,000
Royal Bank of Canada Royal Bank of Canada financial services 2014 CFTC $35,000,000
Morgan Stanley Smith Barney Morgan Stanley financial services 2014 CFTC $280,000
Merrill Lynch Bank of America financial services 2014 CFTC $1,200,000
Morgan Stanley Smith Barney Morgan Stanley financial services 2014 CFTC $490,000
Morgan Stanley Capital Group Morgan Stanley financial services 2014 CFTC $200,000
JPMorgan Chase JPMorgan Chase financial services 2013 CFTC $100,000,000
ABN AMRO Clearing Chicago LLC ABN AMRO financial services 2013 CFTC $1,000,000
Goldman Sachs Goldman Sachs financial services 2012 CFTC $1,500,000
Morgan Stanley Smith Barney Morgan Stanley financial services 2012 CFTC $200,000
JPMorgan Chase Bank JPMorgan Chase financial services 2012 CFTC $600,000
Citigroup Citigroup financial services 2012 CFTC $525,000
Morgan Stanley Morgan Stanley financial services 2012 CFTC $5,000,000
Goldman Sachs Execution & Clearing LP Goldman Sachs financial services 2012 CFTC $7,000,000
J.P. Morgan Securities LLC JPMorgan Chase financial services 2012 CFTC $140,000
BlackRock Institutional Trust Company NA BlackRock financial services 2012 CFTC $250,000
Merrill Lynch Bank of America financial services 2011 CFTC $350,000
Barclays Capital Inc. Barclays financial services 2016 CFTC $800,000
Vault Options, Ltd. and Global Trader 365   2016 CFTC $4,587,371
Atlantas Group, Inc.   2016 CFTC $7,200,000
Agrocorp International Pte Ltd.   2016 CFTC $150,000
Golden Agri International Pte Ltd.   2016 CFTC $150,000
Tech Power Inc.   2016 CFTC $250,000
Barclays Bank PLC Barclays financial services 2016 CFTC $560,000
DG Wealth Management   2016 CFTC $17,499,623
Emini Experts, LLC and Capital Trading Concepts LLC   2016 CFTC $2,795,901
Harvard Assets LLC, London Assets Inc. , and Harvard International Trading, Inc.   2016 CFTC $2,451,568
BFXNA Inc. d/b/a Bitfinex   2016 CFTC $75,000
Cypress Wealth Management, Inc.   2016 CFTC $430,764
Cunningham Commodities, LLC   2016 CFTC $150,000
Galileo Trading LLC   2016 CFTC $1,608,640
Badge Trading LLC   2016 CFTC $280,000
Stroud Capital Management, LLC, TS Capital Partners, LLC, and TS Capital Management, LLC   2016 CFTC $4,723,246
Equinox Fund Management LLC   2016 CFTC $5,654,004
IBFX Inc.   2016 CFTC $1,000,000
CHS Inc. CHS Inc. agribusiness 2016 CFTC $1,000,000
Banc de Binary Ltd.   2016 CFTC $9,100,000
4X Solutions Inc.   2016 CFTC $10,980,904
Worth Group Inc.   2016 CFTC $2,500,000
Otkritie Capital International, Ltd.   2016 CFTC $140,000
BC Capital Group S.A., BC Capital Group International Limited, and BC Capital Group Holdings S.A. BC Capital Group financial services 2016 CFTC $490,246,741
Total Gas & Power North America, Inc. Total S.A. oil and gas 2015 CFTC $3,600,000
Sharpe Signa, LLC and Haeres Capital, LLC   2015 CFTC $70,000
Sentry Asset Group, LLC d/b/a Sentry Asset Management, LLC   2015 CFTC $378,767
Executive Management Advisors L.L.C.   2015 CFTC $31,000,000
Direct Investment Products, Inc.   2015 CFTC $3,851,633
Alfred C. Toepfer International, Inc. Archer Daniels Midland agribusiness 2015 CFTC $400,000
Pure Reason LLC   2015 CFTC $140,000
American Portfolio Asset Management, Inc.   2015 CFTC $578,474
Global Consortiums LLC   2015 CFTC $589,660
Futures International LLC   2015 CFTC $500,000
Nord Capital Advisors LLC   2015 CFTC $280,000
Cargill de Mexico SA De CV Cargill agribusiness 2015 CFTC $500,000
Australia and New Zealand Banking Group Ltd.   2015 CFTC $150,000
Phillips Investment & Trust LLC and Corporate I Communications & Technology Inc.   2015 CFTC $234,500
Forex Capital Markets, LLC Jefferies Financial Group diversified 2015 CFTC $843,922
INTL FCStone Markets, LLC INTL FCStone financial services 2015 CFTC $200,000
Brunswick Capital LLC and Brunswick Capital Partners LP   2015 CFTC $1,025,039
Black Diamond Capital Solutions LLC, Life Plus Group LLC and Black Diamond Holdings LLC   2015 CFTC $76,000,000
Double Eagle Enterprises, LLC   2015 CFTC $700,000
Libero Commodities SA   2015 CFTC $480,000
FCStone, LLC INTL FCStone financial services 2015 CFTC $140,000
Inter-Global Currency & Precious Metals   2015 CFTC $547,342
Hope Advisors LLC   2015 CFTC $100,000
RFF GP LLC and KGW Capital Management LLC   2015 CFTC $7,515,888
Marubeni America Corporation Marubeni diversified 2015 CFTC $800,000
ICE Futures U.S. Inc. IntercontinentalExchange Group financial services 2015 CFTC $3,000,000
North Hills Management LLC   2015 CFTC $26,000,000
Maize Capital Management, LLC and Maize Asset Management, LLC   2015 CFTC $6,702,818
Paramount Metals Exchange and Paramount Credit   2015 CFTC $2,595,946
Midwest Metals Exchange   2015 CFTC $522,852
U.S. Bank National Association U.S. Bancorp financial services 2015 CFTC $18,000,000
Gold Coast Bullion Inc.   2015 CFTC $9,690,124
Lions Wealth Holdings, Lions Wealth Services and 20/20 Precious Metals   2015 CFTC $5,388,730
Olam International Ltd. and Olam Americas Inc.   2015 CFTC $3,000,000
Summit Energy Services Inc. Schneider Electric electrical and electronic equipment 2015 CFTC $140,000
TOTE Fund LLC and MJS Capital Management LLC   2015 CFTC $871,439
Vasquez Global Investments, LLC   2014 CFTC $1,326,224
MF Global Holdings Ltd. MF Global financial services 2014 CFTC $1,312,000,000
AlphaMetrix, LLC   2014 CFTC $5,600,000
Champion Management International, LLC   2014 CFTC $2,544,722
IBFX, Inc.   2014 CFTC $600,000
Gold Distributors, Inc.   2014 CFTC $1,349,066
Pinnacle Forex Group LLC   2014 CFTC $819,378
American Bullion Exchange   2014 CFTC $18,000,000
Financial Robotics, Inc.   2014 CFTC $2,481,000
JBW Capital LLC   2014 CFTC $2,860,000
Vertical Integration Group LLC   2014 CFTC $3,120,688
Friedberg Mercantile Group, Inc.   2014 CFTC $70,000
Peak Capital Management Group, Inc.   2014 CFTC $1,600,000
Absa Bank, Ltd.   2014 CFTC $150,000
FXDirectDealer, LLC   2014 CFTC $600,000
WorldPMX, Inc.   2014 CFTC $1,100,000
Zulutrade Inc.   2014 CFTC $150,000
FirstRand Bank, Ltd.   2014 CFTC $150,000
AmeriFirst Management LLC   2014 CFTC $35,000,000
Palm Beach Capital LLC   2014 CFTC $520,960
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.