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Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$78,346,186,381
Number of Penalty Records: 
5,568
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$13,424,705,23577
UBS$11,623,979,90947
Citigroup$8,095,660,13535
JPMorgan Chase$5,978,549,59944
Morgan Stanley$4,122,853,726105
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
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
Parnon Energy Inc., Arcadia Petroleum Ltd., and Arcadia Energy (Suisse) SA   2014 CFTC $13,000,000
Winsome Investment Trust and US Ventures   2014 CFTC $44,000,000
SK Madison Commodities, LLC   2014 CFTC $3,523,846
Hunter Wise Hunter Wise Commodities financial services 2014 CFTC $108,000,000
Global Futures & Forex, Ltd. GAIN Capital Holdings financial services 2014 CFTC $200,000
Tunney & Associates, P.C.   2014 CFTC $100,000
PGS Capital Wealth Management of Sherman Oaks, California, PGS Capital Credit, Inc.   2014 CFTC $462,727
Rockwell Asset Management, Inc.   2014 CFTC $477,210
Capital Market Services, LLC   2014 CFTC $275,000
Newbridge Alliance, Inc. and United States Capital Trust, LLC   2014 CFTC $3,381,179
New Century Investment Management LLC   2014 CFTC $5,700,000
Queen Shoals Consultants, LLC   2014 CFTC $5,760,000
Global Strategic Marketing, Inc.   2014 CFTC $2,292,798
Oxford Capital   2014 CFTC $3,519,309
Altamont Global Partners LLC   2014 CFTC $15,800,000
Worth Asset Management   2014 CFTC $6,200,000
Harbor Light Asset Management   2014 CFTC $5,200,000
Elite Management Holdings Corp. and MJM Enterprises LLC   2014 CFTC $10,000,000
Lloyds Commodities, LLC   2014 CFTC $5,000,000
CTI Group LLC and Cooper Trading   2014 CFTC $29,000,000
Multigrain SA and Agricola Xingu SA   2014 CFTC $500,000
New World Holdings LLC   2014 CFTC $50,000
SHK Management LLC   2013 CFTC $400,000
ADM Investor Services, Inc. Archer Daniels Midland agribusiness 2013 CFTC $425,000
FXDirectDealer, LLC   2013 CFTC $275,000
R.J. O'Brien & Associates LLC   2013 CFTC $125,000
Vision Financial Markets LLC   2013 CFTC $525,000
iFinix Futures, Inc.   2013 CFTC $1,260,000
Vision Financial Markets LLC   2013 CFTC $140,000
Newbridge Metals, LLC   2013 CFTC $1,500,000
Foremost Trading LLC   2013 CFTC $400,000
FXDirectDealer, LLC   2013 CFTC $2,740,000
Paramount Management, LLC   2013 CFTC $2,400,000
London Metals Market LLC   2013 CFTC $121,000
Macquarie Futures USA LLC Macquarie financial services 2013 CFTC $150,000
The Borrowing Station, LLC   2013 CFTC $600,000
Velocity Futures, LLC   2013 CFTC $300,000
Global Precious Metals Trading Company   2013 CFTC $2,200,000
Pan American Metals of Miami and Pan American Metals of Miami Beach   2013 CFTC $4,700,000
Panther Energy Trading LLC   2013 CFTC $2,800,000
Alpha Trade Group S.A.   2013 CFTC $5,779,000
Prestige Capital Advisors and D2W Capital Management   2013 CFTC $11,700,000
ACJ Capital Inc., and Solid View Capital LLC   2013 CFTC $1,500,000
Bentley Equities, LLC   2013 CFTC $2,700,000
FCStone LLC INTL FCStone financial services 2013 CFTC $1,500,000
Trade, LLC   2013 CFTC $39,800,000
Arjent Capital Markets LLC and Chicago Trading Managers LLC   2013 CFTC $1,800,000
MB Trading Futures Inc.   2013 CFTC $200,000
Complete Developments, LLC and Investment International Inc.   2013 CFTC $23,000,000
Q Wealth Management Inc.   2013 CFTC $5,000,000
The Linn Group, Inc.   2013 CFTC $400,000
PMC Strategy, LLC   2013 CFTC $1,800,000
InovaTrade, Inc.   2013 CFTC $38,000,000
National Equity Holdings, Inc.   2013 CFTC $3,600,000
Forex Global Solutions Inc. and Forex Global Solutions Ltd.   2013 CFTC $750,000
Interactive Brokers LLC Interactive Brokers Group financial services 2013 CFTC $225,000
Summit Trading & Capital LLC   2013 CFTC $4,800,000
VFRS LLC   2013 CFTC $3,200,000
Joseph Glenn Commodities LLC and JGCF LLC   2013 CFTC $1,000,000
System Capital, LLC   2013 CFTC $840,000
MXBK Group S.A. de C.V. and MBFX S.A.   2013 CFTC $57,000,000
Capstone FX Quantitative Analysis, Inc. and Beekeepers Fund Capital Management, LLC   2013 CFTC $3,500,000
Madison Dean, Inc.   2013 CFTC $1,400,000
EagleEye Asset Management   2013 CFTC $600,000
Enskilda Futures Limited   2013 CFTC $125,000
J. Hansen Investments, LLC   2013 CFTC $1,300,000
Gelber Group, LLC   2013 CFTC $750,000
GID Group, Inc.   2013 CFTC $2,400,000
Trader's International Return Network   2013 CFTC $22,800,000
Angus Jackson, Inc.   2013 CFTC $2,800,000
Lincolnshire Trading Partners, LLC   2013 CFTC $140,000
Trans Global Investments, LLC   2013 CFTC $340,000
R.J. O'Brien & Associates, LLC   2013 CFTC $300,000
TC Credit Service d/b/a Del-Mair Group   2012 CFTC $2,600,000
Trigon Group, Inc.   2012 CFTC $20,600,000
Forex Capital Trading Group, Forex Capital Trading Partners, and Highland Stone Capital Management   2012 CFTC $1,800,000
MBF Clearing Corp.   2012 CFTC $650,000
iGlobal Strategic Management, LLC   2012 CFTC $2,000,000
Cantor Fitzgerald Cantor Fitzgerald financial services 2012 CFTC $700,000
Eagle Market Makers Inc.   2012 CFTC $223,000
Demuzio Capital Management, LLC   2012 CFTC $3,000,000
Crabapple Capital Group LLC   2012 CFTC $2,600,000
Lunden Forex Partners, LP, Lunden Forex Management, LLC , Black Horse Funds, LLC, Black Horse Management, LLC, and Black Horse Partners, LP   2012 CFTC $1,890,000
Farr Financial Inc.   2012 CFTC $280,000
GlobeFX Club, Inc.   2012 CFTC $350,000
Midway Trading Company, LLC and Conquest Investment Group, Inc.   2012 CFTC $1,400,000
CMA Capital Management, LLC   2012 CFTC $5,500,000
Australia and New Zealand Banking Group Ltd.   2012 CFTC $350,000
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.