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
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
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
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.