Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
Number of Penalty Records: 
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
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
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   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
Amadeus Wealth Advisors, LLC   2019 SEC $40,000
ECP Manager LP   2019 SEC $122,656
BrixInvest, LLC   2019 SEC $300,000
Cetera Investment Advisers LLC   2019 SEC $185,000
Hefren-Tillotson, Inc.   2019 SEC $379,965
Strong Investment Management   2019 SEC $1,061,157
Strategic Planning Group, Inc.   2019 SEC $200,000
PricewaterhouseCoopers LLP PricewaterhouseCoopers business services 2019 SEC $7,944,055
HCR Wealth Advisors   2019 SEC $220,000
The Bancorp, Inc.   2019 SEC $1,400,000
Sigma Planning Corp.   2019 SEC $2,546,718
Raymond James & Associates, Inc. et al. Raymond James Financial financial services 2019 SEC $15,000,000
Morgan Stanley Smith Barney, LLC Morgan Stanley financial services 2019 SEC $225,000
Stifel, Nicolaus & Co., Inc. Stifel Financial financial services 2019 SEC $2,700,000
BMO Capital Markets Corp. Bank of Montreal financial services 2019 SEC $1,950,000
Prudential Financial Inc. Prudential Financial financial services 2019 SEC $32,600,000
Vandham Securities Corp.   2019 SEC $200,000
Garrison Investment Group LP and Garrison Capital Advisers LLC   2019 SEC $250,000
ED Capital Management, LLC   2019 SEC $75,000
Bio Defense Corp.   2019 SEC $37,475,717
Wells Fargo Clearing Services and Wells Fargo Advisors Financial Network Wells Fargo financial services 2020 SEC $35,000,000
Wells Fargo & Co. Wells Fargo financial services 2020 SEC (*) $500,000,000
Enigma MPC   2020 SEC $500,000
Diageo plc Diageo beverages 2020 SEC $5,000,000
ABN AMRO Clearing Chicago LLC ABN AMRO financial services 2020 SEC $586,000
MetLife, Inc. MetLife financial services 2019 SEC $10,000,000
Blockchain of Things Inc.   2019 SEC $250,000
Jefferies LLC Jefferies Financial Group diversified 2019 SEC $3,918,000
Palm Beach Atlantic Financial Group, LLC   2019 SEC $75,000
Global Corporate Strategies LLC   2019 SEC $4,120,000
Sica Wealth Management, LLC   2020 SEC $378,693
Fortress Investment Management, LLC   2020 SEC $104,097
Lone Star Value Management LLC   2020 SEC $100,000
BPU Investment Management, Inc.   2020 SEC $927,107
Cannell Capital, LLC   2020 SEC $150,000
Catalyst Capital Advisors, LLC   2020 SEC $10,508,481
J.P. Morgan Securities LLC JPMorgan Chase financial services 2020 SEC $1,822,438
Quantum Corporation Quantum Corp. electrical and electronic equipment 2019 SEC $1,000,000
Bluefin Trading, LLC   2019 SEC $303,638
Critical Trading, LLC   2019 SEC $219,092
Stonemor Partners L.P. and Stonemor GP LLC   2019 SEC $250,000
Kornitzer Capital Management, Inc.   2019 SEC $3,626,995
Calumet Specialty Products Partners, L.P. Calumet Specialty Products chemicals 2019 SEC $250,000
Argo Group International Holdings, Ltd.   2020 SEC $900,000
TSP Capital Management Group, LLC   2020 SEC $60,000
U.S. Bancorp Investments, Inc. U.S. Bancorp financial services 2020 SEC $15,992,441
Oxbow Advisors, LLC   2020 SEC $321,958
BitClave PTE Ltd   2020 SEC $29,744,197
Ares Management LLC Ares Management private equity (including portfolio companies) 2020 SEC $1,000,000
Morningstar Credit Ratings, LLC Morningstar Inc. miscellaneous services 2020 SEC $3,500,000
1Globe Capital, LLC   2020 SEC $200,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2020 SEC $5,000,000
Bloomberg Tradebook LLC Bloomberg information technology 2020 SEC $5,000,000
American Bondholders Foundation, LLC   2020 SEC $65,000
Everest Capital LLC   2020 SEC $3,208,226
Monsoon Capital, LLC   2020 SEC $100,000
Semper Capital Management, L.P.   2020 SEC $503,228
RBC Capital Markets LLC Royal Bank of Canada financial services 2020 SEC $3,889,007
Biltmore International Corporation   2020 SEC $125,000
Monomoy Capital Management, L.P. Monomoy Capital Partners private equity (including portfolio companies) 2020 SEC $1,926,579
Eagle Strategies LLC   2020 SEC $101,090
Merrill Lynch, Pierce and Fenner & Smith, Incorporated Bank of America financial services 2020 SEC $325,376
Old Ironsides Energy, LLC   2020 SEC $1,000,000
Cozad Asset Management, Inc.   2020 SEC $416,870
Boenning & Scattergood, Inc.   2020 SEC $205,567
Schulman Lobel Zand Katzen Williams & Blackman and LLP   2020 SEC $98,510
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.