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
Schulman Lobel Zand Katzen Williams & Blackman and LLP   2020 SEC $98,510
Cantor Fitzgerald & Co. Cantor Fitzgerald financial services 2020 SEC $3,200,000
HSBC Securities (USA) Inc. HSBC financial services 2020 SEC $725,000
Naya Ventures, LLC   2020 SEC $40,000
BMA Securities, LLC   2020 SEC $333,537
Stiefel Laboratories Inc.   2020 SEC $26,510,000
Navellier & Associates, Inc.   2020 SEC $37,478,190
Berkshire Capital Management Company, Inc. and Eat at Joe's, Ltd. (n/k/a SPYR, Inc.)   2020 SEC $3,500,000
International Investment Group, LLC   2020 SEC $35,000,000
The Lighthouse Events, LLC   2020 SEC $3,381,686
Rock and Roll Cycles, LLC and Cycle For Life, Inc.   2020 SEC $236,314
Hologram USA Networks Inc.   2020 SEC $22,419
Strategic Capital Partners Muster Limited and Strategic Wealth Investments, Inc.   2020 SEC $1,031,270
ICOBox   2020 SEC $16,059,428
Northern Trust Hedge Fund Services LLC Northern Trust financial services 2020 SEC $167,629
WCAS Management Corporation   2020 SEC $100,000
Gilder Gagnon Howe & Co. LLC   2020 SEC $1,700,000
Navian Capital Securities LLC   2020 SEC $40,000
Coordinated Capital Securities, Inc.   2020 SEC $581,961
Unikrn Inc.   2020 SEC $6,100,000
Park View School, Inc.   2020 SEC $30,000
Roosevelt & Cross, Inc.   2020 SEC $1,017,015
Graham, Bordelon and Golson & Gilbert, Inc.   2020 SEC $176,399
SQN Capital Management, LLC   2020 SEC $75,000
Signature Financial Services, Ltd.   2020 SEC $276,580
National Financial Services LLC   2020 SEC $2,461,193
Vstock Transfer LLC   2020 SEC $65,000
NPB Financial Group, LLC   2020 SEC $1,050,188
SCF Investment Advisors, Inc.   2020 SEC $767,192
Boon Tech   2020 SEC $5,600,334
Interactive Brokers LLC Interactive Brokers Group financial services 2020 SEC $11,500,000
Rialto Capital Management, LLC   2020 SEC $350,000
WBI Investments Inc.   2020 SEC $750,000
Millington Securities Inc.   2020 SEC $250,000
Birinyi Associates, Inc.   2020 SEC $100,000
VALIC Financial Advisors Inc. American International Group financial services 2020 SEC $39,900,000
Celadon Financial Group LLC   2020 SEC $125,000
IRTH Communications, LLC   2020 SEC $74,233
UBS Financial Services Inc. UBS financial services 2020 SEC $10,000,000
First Western Capital Management Company   2020 SEC $200,000
Abetterfinancialplan.Com, LLC   2020 SEC $581,962
Plutus Technologies Philippines Corp.   2020 SEC $150,000
BNB Wealth Management, LLC   2020 SEC $74,417
Franklin Advisers and Inc. Franklin Resources financial services 2020 SEC $250,000
Franklin Templeton Investments Corp. Franklin Resources financial services 2020 SEC $75,000
BNP Paribas Securities Corp. BNP Paribas financial services 2020 SEC $250,000
Telegram Group Inc.   2020 SEC $18,500,000
SG Americas Securities LLC Societe Generale financial services 2020 SEC $1,550,000
Vereit, Inc. Vereit Inc. real estate 2020 SEC $8,000,000
AmTrust Financial Services Inc. AmTrust Financial Services financial services 2020 SEC $10,300,000
Spiderworx Media LLC   2020 SEC $60,000
An L.A. Minute LLC   2020 SEC $100,000
Winston Reed Investments LLC   2020 SEC $255,850
Benjamin F. Edwards & Company, Inc.   2020 SEC $1,366,551
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2020 SEC $502,400
American Portfolios Financial Services, Inc. and American Portfolios Advisors, Inc.   2020 SEC $1,305,660
Securities America Advisors, Inc. Reverence Capital Partners private equity (including portfolio companies) 2020 SEC $603,776
Summit Financial Group, Inc.   2020 SEC $1,206,882
Capitol Securities Management, Inc.   2020 SEC $203,414
Tradenet Capital Markets Ltd.   2020 SEC $130,000
EDG Management Company, LLC   2020 SEC $1,026,642
Kik Interactive Inc.   2020 SEC $5,000,000
Morgan Stanley & Co. LLC Morgan Stanley financial services 2020 SEC $5,000,000
Great Plains Trust Company, Inc.   2020 SEC $300,000
Transamerica Asset Management, Inc. Aegon financial services 2020 SEC $5,946,782
BGC Partners, Inc. BGC Partners financial services 2020 SEC $1,400,000
Salt Blockchain Inc. f/k/a Salt Lending Holdings, Inc.   2020 SEC $250,000
Manitex International, Inc. et al.   2020 SEC $485,000
Kroll Bond Rating Agency Inc.   2020 SEC $2,010,000
J.P. Morgan Securities LLC JPMorgan Chase financial services 2020 SEC $35,000,000
Fiat Chrysler Automobiles N.V. Stellantis motor vehicles 2020 SEC $9,500,000
Fulton Financial Corporation Fulton Financial financial services 2020 SEC $1,500,000
Creative Financial Designs, Inc.   2020 SEC $890,240
Hancock Whitney Investment Services, Inc.   2020 SEC $2,337,792
Funding the Gap, LLC   2020 SEC $30,000
SoluTech, Inc.   2020 SEC $25,000
Precigen, Inc. Precigen agribusiness 2020 SEC $2,500,000
Finser International Corporation   2020 SEC $70,000
Platinum Wealth Partners, Inc.   2020 SEC $1,330,847
Morgan Wilshire Securities, Inc.   2020 SEC $179,017
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2020 SEC $600,000
Palmer Square Capital Management LLC   2020 SEC $450,000
RCI Hospitality Holdings, Inc.   2020 SEC $400,000
Bolton Securities Corporation   2021 SEC $224,994
World Tree Financial, LLC   2021 SEC $647,947
Winslow and Evans & Crocker, Inc.   2021 SEC $1,851,787
Premier Holding Corp.   2021 SEC $9,691,500
Lightspeed Trading, LLC   2021 SEC $100,000
Wireline, Inc.   2021 SEC $650,000
ConTXT, Inc   2021 SEC $571,153
OTR, Inc.   2020 SEC $10,000
Genesis E&P, Inc.   2020 SEC $192,768
Tierion, Inc.   2020 SEC $250,000
Pruco Securities, LLC Prudential Financial financial services 2020 SEC $18,252,341
First Midstate Inc.   2020 SEC $175,000
Voya Financial Advisors, Inc. Voya Financial financial services 2020 SEC $22,919,155
Virtu ITG Canada Corp.   2020 SEC $200,000
Cormark Securities Inc.   2020 SEC $800,000
ShipChain, Inc.   2020 SEC $2,050,000
India Globalization Capital, Inc.   2020 SEC $175,000
Robinhood Financial LLC Robinhood Markets financial services 2020 SEC $65,000,000
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.