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$13,535,778,962113
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
Global Strategies Ltd.   2003 AK-DBS $50,000
Edward D. Jones and Co.,LP Jones Financial financial services 2003 AK-DBS $11,000 Inc.   2005 AK-DBS $75,000
PIPS Inc.   2005 AK-DBS $75,000
PIC Trust Limited   2005 AK-DBS $75,000
Westoby Works   2005 AK-DBS $75,000
Team JollyPIPster, LLC   2005 AK-DBS $75,000
Index Analysis Pool, LP and Index Analysis Services   2006 AK-DBS $25,000
Wachovia Securities, LLC Wells Fargo financial services 2010 AK-DBS $129,131
Citigroup Global Markets, Inc. Citigroup financial services 2010 AK-DBS $150,507
UBS Securities LLC UBS financial services 2010 AK-DBS $733,465
Touchstone Funds Group Trust   2013 AK-DBS $5,000
Arbor Capital Management, Inc.   2013 AK-DBS $5,000
UBS Financial Services, Inc. UBS financial services 2013 AK-DBS $64,661
RBC Capital Markets, LLC Royal Bank of Canada financial services 2013 AK-DBS $44,370
Fortune Oil & Gas, Ltd.   2014 AK-DBS $25,000
J.P. Morgan Securities, LLC JPMorgan Chase financial services 2014 AK-DBS $51,120
Flatiron Capital Partners, LLC et al.   2015 AK-DBS $125,000
St. Andrews Investments, LLC   2015 AK-DBS $50,000
McKinley Capital Non-US Small Cap Growth Fund   2015 AK-DBS $5,000
Global Arena Capital Corp.   2015 AK-DBS $25,000
Northwest Financial Advisors, Inc.   2015 AK-DBS $6,250
Citigroup Global Markets, Inc. Citigroup financial services 2015 AK-DBS $35,000
Garden State Securities, Inc.   2016 AK-DBS $25,000
Codawn Consulting Corp., Sentinel Capital Corp.   2017 AK-DBS $125,000
LPL Financial LLC LPL Financial financial services 2019 AK-DBS $499,000
Securian Financial Services, Inc. Securian Financial financial services 2020 AK-DBS $10,000
Solium Financial Services LLC Morgan Stanley financial services 2020 AK-DBS $10,527
TMTE, Inc. aka aka Chase Metals, Inc.   2020 AK-DBS $700,000
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.