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
William Blair & Co., L.L.C.   2015 SEC $80,000
Sand Hill Exchange   2015 SEC $20,000
China Valves Technology Inc.   2015 SEC $575,000
Nationwide Life Insurance Company Nationwide financial services 2015 SEC $8,000,000
Macquarie Capital (USA) Inc. Macquarie financial services 2015 SEC $15,000,000
BioChemics Inc.   2015 SEC $17,897,887
H.D. Vest Investment Securities   2015 SEC $225,000
VCAP Securities   2015 SEC $1,477,332
F-Squared Investments   2014 SEC $35,000,000
Wedbush Securities Wedbush Securities financial services 2014 SEC $2,440,000
APT MotoVox Group Inc.   2014 SEC $25,000
CoroWare Inc.   2014 SEC $25,000
ERF Wireless Inc.   2014 SEC $50,000
Green Automotive Company   2014 SEC $50,000
MineralRite Corporation   2014 SEC $25,000
Mondial Ventures Inc.   2014 SEC $50,000
Monster Arts Inc.   2014 SEC $25,000
Red Giant Entertainment Inc.   2014 SEC $25,000
Seaniemac International Ltd.   2014 SEC $50,000
Worthington Energy Inc.   2014 SEC $25,000
Charles Schwab & Co. Charles Schwab Corp. financial services 2014 SEC $61,800
Hapoalim Securities USA   2014 SEC $54,000
Interactive Brokers LLC Interactive Brokers Group financial services 2014 SEC $56,000
Investment Professionals Inc. Ameriprise Financial financial services 2014 SEC $67,800
J.P. Morgan Securities JPMorgan Chase financial services 2014 SEC $54,000
Lebenthal & Co.   2014 SEC $54,000
National Securities Corporation   2014 SEC $60,000
Oppenheimer & Co. Oppenheimer Holdings financial services 2014 SEC $61,200
Riedl First Securities Co. of Kansas   2014 SEC $130,000
Stifel Nicolaus & Co. Stifel Financial financial services 2014 SEC $60,000
TD Ameritrade Charles Schwab Corp. financial services 2014 SEC $100,800
UBS Financial Services UBS financial services 2014 SEC $56,400
Wedbush Securities Inc. Wedbush Securities financial services 2014 SEC $67,200
OTC Solutions LLC   2014 SEC $373,239
Athena Capital Research   2014 SEC $1,000,000
E*TRADE Securities Morgan Stanley financial services 2014 SEC $2,500,000
Tradebot Systems Inc.   2014 SEC $50,000
Lincolnshire Management   2014 SEC $2,300,000
Strategic Capital Group LLC   2014 SEC $586,290
Latour Trading LLC   2014 SEC $16,000,000
Advent Capital Management   2014 SEC $144,128
Antipodean Advisors   2014 SEC $93,672
BlackRock Institutional Trust Company BlackRock financial services 2014 SEC $1,675,350
East Side Holdings II   2014 SEC $157,010
Explorador Capital Management   2014 SEC $155,658
Formula Growth   2014 SEC $111,743
Great Point Partners   2014 SEC $109,597
Indaba Capital Management   2014 SEC $304,185
Ironman Capital Management   2014 SEC $87,226
Midwood Capital Management   2014 SEC $142,947
RA Capital Management   2014 SEC $3,624,359
Rockwood Investment Management   2014 SEC $237,988
Seawolf Capital   2014 SEC $296,937
Solus Alternative Asset Management   2014 SEC $105,495
SuttonBrook Capital Management   2014 SEC $70,000
Troubh Partners   2014 SEC $408,710
Vinci Partners Investimentos   2014 SEC $448,707
Whitebox Advisors   2014 SEC $1,202,924
Advanced Cell Technology   2014 SEC $375,000
Linkbrokers Derivatives LLC   2014 SEC $14,000,000
AIC Inc.   2014 SEC $66,760,521
LavaFlow Inc. Citigroup financial services 2014 SEC $5,000,000
Liquidnet Inc.   2014 SEC $2,000,000
Rafferty Capital Markets   2014 SEC $849,626
New York Stock Exchange IntercontinentalExchange Group financial services 2014 SEC $4,500,000
Empire Stock Transfer Inc.   2014 SEC $50,000
Transamerica Financial Advisors Aegon financial services 2014 SEC $1,107,248
A Chicago Convention Center, LLC and Intercontinental Regional Center Trust of Chicago, LLC   2014 SEC $12,950,000
CITIC Securities International Investment Management (HK) Limited   2014 SEC $6,600,000
China Shenghai Investment Management Limited   2014 SEC $4,300,000
Onyx Capital Advisors   2014 SEC $9,100,000
Western Asset Management Company Franklin Resources financial services 2014 SEC $19,400,000
Instinet LLC   2013 SEC $813,280
ConvergEx Group Cowen Inc. financial services 2013 SEC $107,424,429
Greater Wenatchee Regional Events Center Public Facilities District   2013 SEC $20,000
Milan Group Inc.   2013 SEC $4,141,148
Further Lane Asset Management   2013 SEC $150,000
Knelman Asset Management Group   2013 SEC $60,000
GW & Wade   2013 SEC $250,000
Modern Portfolio Management Inc.   2013 SEC $175,000
Equitas Capital Advisers LLC   2013 SEC $225,000
ChinaMedia Express Holdings   2013 SEC $41,144,082
Petro-Suisse Ltd.   2013 SEC $8,370,000
TD Bank Toronto-Dominion Bank financial services 2013 SEC $15,000,000
Blackthorn Investment Group   2013 SEC $520,207
Claritas Investments Ltd. Principal Financial financial services 2013 SEC $144,819
Credentia Group   2013 SEC $69,204
D.E. Shaw & Co.   2013 SEC $667,492
Deerfield Management Company   2013 SEC $1,902,224
Hudson Bay Capital Management   2013 SEC $949,453
JGP Global Gestao de Recursos   2013 SEC $3,180,424
M.S. Junior and Swiss Capital Holdings   2013 SEC $427,936
Manikay Partners   2013 SEC $2,551,791
Meru Capital Group   2013 SEC $398,512
Merus Capital Partners   2013 SEC $73,465
Ontario Teachers' Pension Plan Board   2013 SEC $224,835
Pan Capital AB   2013 SEC $662,497
PEAK6 Capital Management   2013 SEC $132,217
Philadelphia Financial Management of San Francisco   2013 SEC $219,443
Polo Capital International Gestao de Recursos a/k/a Polo Capital Management   2013 SEC $282,720
Soundpost Partners   2013 SEC $113,315
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.