Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$79,626,798,768
Number of Penalty Records: 
6,329
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$13,535,778,962113
UBS$11,671,743,15960
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
Chicago Board Options Exchange CBOE Holdings financial services 2013 SEC $6,000,000
Level Global Investors LP   2013 SEC $21,514,274
211 Ventures LLC   2013 SEC $2,300,000
Sigma Capital Management   2013 SEC $13,944,000
CR Intrinsic Investors SAC Capital financial services 2013 SEC $601,747,463
J.C. Reed & Co.   2013 SEC $14,910,003
Ranieri Partners   2013 SEC $375,000
Fiduciary Asset Management LLC   2012 SEC $2,859,858
BP BP oil and gas 2012 SEC $525,000,000
Well Advantage   2012 SEC $14,245,266
eBX LLC   2012 SEC $800,000
Hold Brothers On-Line Investment Services   2012 SEC $2,535,000
Advanced Equities Inc   2012 SEC $1,000,000
New York Stock Exchange IntercontinentalExchange Group financial services 2012 SEC $5,000,000
ICP Asset Management   2012 SEC $18,275,033
Worldwide Energy and Manufacturing USA Inc.   2012 SEC $100,000
Focus Point Solutions and The H Group   2012 SEC $1,100,000
Clay Capital Management LLC   2012 SEC $850,000
FalconStor Software, Inc.   2012 SEC $2,900,000
AMMB Consultant Sendirian Berhad   2012 SEC $1,550,000
New Futures Trading International Corporation   2012 SEC $1,433,889
Global Development & Environmental Resources, Inc.   2012 SEC $2,645,798
Martin Currie   2012 SEC $8,300,000
Flatiron Capital Partners, LLC and Flatiron Systems, LLC   2012 SEC $1,817,277
Pentagon Capital Management   2012 SEC $98,600,000
United American Ventures, LLC   2012 SEC $9,079,372
Diamondback Capital Management LLC   2012 SEC $9,000,000
Drake Asset Management LLC   2011 SEC $175,000
Banco Espirito Santo S.A. Banco Espirito Santo financial services 2011 SEC $7,000,000
Long Term-Short Term Inc., d/b/a BetterTrades   2011 SEC $750,000
Wall Street Capital Funding LLC   2011 SEC $300,000
Locke Capital Management Inc.   2011 SEC $3,673,996
Onele Trading & Finance Ltd.   2011 SEC $5,729,276
Aerokinetic Energy Corporation   2011 SEC $859,571
LandOak Securities LLC   2011 SEC $992,140
Navigators International Management Co., Ltd.   2011 SEC $45,000
AXA Rosenberg AXA financial services 2011 SEC $242,000,000
Merrill Lynch Bank of America financial services 2011 SEC $10,000,000
Enzyme Environmental Solutions, Inc.   2011 SEC $371,135
Winning Kids Inc.   2010 SEC $2,183,964
Berkshire Resources, L.L.C.   2010 SEC $16,255,846
Prime Time Group Inc.   2010 SEC $325,000
Office Depot, Inc. Office Depot retailing 2010 SEC $1,000,000
Regions Bank Regions Financial financial services 2010 SEC $1,000,001
U.S. Pension Trust Corp. and U.S. College Trust Corp. U.S. Pension Trust Corp. financial services 2010 SEC $112,600,000
ASMAC Financial, Inc.   2010 SEC $133,995
K&L International Enterprises, Inc., Signature Leisure, Inc., and Signature Worldwide Advisors, LLC   2010 SEC $12,574,582
Thompson Consulting Inc.   2010 SEC $400,000
Pequot Capital Management, Inc.   2010 SEC $28,000,000
CFO-5 LLC   2010 SEC $3,197,222
Presstek Inc. American Industrial Partners private equity (including portfolio companies) 2010 SEC $400,000
First Allied Securities, Inc.   2010 SEC $1,950,000
Wealth Management LLC   2010 SEC $1,471,002
State Street Bank and Trust Company State Street Corp. financial services 2010 SEC $313,300,000
AGB Partners LLC   2010 SEC $50,000
Palmyra Capital Advisors LLC,   2010 SEC $330,000
Health Net Inc. Centene healthcare services 2016 SEC $340,000
Apollo Global Management Apollo Global Management private equity (including portfolio companies) 2016 SEC $52,700,000
ICAP plc ICAP financial services 2009 SEC $25,000,000
Compass Capital Group, Inc.   2009 SEC $800,000
Concorde America, Inc.   2009 SEC $841,175
GMC Holding Corporation   2009 SEC $2,090,000
Value Line Inc.   2009 SEC $43,705,765
Thompson Price Holding Inc.   2009 SEC $288,815
Lion Gate Capital, Inc.   2009 SEC $150,000
Regions Bank Regions Financial financial services 2009 SEC $1,000,000
Hazan Capital Management LLC   2009 SEC $4,000,000
TJM Proprietary Trading LLC   2009 SEC $541,000
Bank of America Corporation Bank of America financial services 2009 SEC $33,000,000
Perry Corp.   2009 SEC $150,000
Morgan Stanley Morgan Stanley financial services 2009 SEC $500,000
Marshall Holdings International, Inc.   2009 SEC $8,974,033
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2009 SEC $17,300,000
Colonial Fund LLC and Colonial Investment Management LLC   2009 SEC $1,400,000
Evergreen Investment Management Company LLC Wells Fargo financial services 2009 SEC $40,000,000
WellCare Health Plans, Inc. Centene healthcare services 2009 SEC $10,000,000
Golden State Equity Investors, Inc.   2009 SEC $1,577,579
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2009 SEC $7,000,000
M.A.G. Capital LLC   2009 SEC $100,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2009 SEC $1,000,000
Lazard Capital Markets LLC   2008 SEC $2,847,008
AmSouth Bank Regions Financial financial services 2008 SEC $11,400,000
H&M Petroleum Corporation and American Energy Resources Corporation   2008 SEC $510,000
Scottrade, Inc. Charles Schwab Corp. financial services 2008 SEC $950,000
Oriental New Investments, Ltd. and Orienstar Finance, Ltd.   2008 SEC $41,774,923
Quogue Capital LLC   2008 SEC $390,000
Banc of America Investment Services, Inc. Bank of America financial services 2008 SEC $9,763,634
Elfindepan, S.A., Strategic Asset Funds, S.A. and Southern Financial Group   2008 SEC $6,417,122
Broadcom Corp. Broadcom electrical and electronic equipment 2008 SEC $12,000,000
FacePrint Global Solutions, Inc.   2008 SEC $1,573,825
Ritchie Multi-Strategy Global Trading Ltd. and Ritchie Capital Management LLC   2008 SEC $39,900,000
AirTrac Inc.   2008 SEC $2,005,401
Lazare Industries, Inc.   2008 SEC $1,975,911
Armstrong Capital Ltd. and Bay Capital Investment Ltd.   2007 SEC $1,795,000
TCMP3 Partners L.P., TCMP3 Capital LLC, and Titan Capital Management, LLC   2007 SEC $1,045,060
Microphase Corp.   2007 SEC $700,000
Sandell Asset Management Corp.   2007 SEC $8,097,494
Federal Home Loan Mortgage Corporation (Freddie Mac) Freddie Mac (Federal Home Loan Mortgage Corporation) financial services 2007 SEC $50,000,000
Regional Brokers, Inc.   2007 SEC $100,000
Evergreen Investment Management Company Wells Fargo financial services 2007 SEC $32,500,000
HSBC Bank USA, N.A. HSBC financial services 2007 SEC $10,500,000
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.