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)
Companysort icon Parent Parent Major Industry Year Agency Penalty Amount
SB Financial Group   2020 WI-FIN $25,000
Saxony Capital Management LLC   2019 SEC $230,220
Saxon Financial Services Inc.   2009 CFTC $4,300,000
SAXBY'S COFFEE, INC.   2008 VA-SEC $14,000
Saves, Inc.   2015 WA-FIN $5,000
Save.Win LLC   2020 TN-SEC $23,210
Savant Capital Management, Inc.   2008 IL-SEC $11,500
Savannah Solar International, Inc. and Savannah Solar International, LLC   2021 VA-SEC $61,611
Saturn Capital Management, LLC   2011 IN-SEC $9,000
Sarker Investments LLC   2010 TX-SEC $5,000
Sarkauskas and Associates, Inc.   2013 SEC $449,837
Santos, Postal & Company, P.C.   2016 SEC $29,076
Santander Securities, LLC Banco Santander financial services 2018 NH-BSR $31,562
Santander Securities, LLC Banco Santander financial services 2019 NH-BSR $50,000
Santander Securities of Puerto Rico Banco Santander financial services 2011 FINRA $2,000,000
Santander Securities LLC Banco Santander financial services 2019 SEC $270,539
Santander Securities LLC Banco Santander financial services 2015 FINRA $6,421,000
Santander Consumer USA Holdings Inc. Banco Santander financial services 2018 SEC $1,500,000
Santa Rita Partners, Inc.   2011 CA-DFPI $33,846
Sankaty Advisors, LLC   2014 SEC $68,000
Sanford C. Bernstein & Co. Equitable Holdings financial services 2006 FINRA $350,000
Sands Brothers Asset Management LLC   2015 SEC $1,000,000
Sands Brothers Asset Management LLC   2010 SEC $60,000
Sands Brothers Asset Management LLC   2009 CT-SEC $42,500
SandRidge Energy, Inc. SandRidge Energy oil and gas 2016 SEC $1,400,000
Sandlapper Securities, LLC   2013 CO-SEC $10,000
Sanders Morris Harris Inc.   2014 MS-SEC $35,000
Sandell Asset Management Corp.   2007 SEC $8,097,494
Sand Hill Exchange   2015 SEC $20,000
Sanco Services Inc.   2011 SC-SEC $5,000
San Diego Gas & Electric Company Sempra Energy utilities and power generation 2010 CFTC $80,000
San Clemente Securities   2000 OR-FIN $10,000
Samson Energy Group, LLC   2015 WA-FIN $5,750
SameDay Security, Inc.   2016 MS-SEC $8,000
Saltwater Harbor Financial, LLC   2018 ME-SEC $50,000
Salt Lake City Wireless, LLC aka Salt Lake Wireless, LLC   2005 ID-SEC $60,000
Salt Blockchain Inc. f/k/a Salt Lending Holdings, Inc.   2020 SEC $250,000
Salomon Whitney LLC   2011 CT-SEC $12,500
Salomon Whitney LLC   2011 FINRA $60,000
Salomon Smith Barney Inc. Morgan Stanley financial services 2000 SEC $45,000,000
Salomon Smith Barney Inc. Morgan Stanley financial services 2002 MULTI-AG (*) $400,000,000
Salomon Smith Barney Inc. Morgan Stanley financial services 2002 FINRA (*) $1,650,000
Salomon Smith Barney Morgan Stanley financial services 2002 FINRA $5,000,000
Saliba Managed Funds Inc.   2014 NH-BSR $55,000
Salem Advisory Group LLC   2018 ME-SEC $5,000
Saint Marketing, Inc.   2003 CO-AG $372,000
Sagepoint Financial, Inc. Reverence Capital Partners private equity (including portfolio companies) 2013 MO-SEC $816,000
SagePoint Financial Inc. Reverence Capital Partners private equity (including portfolio companies) 2017 SC-SEC $40,000
Sagent Wealth Management, LLC   2017 SEC $181,110
Sage Advisory Services LLC   2001 SEC $288,328
Safevest LLC   2009 CFTC $25,000,000
Safeguard 3030 Investment Club   2012 CFTC $3,000,000
Safe Systems, Inc.   2012 OR-FIN $10,000
Safe Money Millionaire et al.   2020 MO-SEC $97,429
Safe Harbour LLC   2019 CT-SEC $20,450
Safe Harbor Retirement Solutions, LLC   2018 MN-FIN $40,000
Safe Harbor Financial LLC   2009 MO-SEC $16,920
Sacramento Natural Foods Cooperative, Inc.   2019 CA-DFPI $6,000
Saber Funds, LLC et. al.   2015 NJ-BOS $7,282,500
Sabby Management LLC   2015 SEC $278,747
Saba Tooth Tiger, LLC dba Saba Investments   2020 AZ-SEC $1,412,099
SA Stone Investment Advisors Inc.   2019 SEC $687,374
S3, Inc.   2008 MN-FIN $6,000
S.G. Long & Company   2020 TX-SEC $15,000
S.F. Ehrlich Associates Inc.   2017 PA-BKG $85,000
S&P Dow Jones Indices LLC S&P Global information technology 2021 SEC $9,000,000
S P Consulting, LLC   2018 CT-SEC $7,500
RYM Technology Holdings, L.L.C.   2007 AZ-SEC $25,000
Rydex Distributors, Inc.   2018 NH-BSR $150,000
Ryan Financial Advisors, Inc.   2019 SEC $258,670
Ryan Capital Advisors, LLC   2013 MN-FIN $10,000
Ryan Beck & Co. and Ryan Beck Life Agency, Inc.   2006 MT-SEC $150,000
RWM Asset Management LLC   2019 PA-BKG $20,000
Ruttenberg and Associates MVP Inc.   2006 OR-FIN $75,000
Ruttenberg and Associates Financial Marketing Inc.   2008 OR-FIN $300,000
Russ Trading Inc. and Cactus Partners LP   2017 ID-SEC $5,000
Rushmore Securities Corp.   2002 FL-OFR $5,000
Rusfeldt Investments LLP   2008 CFTC $2,889,071
Runnymede Capital Partners and Runnymede Capital Management   2005 WA-FIN $15,000
Runaway Hearts Productions, LLC and Canyon Sands Productions, Inc.   2015 WA-FIN $8,000
Rumelia Capital   2018 MO-SEC $150,400
Rudney Associates, Inc.   2004 SEC $62,330
Ruby Corporation   2014 SEC $1,100,000
Rubicon Investment Management & Analytics LLC   2016 TX-SEC $5,000
RSF Social Investment Fund, Inc.   2017 IN-SEC $5,000
RSC Adventures, LLC   2013 AZ-SEC $6,500
RS Investment Management L.P.   2004 SEC $25,000,000
RS Investment Management L.P.   2004 NY-AG (*) $30,000,000
RPM Capital Management, LLC   2017 CT-SEC $10,400
Royal Wealth Management, Inc. dba Northstar Capital   2012 ID-SEC $20,000
Royal Securities Co. and Royal Advisers, LLC   2018 MI-SEC $5,000
Royal Leisure International, Inc. and Gold Chasers, Inc.   2019 CFTC $10,970,756
Royal Burgundy International, Inc.   2010 CT-SEC $25,000
Royal Bank of Scotland Group plc NatWest Group PLC financial services 2014 SEC $120,000
Royal Bank of Canada Royal Bank of Canada financial services 2014 CFTC $35,000,000
Royal Bank of Canada Royal Bank of Canada financial services 2009 DE-AG $22,156
Royal Alliance Associates, SagePoint Financial and FSC Securities Corporation Reverence Capital Partners private equity (including portfolio companies) 2016 SEC $9,500,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2009 SEC $500,001
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2007 CT-SEC $500,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2012 IL-SEC $10,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2013 MA-SEC $25,000
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.