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
Decision Sciences Corporation   2009 SC-SEC $5,000
DebtTraders, Inc.   2005 FINRA $120,000
Dearborn Trading, Inc.   2011 CFTC $180,000
Dearborn Investment Fund, L.C.   2015 MO-SEC $35,250
Dean Witter Reynolds Inc. Morgan Stanley financial services 2002 SEC $500,000
Dean Witter Reynolds Inc. Morgan Stanley financial services 2000 SEC $476,702
Deak Reynolds Co.   2014 MD-SEC $7,500
DCS Resources Inc.   2005 OK-SEC $24,000
DBRS Inc.   2015 SEC $5,814,482
DBH Growth Fund   2004 WA-FIN $15,000
DB Investment Managers, Inc.   2005 SEC $33,159
DayTradingBuddy LLC   2014 OR-FIN $20,000
Dawson-Samberg Capital Management, Inc.   2000 SEC $100,000
Davisco Foods International, Inc. Agropur food products 2017 CFTC $150,000
David Lerner Associates, Inc.   2004 SEC $50,000
David Lerner Associates, Inc.   2017 NJ-AG $650,000
David Lerner Associates, Inc.   2016 CT-SEC $5,000
David Lerner Associates, Inc.   2012 FINRA $14,300,000
David Lerner Associates, Inc.   2006 FINRA $400,000
David Lerner Associates, Inc.   2005 FINRA $115,000
David Lerner Associates, Inc.   2004 FINRA $32,711
David Lerner Assoc.   2004 FINRA $100,000
David J. Deschaine Installations, Inc.   2008 ME-SEC $75,000
David A. Noyes & Company   2008 IN-SEC $30,000
DAVI NAILS SALON AND SPA, LLC   2018 VA-SEC $21,000
Davenport & Company LLC   2015 SEC $80,000
Davenport & Co. LLC   2004 FINRA $738,000
DAV/Wetherly Financial   2010 NY-AG $1,000,000
Datek Online Brokerage Services, LLC   2001 FINRA $30,000
Datatex Investment Services, Inc.   2009 MO-SEC $15,000
Data Technology Group   2002 OR-FIN $15,000
Dasan Zhone Solutions Inc.   2018 SEC $50,000
Darel Baer Investment Advisory LLC   2014 CA-DFPI $13,500
Daniels Trading Group LLC   2011 CFTC $2,000,000
Daniels Corporate Advisory Company, Inc.   2021 SEC $25,000
Daniel G. Falk & Associates, P.C.   2005 MD-SEC $68,800
Damopa Investments, LLC and MLC Living Trust and Monika Catlin, LLC   2014 AZ-SEC $837,026
Damon's Restaurants, Inc.   2007 MD-SEC $10,000
Dalton Kent Securities Group, Inc.   2001 FINRA $25,000
Dale Scott & Company, Inc.   2019 SEC $25,000
Dairy Farmers of America, Inc. Dairy Farmers of America (DFA) food products 2008 CFTC $12,000,000
Dain Rauscher Incorporated Royal Bank of Canada financial services 2000 SEC $12,941,191
DAILY GRIND OF WINCHESTER   2006 VA-SEC $7,000
DAI Securities LLC   2020 NH-BSR $5,000
Daekyo America, Inc.   2018 MD-SEC $15,000
Daedalus Capital, LLC   2015 IL-SEC $509,553
Daedalus Capital, LLC   2009 MO-SEC $25,350
DA-VI NAILS INTERNATIONAL   2008 VA-SEC $9,250
D.M. Keck & Company, Inc.   2007 SEC $15,000
D.E. Shaw & Co. L.P.   2012 CFTC $140,000
D.E. Shaw & Co.   2013 SEC $667,492
D.E. Frey and Company, Inc.   2000 SEC $100,000
D.A. Davidson and Co.   2018 VT-FIN $60,000
D.A. Davidson & Co.   2016 SEC $500,000
D.A. Davidson & Co.   2019 SEC $654,276
D.A. Davidson & Co.   2010 FINRA $375,000
D.A. Davidson & Co.   2004 FINRA $150,000
D. Stephens Management and Consulting L.L.C.   2017 CA-DFPI $6,000
D. Dean Hooley, II & Associates   2002 FL-OFR $15,000
D-Val, LLC and D-Val Construction & Real Estate Investments   2008 AR-SEC $326,000
D & M Capital, LLC and Associated Financial Services, Inc.   2004 ND-SEC $5,000
Cytrx Corporation CytRx pharmaceuticals 2017 SEC $75,000
Cypress Wealth Management, Inc.   2016 CFTC $430,764
Cypress Advisors   2017 SEC $35,000
Cynergy Advance Services, LLC   2011 CT-SEC $100,000
Cygs, LLC   2017 SEC $60,879
CyBerBroker, Inc.   2001 FINRA $20,000
Cyber Market Group LLC   2011 CFTC $500,000
CWS Capital Partners, LLC   2015 CA-DFPI $34,140
CW Group LLC   2019 OR-FIN $5,000
Cutting Edge Business Services, Inc.   2019 SEC $273,336
Cutler Investment Counsel, LLC   2011 OR-FIN $5,000
CUSO Financial Services, L.P. Atria Wealth Solutions financial services 2019 SEC $296,750
Cuso Equities Inc.   2003 TN-SEC $5,500
Cushing Asset Management, LP   2018 SEC $100,000
Currency Trading Systems   2001 CFTC $1,521,000
Cuprill Wealth Coaching, LLC   2015 MO-SEC $60,000
Cuppy's Coffee & More, Inc.   2010 CT-SEC $45,000
Cunningham Energy, LLC   2016 MI-SEC $20,000
Cunningham Energy, LLC   2021 SC-SEC $5,000
Cunningham Commodities, LLC   2016 CFTC $150,000
Cunningham Commodities, LLC   2020 CFTC $250,000
CUNA Brokerage Services, Inc. CUNA Mutual financial services 2001 FINRA $100,000
CUNA Brokerage Services Inc. CUNA Mutual financial services 2014 OK-SEC $15,000
Cumberland Revenue Drilling Fund, LLP   2015 FL-OFR $25,000
CUMBERLAND MANAGEMENT GROUP   2004 VA-SEC $170,750
CTOption   2020 WI-FIN $24,000
CTI Group LLC and Cooper Trading   2014 CFTC $29,000,000
CT Equity Partners, LLC   2009 CT-SEC $5,000
CSIR Group, LLC   2018 SEC $17,142
CSG Wealth Management   2018 GA-SEC $5,000
CSG Commodity Service Group   2012 CFTC $1,200,000
CS Note Holdco, LLC   2010 WA-FIN $25,000
CS First Boston Corp. Credit Suisse financial services 2000 FINRA $1,240,000
Crystal Victoria Corp. and PlatinumTech Corp.   2011 MD-SEC $100,000
Crystal Sky Enterprises, LLC   2007 CT-SEC $300,000
Crystal Pistol Resources, LLC et al.   2013 AZ-SEC $5,249,316
Crypto Asset Management, LP   2018 SEC $200,000
Crypto Asset Management LP   2018 SEC $200,000
CRW Management LP   2011 CFTC $19,000,000
Cruden Bay Capital Partners GP, LP   2008 TX-SEC $22,500
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.