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)
Companysort icon Parent Parent Major Industry Year Agency Penalty Amount
Terra Firma Investments, Inc.   2012 OR-FIN $200,000
Terra Nova Financial, LLC   2009 FINRA $400,000
Terra Nova Trading LLC   2000 TN-SEC $7,500
Tesla Inc. Tesla Inc. motor vehicles 2018 SEC $20,000,000
Texas Coastal Energy Company   2018 SEC $7,200,000
Texas Energy Investment Solutions, inc.   2007 MO-SEC $17,831
Texas Energy Mutual, LLC   2014 AR-SEC $5,000
Texas International Resources, L.L.C.   2016 MO-SEC $11,165
Texas Securities Partners, Inc.   2008 AL-SEC $10,000
Texas State Energy Corp.   2011 WA-FIN $15,000
Texon Energy Corp. and Lonestar Petroleum Corp.   2002 SEC $1,268,253
TF6 Advisors, LLC and Pacific Ventures & Trading LLC   2013 AZ-SEC $215,887
TFS-ICAP LLC and TFS-ICAP Ltd.   2020 CFTC $7,000,000
Thakkar CPA, PLLC   2016 SEC $359,487
THC Pharmaceutical, Inc.   2016 OR-FIN $60,000
The African Diamond Company, Inc. nka Coal Corporation   2013 CT-SEC $50,000
The Alista Group, LLC   2021 CFTC $2,242,162
The BABCO Group, LLC   2007 ID-SEC $17,877
The Baker Group   2019 OK-SEC $15,000
The Baker Group, LP   2015 SEC $250,000
The Baltimore Land Trust Development Group, LP   2019 MD-SEC $15,000
The Banc Funds Company   2017 SEC $75,000
The Bancorp, Inc.   2019 SEC $1,400,000
The Bank Of New York Bank of New York Mellon financial services 2007 SEC $750,000
The Bank of Nova Scotia Scotiabank financial services 2020 CFTC $50,000,000
The Bank of Nova Scotia Scotiabank financial services 2020 CFTC $77,400,000
The Borrowing Station, LLC   2013 CFTC $600,000
The Borrowing Station, LLC   2013 MD-SEC $50,000
The Buckingham Research Group, Inc. and Buckingham Capital Management   2010 SEC $125,000
The Calvary Group, LLC   2019 MD-SEC $35,000
The Chamber Group, Inc.   2002 AZ-SEC $16,342,404
The Credit Engineers, Inc.   2019 AZ-SEC $25,000
The Davidan Corp. and Lajobejo, LLC   2015 MO-SEC $451,931
The Dow Chemical Company Dow Inc. chemicals 2018 SEC $1,750,000
The Endowment TEI Fund, L.P.   2011 MD-SEC $25,000
The Energy Group, Inc.   2009 IN-SEC $240,000
The Financial Planning Group, Inc.   2013 MN-FIN $10,000
The Fortitude Foundation et al.   2020 AZ-SEC $1,386,024
The Frazer Lanier Company, Incorporated   2015 SEC $100,000
The Gaming Factory, Inc.   2003 SEC $2,100,102
The Globus Group   2001 SEC $300,000
THE GLOVE LADY, LLC   2010 VA-SEC $54,472
The Greatest Only Divine Productions, L.L.C.   2009 AZ-SEC $353,000
The Hansbury Group, LLC   2020 CT-BKG $5,000
The Hansbury Group, LLC   2020 CT-SEC $5,000
The Hartford Financial Services Group Hartford Financial Services financial services 2006 MULTI-AG $20,000,000
The Heroic Life Assurance Company, LLC   2015 MO-SEC $397,955
The Home Email Business Corp.   2016 TN-SEC $5,000
The Hubbard Group, PC and Holding Group International, Ltd.   2010 MO-SEC $27,450
The Huntington Investment Co.   2006 CT-SEC $13,150
The Huntington Investment Company   2019 SEC $207,946
The Huntington Investment Company   2015 FINRA $135,973
The Investment Advisory Group, L.L.C.   2011 AZ-SEC $13,200
The Investment Center Inc.   2010 NJ-AG $75,000
The Investment Center Inc.   2016 TX-SEC $50,000
The Investment Counsel, LLC   2016 WI-FIN $60,000
The Jaffe Financial Group Inc.   2019 FL-OFR $15,001
The Joseph Project   2021 AZ-SEC $75,000
The Joseph Project   2021 AZ-SEC $9,210,000
The Kane Capital Investment Group, LLC   2019 CFTC $1,232,510
The Kodiak Investment Group, L.L.C.   2009 AZ-SEC $382,475
The Lampo Group, LLC   2016 MO-SEC $55,000
The Liberty Mutual Group, Inc., Addison Financial Group, Inc., Addison Management Group, Inc., Hamlin Mercer Group, Inc., and Colfax Management Group, Inc.   2008 CFTC $12,000,000
The Lighthouse Events, LLC   2020 SEC $3,381,686
The Linn Group, Inc.   2013 CFTC $400,000
The Matomi Group LLC   2011 IL-SEC $10,000
The Maxim Group, LLC   2011 IL-SEC $60,000
The McCall Business Group, LLC dba MBG Private Trading   2007 CT-SEC $220,000
The McCormick Group, LLC   2011 IN-SEC $5,000
The McMahon Team LLC   2019 PA-BKG $10,000
The Morgan Group   2000 FL-OFR $15,000
The New Dimension Group, LLC   2012 VA-SEC $11,000
The New Wealth, LLC and Main Street Estate Group, Inc. and Jenny DB Properties, LLC   2018 MD-SEC $3,999,715
The Northern Trust Company Northern Trust financial services 2015 SEC $60,000
The O.N. Equity Sales Company   2012 OK-SEC $10,000
The Options Clearing Corporation   2019 SEC $15,000,000
The Parrish Group, LLC   2019 SEC $184,767
The Phoenix Companies, Inc.   2014 SEC $100,000
The Phoenix Companies, Inc.   2014 SEC $375,000
The Planning Group, Inc. dba Asset Strategies, Inc.   2006 MO-SEC $56,850
The Princeton Partnership, LLC   2015 MO-SEC $3,016,710
The Private Mortgage Fund, LLC   2007 CT-SEC $20,000
The Providence Group dba The Providence Investment Club   2001 FL-OFR $5,000
The Prudential Investment Portfolios, Inc.   2007 WI-FIN $5,000
The Real Estate LLC and Safety Solutions USA, LLC   2011 MO-SEC $36,595
The Reserve Fund   2000 TX-SEC $150,000
The Rhodes Company   2000 OR-FIN $7,500
The Rockwell Financial Group, Inc.   2003 DE-SEC $15,000
The RWS Group, Inc.   2004 MO-SEC $16,120
The Sheffield Group   2000 OR-FIN $25,000
The Short Interest, LLC and The Short Manager, LLC   2021 OR-FIN $25,000
The Social Equity Group, Inc.   2004 CA-DFPI $9,000
The Social Equity Group, Inc.   2014 CA-DFPI $35,000
The Source   2020 NC-SEC $5,000
The Spaghetti Shop of Mid-America, Inc.   2006 VA-SEC $38,000
The Stock Exchange Trading Company, LLC   2019 MO-SEC $28,379
The Trade Tech Institute, Inc. and Technology Trading International, Inc.   2012 CFTC $15,759,357
The Tulving Company, Inc.   2019 CFTC $15,761,432
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.