Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$78,346,186,381
Number of Penalty Records: 
5,568
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$13,424,705,23577
UBS$11,623,979,90947
Citigroup$8,095,660,13535
JPMorgan Chase$5,978,549,59944
Morgan Stanley$4,122,853,726105
Deutsche Bank$3,994,334,82825
Goldman Sachs$3,888,695,98726
Wells Fargo$2,425,119,26153
American International Group$1,618,900,0005
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
Cynergy Advance Services, LLC   2011 CT-SEC $100,000
Cypress Advisors   2017 SEC $35,000
Cypress Wealth Management, Inc.   2016 CFTC $430,764
Cytrx Corporation CytRx pharmaceuticals 2017 SEC $75,000
D & M Capital, LLC and Associated Financial Services, Inc.   2004 ND-SEC $5,000
D-Val, LLC and D-Val Construction & Real Estate Investments   2008 AR-SEC $326,000
D. Dean Hooley, II & Associates   2002 FL-OFR $15,000
D. Stephens Management and Consulting L.L.C.   2017 CA-DFPI $6,000
D.A. Davidson & Co.   2016 SEC $500,000
D.A. Davidson & Co.   2019 SEC $654,276
D.A. Davidson and Co.   2018 VT-FIN $60,000
D.E. Frey and Company, Inc.   2000 SEC $100,000
D.E. Shaw & Co.   2013 SEC $667,492
D.E. Shaw & Co. L.P.   2012 CFTC $140,000
D.M. Keck & Company, Inc.   2007 SEC $15,000
DA-VI NAILS INTERNATIONAL   2008 VA-SEC $9,250
Daedalus Capital, LLC   2015 IL-SEC $509,553
Daedalus Capital, LLC   2009 MO-SEC $25,350
Daekyo America, Inc.   2018 MD-SEC $15,000
DAI Securities LLC   2020 NH-BSR $5,000
DAILY GRIND OF WINCHESTER   2006 VA-SEC $7,000
Dain Rauscher Incorporated Royal Bank of Canada financial services 2000 SEC $12,941,191
Dairy Farmers of America, Inc. Dairy Farmers of America (DFA) food products 2008 CFTC $12,000,000
Dale Scott & Company, Inc.   2019 SEC $25,000
Damon's Restaurants, Inc.   2007 MD-SEC $10,000
Damopa Investments, LLC and MLC Living Trust and Monika Catlin, LLC   2014 AZ-SEC $837,026
Daniel G. Falk & Associates, P.C.   2005 MD-SEC $68,800
Daniels Trading Group LLC   2011 CFTC $2,000,000
Darel Baer Investment Advisory LLC   2014 CA-DFPI $13,500
Dasan Zhone Solutions Inc.   2018 SEC $50,000
Data Technology Group   2002 OR-FIN $15,000
Datatex Investment Services, Inc.   2009 MO-SEC $15,000
DAV/Wetherly Financial   2010 NY-AG $1,000,000
Davenport & Company LLC   2015 SEC $80,000
DAVI NAILS SALON AND SPA, LLC   2018 VA-SEC $21,000
David A. Noyes & Company   2008 IN-SEC $30,000
David J. Deschaine Installations, Inc.   2008 ME-SEC $75,000
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
Davisco Foods International, Inc. Agropur food products 2017 CFTC $150,000
Dawson-Samberg Capital Management, Inc.   2000 SEC $100,000
DayTradingBuddy LLC   2014 OR-FIN $20,000
DB Investment Managers, Inc.   2005 SEC $33,159
DBH Growth Fund   2004 WA-FIN $15,000
DBRS Inc.   2015 SEC $5,814,482
DCS Resources Inc.   2005 OK-SEC $24,000
Deak Reynolds Co.   2014 MD-SEC $7,500
Dean Witter Reynolds Inc. Morgan Stanley financial services 2002 SEC $500,000
Dean Witter Reynolds Inc. Morgan Stanley financial services 2000 SEC $476,702
Dearborn Investment Fund, L.C.   2015 MO-SEC $35,250
Dearborn Trading, Inc.   2011 CFTC $180,000
Decision Sciences Corporation   2009 SC-SEC $5,000
DECKER EQUITIES, LP   2008 VA-SEC $205,000
Dedicated Sound and Audio, Inc.   2018 SEC $250,000
Deer Park Development Corp.   2015 AZ-SEC $892,630
Deer Park Road Management Company LP   2019 SEC $5,000,000
Deerfield Management Company   2013 SEC $1,902,224
Deerfield Management Company L.P.   2017 SEC $4,600,000
Defensive Portfolio Management Corp.   2017 CA-DFPI $10,000
Del Mar Asset Management, LP   2014 SEC $66,000
Delaney Equity Group LLC   2016 SEC $20,000
Delano & Morgenroth Investment Advisors, LLC   2013 MT-SEC $5,000
Delaware Asset Advisers   2012 SEC $4,814,520
Delaware Distributors, L.P.   2009 MD-SEC $8,000
Delaware Financial Insurance and Investment, Inc.   2001 DE-SEC $15,000
Delaware Service Company, Inc.   2006 SEC $435,000
Deloitte & Touche Deloitte Touche Tohmatsu business services 2012 MI-AG $19,900,000
Delta Equity Services Corporation   2002 SEC $45,000
Delta FX Trade   2018 AZ-SEC $15,000
Deluge, Inc. and Hydrotherm Power Corp.   2016 AZ-SEC $11,194,254
Deluxe Designs International, LLC and Deluxe Live Productions   2009 AZ-SEC $3,225,744
Demuzio Capital Management, LLC   2012 CFTC $3,000,000
Densmore Financial Group, Inc.   2011 ID-SEC $10,000
Dental Fix Rx, LLC   2019 VA-SEC $17,000
Dental Support Plus Franchise, LLC   2018 AZ-SEC $13,614,954
Dentsply Sirona Inc. Dentsply Sirona medical equipment and supplies 2020 SEC $1,000,000
Denver Energy Exploration, LLC   2014 AZ-SEC $7,500
Derivium Capital, LLC   2006 CA-DFPI $750,000
Derrick Management Inc.   2019 GA-SEC $25,000
Detwiler, Mitchell, Fenton & Graves, Inc.   2007 SEC $250,000
Deutsche Asset Management, Inc. Deutsche Bank financial services 2003 SEC $750,000
Deutsche Asset Management, Inc. and Deutsche Investment Management Americas, Inc. Deutsche Bank financial services 2006 SEC $17,200,000
Deutsche Bank Deutsche Bank financial services 2016 SEC $18,500,000
Deutsche Bank Deutsche Bank financial services 2002 MULTI-AG $80,000,000
Deutsche Bank AG Deutsche Bank financial services 2015 SEC $55,000,000
Deutsche Bank AG Deutsche Bank financial services 2006 NY-AG (*) $208,000,000
Deutsche Bank AG Deutsche Bank financial services 2020 CFTC $9,000,000
Deutsche Bank AG and Deutsche Bank Securities Inc. Deutsche Bank financial services 2018 CFTC $30,000,000
Deutsche Bank Securities Deutsche Bank financial services 2016 SEC $9,500,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2004 SEC $87,500,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2018 SEC $4,450,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2019 SEC $2,971,462
Deutsche Bank Securities Inc. Deutsche Bank financial services 2013 MA-SEC $17,500,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2010 NC-SEC $7,800,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2008 MULTI-FIN (*) $15,000,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2005 MULTI-FIN (*) $28,750,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2020 CFTC $1,250,000
Deutsche Bank Securities, Inc. Deutsche Bank financial services 2006 SEC $442,954
Deutsche Bank Securities, Inc. Deutsche Bank financial services 2009 NJ-AG $1,057,350
Deutsche Bank Securities, Inc. Deutsche Bank financial services 2016 NY-AG (*) $37,000,000
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.