Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$76,640,549,067
Number of Penalty Records: 
5,395
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$13,398,455,23576
UBS$11,623,979,90947
Citigroup$8,091,160,13534
JPMorgan Chase$5,023,349,59942
Morgan Stanley$4,104,393,95288
Deutsche Bank$3,994,334,82825
Goldman Sachs$3,738,695,98725
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.
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Companysort icon Parent Parent Major Industry Year Agency Penalty Amount
ADM Investor Services Inc. Archer Daniels Midland agribusiness 2019 CFTC $250,000
ADM Investor Services, Inc. Archer Daniels Midland agribusiness 2013 CFTC $425,000
ADM Investor Services, Inc. Archer Daniels Midland agribusiness 2009 CFTC $200,000
ADT Inc. Apollo Global Management private equity (including portfolio companies) 2018 SEC $100,000
Advance Local Development Corp.   2002 SEC $9,509,736
Advanced Cell Technology   2014 SEC $375,000
Advanced Drainage Systems, Inc. Advanced Drainage Systems building materials 2018 SEC $1,000,000
Advanced Emissions Solutions, Inc. Advanced Emissions Solutions miscellaneous energy products and systems 2017 SEC $500,000
Advanced Equities Inc   2012 SEC $1,000,000
Advanced Planning Concepts, LLC   2018 AZ-SEC $37,435
Advanced Trading Workshop, Inc.   2016 CFTC $940,000
Advantage Capital Corp.   2007 CT-SEC $25,000
Advantage Futures LLC   2016 CFTC $1,500,000
Advantage Investment Management, LLC   2016 SEC $60,000
Advantage Real Estate Consultants, LLC   2017 MI-SEC $40,000
ADVANTAGE REAL ESTATE LPS   2001 VA-SEC $5,000
ADVANTAGE REAL ESTATE MANAGEMENT LLC   2001 VA-SEC $5,000
Advent Capital Management   2014 SEC $144,128
Advisors Management Group, Inc.   2005 IL-SEC $5,200
Advisory Financial Group, Inc.   2000 VA-SEC $35,000
Aegerion Pharmaceuticals Amryt Pharma pharmaceuticals 2017 SEC $4,100,000
Aegis Capital Corp.   2012 CT-SEC $15,000
Aegis Capital LLC   2013 NH-BSR $45,000
Aegis Oil, LLC and Aegis Disposal Systems, LLC   2017 WA-FIN $47,500
AEGON USA Investment Management LLC et al. Aegon financial services 2018 SEC $97,600,000
Aerokinetic Energy Corporation   2011 SEC $859,571
Aeromax, Inc. and Aeromag Corp.   2001 AZ-SEC $10,000
AFC Asset Management Services, Inc.   2010 MD-SEC $5,000
AFG Capital management, Inc.   2007 MO-SEC $11,870
AflacAssist.com, LLC   2015 MO-SEC $45,570
Africa Gemstone Corporation   2003 SEC $242,840
AFT Logistics, LLC nka Equity One Contractors LLC   2018 CT-SEC $20,000
Agamas Capital Management, LP   2013 SEC $250,000
Agape Global Investments Corp.   2016 MI-SEC $10,000
AGB Partners LLC   2010 SEC $50,000
Aggressive Advertising Associates, LLC   2012 ME-SEC $24,085
Aggressive Lending Co.   2019 IL-SEC $5,000
Agra Technologies, Inc.   2007 AZ-SEC $10,417,532
Agricola Associates, LLC   2015 MO-SEC $15,755
Agricultural Services of America, Inc. and Agricultural Investments of America, Inc.   2001 ID-SEC $649,882
Agrocorp International Pte Ltd.   2016 CFTC $150,000
AIC Inc.   2014 SEC $66,760,521
AIM Advisors Invesco financial services 2004 MULTI-AG (*) $125,000,000
AIM Advisors, Inc. and AIM Distributors, Inc. Invesco financial services 2004 SEC $50,000,000
AIM Holdings I, LLC   2012 MD-SEC $50,000
Air-Byrd Operations LLC   2011 CT-SEC $100,000
Air-Byrd/River Joint Venture   2011 CT-SEC $100,000
AIRCABLE OF ROANOKE, INC. AND DIGITAL BROADCAST CORP.   2001 VA-SEC $102,500
AirTrac Inc.   2008 SEC $2,005,401
Aisle 411, Inc.   2009 MO-SEC $5,000
Aisling Capital   2017 SEC $70,456
Aisling Capital LLC   2018 SEC $200,000
AJ&J Investment Group, Inc.   2014 MO-SEC $297,000
Akbar & Associates Legal Corp. and Integrity Benefits Solution Corp.   2018 MO-SEC $99,337
Akro Advisors, Inc.   2015 FL-OFR $77,500
Aladdin Capital Management LLC   2012 SEC $1,618,831
Alaron Trading Corporation   2010 CFTC $260,000
Alaron Trading Corporation   2008 CFTC $299,000
AlderEgo Holdings, Inc. and Carfield Family, Inc.   2019 WA-FIN $35,000
Aldus Equity   2010 NY-AG $1,000,000
Alexander Capital L.P.   2018 SEC $410,987
Alexander Capital, L.P.   2019 AR-SEC $15,000
Alexander Capital, L.P.   2018 MT-SEC $206,339
ALEXANDER PERRY CORPORATION   2013 VA-SEC $62,000
Alfaro Oil & Gas, LLC and Pinnacle Partners Financial Corp.   2011 IL-SEC $7,500
Alfred C. Toepfer International, Inc. Archer Daniels Midland agribusiness 2015 CFTC $400,000
Algointeractive Inc   2018 CFTC $962,200
Alight Financial Solutions, LLC   2019 NH-BSR $5,000
Alii Consulting   2017 CA-DBO $15,000
ALL ABOUT HONEYMOONS FRANCHISE   2013 VA-SEC $12,000
All City Investments, LLC   2018 CFTC $670,912
All Share Inc.   2015 IN-SEC $1,643,711
All Wave Engineering, Inc.   2016 WA-FIN $15,000
Allegheny Gulf Investments, Inc   2005 CFTC $440,000
Allegheny Investments, Ltd.   2007 MD-SEC $200,000
Allegiant Retirement Group   2016 MO-SEC $14,500
Allegis Investment Advisors, LLC   2017 ID-SEC $755,246
Allen Company of Florida, Inc.   2006 IL-SEC $9,250
Allen Douglas Securities, Inc.   2004 FL-OFR $10,000
Allen Financial Group, Inc.   2000 FL-OFR $50,000
Allergan Inc. AbbVie pharmaceuticals 2017 SEC $15,000,000
Alliance Capital Management AXA financial services 2003 NY-AG (*) $600,000,000
Alliance Capital Management L.P. AXA financial services 2003 SEC $250,000,000
Alliance Capital Metals LLC and AR Goldman Wealth Management, LLC   2012 CFTC $2,500,000
Alliance Development Company   2008 CFTC $2,200,000
Alliance Financial Services of Illinois Ltd.   2009 IL-SEC $10,000
Alliance Trust and Chemical Trust and United Marketing Trust   2000 AZ-SEC $75,000
AllianceBernstein L.P. AXA financial services 2013 CO-SEC $20,232
AllianceBernstein L.P. AXA financial services 2012 DE-SEC $20,000
AllianceBernstein, L.P. AXA financial services 2007 SEC $450,000
Allianz Dresdner Asset Management of America LP Allianz financial services 2004 NJ-AG $18,000,000
Allianz Life Insurance Company of North America Allianz financial services 2007 MN-AG $500,000
Allied Energy Group et al.   2004 TX-SEC $8,000
Allied Energy, Inc.   2015 AR-SEC $7,500
Allied Energy, Inc.   2010 KY-FIN $50,000
Allied Energy, Inc. fka Allied Syndications, Inc.   2018 CT-SEC $10,000
Allied Home Mortgage Capital Corp. Americus Mortgage financial services 2009 AR-SEC $10,000
Allied Markets, LLC   2019 CFTC $2,400,000
Allied Syndications, Inc. dba Allied Energy Group   2007 KY-FIN $10,000
Allied Trading Group   2017 MO-SEC $118,481
Allsource Financial Management, LLC   2015 MD-SEC $10,578
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(*): 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.