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
ACJ Capital Inc., and Solid View Capital LLC   2013 CFTC $1,500,000
ACJ Capital, Inc.   2012 CFTC $3,700,000
ACL Alternative Fund Limited   2013 NH-BSR $5,000
ACP Investment Group, LLC et al.   2021 NY-AG $6,871,904
Acuity Lending Corporation   2013 OR-FIN $4,500,000
Adamas Investments, LLC   2010 AZ-SEC $690,125
Adams Capital Management   2017 SEC $45,000
Adams Financial Concepts, LLC   2014 WA-FIN $15,000
Adams Harkness, Inc. f/k/a Adams Harkness & Hill, Inc.   2004 SEC $575,000
Adar International   2000 SEC $10,000
Addison Capital Co.   2016 PA-BKG $175,000
Addison Securities, Inc.   2000 FINRA $37,500
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 Capital Corp.   2005 FINRA $450,000
Advantage Capital Corporation   2009 FINRA $5,000
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
Advest, Inc.   2005 FINRA $286,415
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 Corp.   2015 FINRA $950,000
Aegis Capital Corp.   2001 FINRA $19,000
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
AEI Net Lease Portfolio XIII DST   2020 NH-BSR $5,000
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
AG Processing Inc Ag Processing Inc. agribusiness 2021 CFTC $400,000
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-DFPI $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
All-Star Staffing, LLC   2021 ID-SEC $51,210
All-Tech Direct, Inc.   2001 FINRA $250,000
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
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.