Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$80,470,232,936
Number of Penalty Records: 
6,468
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$13,547,438,962115
UBS$11,679,855,33361
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
Omni Media & Entertainment, Inc.   2006 MO-SEC $5,000
Omni View Capital LLC   2017 CT-SEC $150,000
On The Mark Construction Co.   2009 MD-SEC $30,000
One Source Mortgage & Investments, Inc. and Strategic Equity Investments, LLC   2010 AZ-SEC $6,274,453
One Touch Marketing, Inc.   2001 SEC $118,387
One Vision Children's Foundation, Inc.   2003 AZ-SEC $4,407,140
One World Capital Group   2010 CFTC $520,000
One World Energy Advisors, LLC   2017 OR-FIN $30,000
One World Enterprises, Inc.   2007 IN-SEC $222,500
OneAmerica Securities, Inc.   2014 IN-SEC $805,000
Onele Trading & Finance Ltd.   2011 SEC $5,729,276
Ontario Teachers' Pension Plan Board   2013 SEC $224,835
Onyx Capital Advisors   2014 SEC $9,100,000
Open E Cry, LLC   2012 CFTC $250,000
Opes Capital Group, LLC   2019 CA-DFPI $15,000
Ophrys, LLC   2018 SEC $500,000
Oppenheimer & Co. Oppenheimer Holdings financial services 2014 SEC $61,200
Oppenheimer & Co. Oppenheimer Holdings financial services 2015 NM-SEC $215,000
Oppenheimer & Co. Oppenheimer Holdings financial services 2008 FINRA $4,500,000
Oppenheimer & Co. Inc Oppenheimer Holdings financial services 2009 SEC $850,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2015 SEC $400,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2010 MULTI-AG $31,000,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2016 MI-SEC $900,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2012 NH-BSR $155,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2016 SC-SEC $175,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2019 FINRA $4,600,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2016 FINRA $3,425,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2016 FINRA $2,966,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2015 FINRA $3,750,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2007 FINRA $1,000,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2006 FINRA $800,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2006 FINRA $250,000
Oppenheimer & Co. Inc. and Oppenheimer Asset Management Inc. Oppenheimer Holdings financial services 2019 SEC $3,528,377
Oppenheimer & Co., Inc. Oppenheimer Holdings financial services 2015 DE-SEC $685,000
Oppenheimer & Co., Inc. Oppenheimer Holdings financial services 2005 MO-SEC $122,050
Oppenheimer & Co., Inc. Oppenheimer Holdings financial services 2013 FINRA $921,000
Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC Oppenheimer Holdings financial services 2013 SEC $2,886,677
Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC Oppenheimer Holdings financial services 2013 MA-AG (*) $2,800,000
OppenheimerFunds Invesco financial services 2010 NM-AG $67,300,000
OppenheimerFunds Distributor, Inc. Invesco financial services 2007 CO-SEC $494,500
OppenheimerFunds Distributor, Inc. Invesco financial services 2007 WA-FIN $669,500
OppenheimerFunds Inc. Invesco financial services 2012 SEC $35,000,000
OppenheimerFunds Inc. Invesco financial services 2009 OR-AG $20,000,000
OppenheimerFunds, Inc. Invesco financial services 2009 IL-AG $77,230,000
Opportunity Drilling & Acquisition Fund, LLP   2018 CT-SEC $100,000
Option Mint   2018 ME-SEC $5,000
Options Trading Associates, LLC   2004 FINRA $10,000
Optiver Holding BV   2012 CFTC $14,000,000
Opulent Properties LLC et al.   2006 AZ-SEC $600,000
Opunui Water Company, LLC and Opunui Land and Water Company, LLC   2013 HI-SEC $273,000
Oracle Forex Fund, LP   2016 MO-SEC $28,030
Oracle Stone Ltd.   2017 WA-FIN $32,000
Ore Diversified, LLC   2009 IN-SEC $303,650
Oriental New Investments, Ltd. and Orienstar Finance, Ltd.   2008 SEC $41,774,923
Orinda Asset Management, LLC   2016 SEC $75,000
Orthogistic Labs, Inc. et al.   2019 MO-SEC $789,183
OSAD, LLC   2016 MI-SEC $20,000
Osiris Fund Limited Partnership and Osiris Partners, LLC   2014 NJ-BOS $54,600,000
OTC Europe LLP   2020 CFTC $120,000
OTC Global Partners, LLC   2016 SEC $87,499
OTC Solutions LLC   2014 SEC $373,239
Otkritie Capital International, Ltd.   2016 CFTC $140,000
OTR, Inc.   2020 SEC $10,000
Out of the Blue Processors, LLC dba Out of the Blue Processors II, LLC   2015 AZ-SEC $2,995,500
Outset Global LLP   2019 SEC $207,409
Overland Mortgage Corp.   2010 AR-SEC $30,000
Owen-Joseph Asset Management Corp.?   2000 SEC $68,000
OWNZONES Media Network, Inc.   2021 AZ-SEC $4,500,000
Ox Trading, LLC, et al.   2013 SEC $50,000
Oxbow Advisors, LLC   2020 SEC $321,958
Oxford Capital   2014 CFTC $3,519,309
Oxford City Football Club, Inc.   2017 SEC $6,853,358
Oxford Development, L.L.C. and CNT Family Fun Outlets, Inc.   2001 AZ-SEC $5,336,160
Oxford Investment Partners, LLC   2013 SEC $274,295
Oxford Micro Devices, Inc.   2008 CT-SEC $20,000
Ozark Investor's Group, LLC and Back 40 Group, Inc.   2015 MO-SEC $432,686
P & C Capital Group LLC   2014 CT-SEC $10,000
P-R-E, LLC dba Phoenix Renewable Energy   2013 AR-SEC $1,804,250
P.A.W. Capital Partners, L.P.   2014 SEC $68,000
PA Distributors   2004 CA-AG $9,000,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLC Allianz financial services 2004 SEC $11,600,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLC Allianz financial services 2004 SEC $50,000,000
Pacific Air Transport   2001 SEC $1,364,692
Pacific Capital Enterprises LLC   2019 AZ-SEC $1,326,872
Pacific Coast Holding Co. and Hall of Fame Partners, LLC   2008 AZ-SEC $650,000
Pacific Coast Investment Company   2005 WA-FIN $5,000
Pacific Coast Investment Company   2004 WA-FIN $108,000
Pacific Cornerstone Capital   2009 FINRA $700,000
Pacific Corporate Group Holdings, LLC   2009 NY-AG $2,000,000
Pacific Crest Securities, Inc.   2008 FINRA $50,000
Pacific Growth Equities, LLC   2007 SEC $425,000
Pacific Investment Management Company (PIMCO)   2016 SEC $19,829,807
Pacific Network and Consulting   2011 OR-FIN $280,000
Pacific Rim Energy, Inc.   2019 WA-FIN $13,350
Pacific Rim Investment Partners   2006 CT-SEC $100,000
Pacific Watercraft Group, Inc.   2018 WA-FIN $5,500
PACIFIC WEST SECURITIES, INC.   2014 VA-SEC $50,000
Pacific West Securities, Inc.   2014 WA-FIN $25,000
Pacific West Securities, Inc.   2002 WA-FIN $130,000
Packerland Brokerage Services, Inc. and Atlas Capital Management Corp.   2017 SEC $536,886
Paez Real Estate Funding   2006 IL-SEC $5,462
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.