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
PFS Investments, Inc.   2004 FINRA $450,000
PGS Capital Wealth Management of Sherman Oaks, California, PGS Capital Credit, Inc.   2014 CFTC $462,727
Phaetra Capital GP LLC, Phaetra Capital Management LP, and Argenta Group LLC   2018 CFTC $23,117,551
Pharyn Resources, Inc.   2017 MO-SEC $33,000
Phase 2 Investment Advisers, LLC   2017 MI-SEC $10,000
Philadelphia Alternative Asset Management Co.   2008 CFTC $8,800,000
Philadelphia Financial Management of San Francisco   2013 SEC $219,443
Philippine Gold Importation Venture   2012 OR-FIN $10,000
Phillip Capital Inc.   2019 CFTC $1,500,000
Phillips Investment & Trust LLC and Corporate I Communications & Technology Inc.   2015 CFTC $234,500
PHL Variable Insurance Company   2014 SEC $100,000
PHL Variable Insurance Company   2014 SEC $375,000
Phoenician Entertainment, L.L.C.   2011 AZ-SEC $534,000
Phoenix Asset Group, LLC   2019 MN-FIN $11,000
Phoenix Derivatives Group, LLC   2010 FINRA $3,000,000
Phoenix Funding, LLC   2012 AZ-SEC $58,905
Phoenix Performance Enhancement Group   2010 AR-SEC $10,000
Phoenix Technologies LLC   2009 VA-SEC $30,000
PHX Financial, Inc.   2015 MT-SEC $142,488
Phydea Equity Fund, LLC   2008 MD-SEC $890,000
Physicians Development Group, LLC and Physicians Senior Care Fund, LLC   2020 CO-SEC $50,000
Piara Pizza, LLC   2020 CA-DFPI $35,000
PIC Trust Limited   2005 AK-DBS $75,000
PIF Financial Services, LLC and Premier Mortgage Solutions, LLC   2016 MO-SEC $1,378,510
Pike Financial Group, LLC   2016 MO-SEC $16,800
Pilar Investments LLC et al.   2012 HI-SEC $504,192
Pilgrim Baxter & Associates, Ltd.   2004 SEC $90,000,000
Pilgrim Baxter & Associates, Ltd.   2004 NY-AG (*) $100,000,000
Pine Canyon Enterprises, Inc.   2007 WA-FIN $10,000
Pinemore, L.P. (Pinemore) and Birchmore, L.P.   2010 CFTC $500,000
Pinnacle Capital Markets LLC   2010 SEC $25,000
Pinnacle Companies, LLC   2019 SEC $1,112,000
Pinnacle Forex Group LLC   2014 CFTC $819,378
Pinnacle Investment Group, LLC   2012 IL-SEC $10,000
Pinnacle Investments LLC   2015 FL-OFR $55,000
Pinnacle Management Group LLC   2011 SC-SEC $10,000
Pinnacle Plus Capital LLC   2020 ID-SEC $18,423
Pioneer Property Group, LLC and Queen's Court Building, LLC   2010 WA-FIN $5,000
Pioneer Trust Corp.   2010 IN-SEC $211,415
Pipeline Trading Systems LLC   2011 SEC $1,000,000
Piper Jaffray & Co. Piper Sandler financial services 2015 SEC $500,000
Piper Jaffray & Co. Piper Sandler financial services 2006 SEC $125,000
Piper Jaffray & Co. Piper Sandler financial services 2013 SEC $300,000
Piper Jaffray & Co. Piper Sandler financial services 2006 MT-SEC $345,000
Piper Jaffray & Co. Piper Sandler financial services 2004 ND-SEC $20,000
Piper Jaffray & Co. Piper Sandler financial services 2004 ND-SEC $17,000
Piper Jaffray & Co. Piper Sandler financial services 2005 ND-SEC $30,000
Piper Jaffray & Co. Piper Sandler financial services 2006 ND-SEC $17,204
Piper Jaffray & Co. Piper Sandler financial services 2006 ND-SEC $229,000
Piper Jaffray & Co. Piper Sandler financial services 2010 FINRA $700,000
Piper Jaffray & Co. Piper Sandler financial services 2008 FINRA $100,000
Piper Jaffray & Co. Piper Sandler financial services 2005 FINRA $280,000
Piper Jaffray & Co. Piper Sandler financial services 2005 FINRA $275,000
Piper Jaffray & Co. Piper Sandler financial services 2004 FINRA $2,400,000
Piper Jaffray Inc. Piper Sandler financial services 2000 FINRA $933,000
PIPS Inc.   2005 AK-DBS $75,000
PIPS Inc.   2006 CT-SEC $100,000
Pishon Holding LLC   2019 CFTC $1,259,317
Planet EV's Inc.   2007 MO-SEC $40,000
PlanMember Securities Corporation   2019 SEC $3,550,660
Platforms Wireless International Corp.   2007 SEC $2,431,213
Platinum Advisors   2010 NY-AG $500,000
Platinum Equity Advisors, LLC   2017 SEC $3,402,132
Platinum Trading Company   2019 OR-FIN $40,000
Platinum Wealth Partners, Inc.   2020 SEC $1,330,847
PLAY N TRADE FRANCHISE, INC.   2010 VA-SEC $15,000
Plein Enterprises Incorporated dba Tri-Star Realty   2011 AZ-SEC $1,586,182
PlexCorps   2019 SEC $4,911,613
Ploutos Oil, LLC   2019 KY-FIN $120,000
Plutus Financial, Inc. d/b/a Abra   2020 CFTC $150,000
Plutus Technologies Philippines Corp.   2020 SEC $150,000
PMB Helin Donovan, LLP   2016 SEC $160,000
PMC Strategy, LLC   2013 CFTC $1,800,000
PMN Inc. dba Portfolio Management Network Inc.   2018 PA-BKG $10,000
PNC Bank, National Association PNC Financial Services financial services 2019 CFTC $300,000
PNC Capital Markets LLC PNC Financial Services financial services 2015 SEC $500,000
PNC Capital Markets LLC PNC Financial Services financial services 2016 FINRA $50,000
PNC Investments PNC Financial Services financial services 2009 FINRA $250,000
PNC Investments LLC PNC Financial Services financial services 2018 SEC $7,307,770
PNC Investments LLC PNC Financial Services financial services 2010 DE-SEC $250,000
Pocketinns, Inc.   2018 IL-SEC $8,000
Pocketinns, Inc.   2020 NJ-BOS $100,000
Point Stratford Development, LLC fka Hollywood East/Area 51, LLC   2012 CT-SEC $100,000
Pointe Capital, Inc.   2011 FINRA $300,000
Polite and Company   2003 IL-SEC $5,000
Polo Capital International Gestao de Recursos a/k/a Polo Capital Management   2013 SEC $282,720
Pond Equities Corp.   2007 RI-FIN $14,960
Pop-N-Go, Inc.   2015 MO-SEC $117,880
Poppin Kettle Franchising, Inc.   2015 CT-SEC $75,000
Popular Securities, Inc.   2005 FINRA $40,000
Popular Securities, LLC   2019 SEC $544,577
Port Authority of New York and New Jersey   2017 SEC $400,000
Porta Office Cyber Cafe, LLC and Morgan Communications, Inc.   2008 MD-SEC $315,000
Porterfield Investments, Inc. et al.   2006 MO-SEC $9,020
Portfolio Advisors Alliance   2019 SEC $1,259,721
Portfolio Advisory Services, LLC   2002 SEC $50,000
Portfolio Timing Service dba PTS Asset Management   2011 CT-SEC $25,000
Positive News Increase, Inc.   2006 MS-SEC $25,000
Potomac Asset Management Company, Inc   2017 SEC $300,000
Power Supplies & Equipment Ltd.   2020 GA-SEC $5,000
PowerOne Corp.   2014 AR-SEC $5,000
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.