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
Paez Real Estate Funding   2006 IL-SEC $5,462
PaineWebber Incorporated UBS financial services 2000 SEC $26,200,000
Palestra Capital Management LLC   2017 SEC $180,968
Palm Beach Atlantic Financial Group, LLC   2019 SEC $75,000
Palm Beach Capital LLC   2014 CFTC $520,960
Palm Beach Investment Group, Inc.   2003 IL-SEC $10,000
Palmer Square Capital Management LLC   2020 SEC $450,000
Palmyra Capital Advisors LLC,   2010 SEC $330,000
Pan American Metals of Miami and Pan American Metals of Miami Beach   2013 CFTC $4,700,000
Pan Capital AB   2013 SEC $662,497
Panama Capital Funding, L.L.C.   2008 AZ-SEC $5,000
PanaMed Corp.   2004 SEC $5,000
Panda Trucking LLC   2015 ND-SEC $19,400
Pangean Energy, LLC   2013 WA-FIN $12,000
Panther Energy Trading LLC   2013 CFTC $2,800,000
Para Firm Corporation   2015 SC-SEC $35,000
Paradigm Capital Management, Inc.   2014 SEC $2,181,771
Paradigm Wealth Advisory, LLC   2021 SEC $440,103
Paradise Biryani Express, Inc.   2014 MD-SEC $85,000
Paragon Coin Inc.   2018 SEC $250,000
Paragon Financial Group, Inc.   2012 MO-SEC $159,500
Parallax Health Sciences Inc.   2021 SEC $100,000
Parallax Investments, LLC   2015 SEC $200,000
Paramount Financial Advisors LLC   2020 WA-SEC $80,000
Paramount Group Real Estate Advisor LLC   2017 SEC $250,000
Paramount Management, LLC   2013 CFTC $2,400,000
Paramount Metals Exchange and Paramount Credit   2015 CFTC $2,595,946
Paratus Financial Inc.   2021 SEC $97,523
Pareteum Corporation   2021 SEC $500,000
Park Avenue Securities LLC   2019 SEC $564,267
Park Avenue Securities LLC   2015 FINRA $743,255
Park City Distributors   2016 MI-SEC $30,000
Park Financial Group, Inc.   2007 SEC $30,373
Park View School, Inc.   2020 SEC $30,000
Parker Skylar &Associates, LLC   2013 AZ-SEC $1,992,000
Parkland Securities, LLC   2015 MO-SEC $132,500
Parklane International Corp.   2006 AZ-SEC $20,000
Parnon Energy Inc., Arcadia Petroleum Ltd., and Arcadia Energy (Suisse) SA   2014 CFTC $13,000,000
Partisan Alliance Corp.   2019 AZ-SEC $103,000
PASCO Community Development Foundation, Inc.   2011 MD-SEC $30,000
Paseo Biofuels, LLC   2006 MO-SEC $23,692
PassThrough Investments, LLC   2012 CFTC $1,100,000
Patapsco Securities, Inc. dba Chapin Davis   2008 AL-SEC $5,377
Pathmaker Solutions, LLC   2020 DE-AG $100,000
Pathway Advisors Group   2020 MO-SEC $11,000
Patricia Lynch Associates, Inc.   2010 NY-AG $500,000
Patriots Energy Group, Inc.   2016 MI-SEC $40,000
Paul Winkler, Inc.   2019 AL-SEC $62,954
Paul Winkler, Inc.   2021 TX-SEC $5,000
PAWS & REMEMBER LLC   2017 VA-SEC $5,000
Pax World Management Corp.   2008 SEC $500,000
Paycom Software, Inc. Paycom Software information technology 2021 SEC $250,000
Payday Today USA.com, Inc.   2001 WA-FIN $50,000
PDP Management LP   2011 SC-SEC $10,000
Peacock, Hislop, Staley & Given, Inc.   2000 FINRA $539,117
Peak Capital Management Group, Inc.   2014 CFTC $1,600,000
Peak Wealth Group, LLC   2014 MO-SEC $15,000
PEAK6 Capital Management   2013 SEC $132,217
Peanut Butter Better Co. and ZAP Products Corp.   2012 NJ-BOS $269,750
Pearson and Associates, LLC   2018 CT-SEC $6,110
Pegasus Investment Management, LLC   2011 SEC $95,469
Pekin Singer Strauss Asset Management Inc   2015 SEC $150,000
Pelican Development L.L.C.   2009 ND-SEC $20,000
Pelican's Snoballs VA LLC   2016 VA-SEC $15,000
Pencrest Corp.   2010 IL-SEC $12,500
Pennant Management, Inc.   2018 SEC $400,000
Pennichuck Corporation   2004 NH-BSR $230,000
Pennsylvania 3 Well Development, LLP   2008 VA-SEC $105,000
Penson Associates, LLC   2016 MO-SEC $480,487
Penson Financial Services, Inc.   2001 FINRA $15,000
Pentagon Capital Management   2012 SEC $98,600,000
Pentecost Capital Management Inc.   2015 OK-SEC $5,000
Pentultimate Associates, LLC and Family Values Financial Services   2014 CA-DFPI $37,000
People's Securities Inc.   2017 VT-FIN $22,500
Pequot Capital Management, Inc.   2010 SEC $28,000,000
PercentPlus A Limited Liability Co.   2016 MI-SEC $10,000
Perceptive Advisors LLC   2009 SEC $439,755
Percipience, LLC   2018 MI-SEC $10,000
Peregrine Financial Group, Inc.   2000 CFTC $90,000
Perfection PR Firm LLC   2020 CFTC $1,296,572
Perfection PR Firm, LLC   2019 MO-SEC $402,952
Performance Analytics, Inc.   2002 SEC $75,000
Performance Arbitrage Company, Inc. et al.   2020 AZ-SEC $653,191
Performance Realty Management, LLC   2019 ID-SEC $570,800
Performance Specialist Group LLC   2004 SEC $2,171,932
Perrin, Holden and Davenport Capital Corp.   2010 IN-SEC $6,000
Perry Corp.   2009 SEC $150,000
Pershing LLC   2014 FINRA $3,000,000
Pershing LLC   2005 FINRA $30,000
Pershing Square Capital Management   2017 SEC $75,000
Pershing Square Capital Management   2017 MULTI-AG $145,000,000
Pershing Trading Company, L.P.   2001 FINRA $20,000
Persistent Edge Management, LLC   2008 CFTC $120,000
Personal Financial Group   2017 MO-SEC $5,000
Peruvian Resources Management USA, LLC   2008 WA-FIN $39,791
Peters Financial Planning Corp.   2009 MD-SEC $6,700
Petro America Corp.   2010 MO-SEC $28,660
Petro-America Producing Oil & Gas Wells, Inc.   2007 IN-SEC $56,500
Petro-America Producing Oil and Gas Wells, Inc.   2006 MO-SEC $5,652
Petro-Suisse Ltd.   2013 SEC $8,370,000
Petroforce Energy, LLC   2017 SEC $300,000
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.