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
Radical Bunny, L.L.C.   2013 AZ-SEC $189,800,867
RAF Operating LLC   2013 OK-SEC $5,000
Rafferty Capital Markets   2014 SEC $849,626
Rafferty Capital Markets, LLC   2015 CT-SEC $16,050
Rafferty Capital Markets, LLC   2007 FINRA $409,605
Ragen Mackenzie Investment Services LLC Wells Fargo financial services 2004 OR-FIN $8,500
Raglin Industries LLC et al.   2008 OK-SEC $50,000
RAHFCO Management Group LLC   2010 ND-SEC $14,000
Rainmaker Securities, Inc.   2016 IL-SEC $26,000
Raleigh Capital Management, Inc.   2011 CFTC $4,000,000
Rama Capital Partners, LLC   2013 CA-DFPI $35,000
Rama Capital Partners, LLC   2016 CA-DFPI $10,000
Ramius Securities L.L.C.   2001 FINRA $61,000
Ramius Securities LLC   2001 FINRA $10,000
Randomwalk Innovations, LLC   2020 SC-SEC $5,000
Ranieri Partners   2013 SEC $375,000
RansonCapital Corporation   2002 SEC $10,000
RAphi Capital Management, LLC   2017 MD-SEC $430,700
Rapid Technologies Group, Inc. aka Event Horizon Technologies Software, Inc.   2004 IL-SEC $20,000
Rasmusson Financial Group, Inc.   2011 NE-DBF $12,500
Raymond James & Associates Raymond James Financial financial services 2016 SEC $600,000
Raymond James & Associates Inc. Raymond James Financial financial services 2000 FINRA $3,410,000
Raymond James & Associates, Inc. Raymond James Financial financial services 2015 SEC $500,000
Raymond James & Associates, Inc. Raymond James Financial financial services 2015 IN-SEC $475,000
Raymond James & Associates, Inc. Raymond James Financial financial services 2020 MI-SEC $50,000
Raymond James & Associates, Inc. Raymond James Financial financial services 2011 MULTI-FIN $1,750,000
Raymond James & Associates, Inc. Raymond James Financial financial services 2009 FINRA $1,000,000
Raymond James & Associates, Inc. Raymond James Financial financial services 2005 FINRA $90,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial financial services 2019 FINRA $8,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial financial services 2015 FINRA $8,700,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial financial services 2011 FINRA $2,115,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial financial services 2005 FINRA $888,000
Raymond James & Associates, Inc. et al. Raymond James Financial financial services 2019 SEC $15,000,000
Raymond James and Associates Inc. Raymond James Financial financial services 2016 VT-FIN $4,200,000
Raymond James Financial Services Advisors, Inc. Raymond James Financial financial services 2019 SEC $6,877,048
Raymond James Financial Services Inc. Raymond James Financial financial services 2017 PA-BKG $125,000
Raymond James Financial Services Inc. Raymond James Financial financial services 2007 FINRA $2,750,000
Raymond James Financial Services Inc. Raymond James Financial financial services 2004 FINRA $400,000
Raymond James Financial Services, Inc. Raymond James Financial financial services 2004 SEC $2,595,129
Raymond James Financial Services, Inc. Raymond James Financial financial services 2011 NJ-AG $35,000
Raymond James Financial Services, Inc. Raymond James Financial financial services 2010 CT-SEC $15,000
Raymond James Financial Services, Inc. Raymond James Financial financial services 2009 MO-SEC $52,300
Raymond James Financial Services, Inc. Raymond James Financial financial services 2007 WI-FIN $50,000
Raymond James Financial Services, Inc. Raymond James Financial financial services 2017 FINRA $2,000,000
Raymond Lawrence Lent, (dba the Putney Financial Group and Registered Investment Advisors)   2019 SEC $43,034
RBC Capital Market LLC   2015 MD-SEC $15,000
RBC Capital Markets Royal Bank of Canada financial services 2015 FINRA $1,434,000
RBC Capital Markets Corp. Royal Bank of Canada financial services 2010 NJ-AG $51,724
RBC Capital Markets Corp. Royal Bank of Canada financial services 2008 FINRA $150,000
RBC Capital Markets Corporation Royal Bank of Canada financial services 2009 SEC $125,000
RBC Capital Markets Corporation Royal Bank of Canada financial services 2008 MULTI-AG $859,800,000
RBC Capital Markets Corporation Royal Bank of Canada financial services 2008 MULTI-FIN (*) $9,800,000
RBC Capital Markets Corporation Royal Bank of Canada financial services 2010 FINRA $135,000
RBC Capital Markets Corporation Royal Bank of Canada financial services 2009 FINRA $400,000
RBC Capital Markets Corporation Royal Bank of Canada financial services 2005 FINRA $2,108,000
RBC Capital Markets LLC Royal Bank of Canada financial services 2011 SEC $30,400,000
RBC Capital Markets LLC Royal Bank of Canada financial services 2016 SEC $2,500,000
RBC Capital Markets LLC Royal Bank of Canada financial services 2020 SEC $3,889,007
RBC Capital Markets LLC and RBC Capital Markets Arbitrage S.A. Royal Bank of Canada financial services 2016 FINRA $3,500,000
RBC Capital Markets, LLC Royal Bank of Canada financial services 2015 SEC $500,000
RBC Capital Markets, LLC Royal Bank of Canada financial services 2019 SEC $11,715,395
RBC Capital Markets, LLC Royal Bank of Canada financial services 2013 NJ-AG $450,000
RBC Capital Markets, LLC Royal Bank of Canada financial services 2019 CFTC $5,000,000
RBC Capital Markets, LLC Royal Bank of Canada financial services 2013 AK-DBS $44,370
RBC Capital Markets, LLC Royal Bank of Canada financial services 2013 CA-DFPI $33,520
RBC Capital Markets, LLC Royal Bank of Canada financial services 2012 MA-SEC $250,000
RBC Capital Markets, LLC Royal Bank of Canada financial services 2012 MT-SEC $186,439
RBC Capital Markets, LLC Royal Bank of Canada financial services 2014 MULTI-FIN $2,800,000
RBC Dain Rauscher Inc Royal Bank of Canada financial services 2006 SEC $1,500,000
RBC Dain Rauscher Inc. Royal Bank of Canada financial services 2006 FINRA $250,000
RBC Dain Rauscher Incorporated Royal Bank of Canada financial services 2002 SEC $500,000
RBC Dain Rauscher, Inc. Royal Bank of Canada financial services 2005 FINRA $1,158,000
RBC Dain Rauscher, Inc. Royal Bank of Canada financial services 2005 FINRA $1,700,000
RBC Dain Rauscher, Inc. Royal Bank of Canada financial services 2004 FINRA $150,000
RBS Securities, Inc. NatWest Group PLC financial services 2016 FINRA $2,000,000
Rchain Cooperative   2020 WA-FIN $65,000
RCI Hospitality Holdings, Inc.   2020 SEC $400,000
RCM Securities a/k/a SNC Capital Management Corporation   2019 PA-BKG $5,000
RD Capital Group   2009 FINRA $1,000,000
REACH Genetics Inc.   2020 WA-SEC $10,000
Real Estate Finance Corp. and WIN Opportunity Fund, LLC   2019 AZ-SEC $3,668,565
Real Estate Man LLC   2018 ME-SEC $5,000
Real Estate Monster, LLC   2013 AZ-SEC $5,000
RealizedEquityServices LLC   2018 WA-FIN $32,500
Realty Mortgage Corp.   2007 AR-SEC $12,500
ReavillMed LLC   2015 IL-SEC $10,000
REB Financial   2013 NH-BSR $24,900
REBEL HOLIDAY   2007 VA-SEC $110,000
Recycled Asphalt Shingle Technology LLC   2013 NH-BSR $10,000
Red Giant Entertainment Inc.   2014 SEC $25,000
Red Mountain Funding, Inc.   2015 AZ-SEC $4,344,885
Red Oak Compliance Solutions, LLC   2017 MO-SEC $6,000
Redbird Management Group   2011 IN-SEC $17,800
Redrhino, Inc.   2016 MD-SEC $7,500
Redwine & Company, Inc.   2014 OR-FIN $10,000
Redwood Trust   2007 OR-FIN $23,000
Refco Overseas Limited   2004 CFTC $25,000
REGAL NAILS, LLC   2007 VA-SEC $21,000
Regal Royalty Resource   2011 CT-SEC $100,000
Regal Securities   2010 NJ-AG $10,000
Regal Securities, Inc.   2017 AR-SEC $36,879
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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.