Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$78,346,186,381
Number of Penalty Records: 
5,568
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$13,424,705,23577
UBS$11,623,979,90947
Citigroup$8,095,660,13535
JPMorgan Chase$5,978,549,59944
Morgan Stanley$4,122,853,726105
Deutsche Bank$3,994,334,82825
Goldman Sachs$3,888,695,98726
Wells Fargo$2,425,119,26153
American International Group$1,618,900,0005
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
Stuckey Group, L.P., Stuckey Group II, L.P. and Oakwood Development Company, L.P.   2012 CFTC $250,000
Style N'Tile International   2010 MT-SEC $1,596,750
Success Concepts Enterprises, Inc. and World Business Consultants, Inc.   2003 WA-FIN $5,000
Success Holding Group International, Inc.   2017 SEC $139,737
Success Trade Inc.   2015 DC-DISB $13,179,804
Success Trade, Inc. and Success Trade Securities, Inc.   2015 SEC $26,158,214
Successful Finance, Inc.   2000 AZ-SEC $421,040
Successful Resource Management, Ltd.   2015 MO-SEC $5,500
Sugar Shack Donuts, LLC   2017 VA-SEC $8,000
Suisse Capital Complex, Inc. and Asia Equities, Inc.   2009 IN-SEC $271,200
Sukarne SA de CV   2020 CFTC $35,000
Summit Brokerage Services, Inc.   2013 AR-SEC $8,500
Summit Brokerage Services, Inc.   2006 MT-SEC $198,020
Summit Energy Services Inc. Schneider Electric electrical and electronic equipment 2015 CFTC $140,000
Summit Equities, Inc.   2018 MA-SEC $100,000
Summit Financial Group, Inc.   2019 SEC $1,032,702
Summit Financial Group, Inc.   2020 SEC $1,206,882
Summit Trading & Capital LLC   2013 CFTC $4,800,000
SUMMIT WEALTH MANAGEMENT, LLC   2011 VA-SEC $9,350
Sun State Property Preservation, LLC and Wattenberg, LLC   2021 AZ-SEC $901,030
Sun Village Juan Dolio Associates, LLC   2010 ID-SEC $2,653,880
SUNAMERICA SECURITIES, INC.   2006 VA-SEC $10,000
Sunbelt Securities, Inc.   2011 KY-FIN $15,770
Suncoast Financial Services Of North American, Inc.   2002 FL-OFR $635,000
Sundial Capital Management L.P.   2006 TX-SEC $5,000
Sunlight Investments   2018 TX-SEC $15,000
Sunny Investments Brokerage Firm   2015 IL-SEC $10,000
Sunoco LP Energy Transfer pipelines 2020 CFTC $450,000
Sunset Capital Assets, Inc.   2020 KY-FIN $45,000
Sunset Financial Group Inc. et al.   2004 OK-SEC $304,664
Sunset Financial Services, Inc.   2002 FL-OFR $21,000
Sunset Financial Services, Inc.   2007 MS-SEC $18,000
Sunset Investment Group, Inc.   2001 SEC $70,000
SunTrust Banks Truist Financial financial services 2017 SEC $1,100,000
SunTrust Capital Markets Inc. Truist Financial financial services 2006 SEC $125,000
Supama International DMCC   2008 CFTC $164,680
Super Absorbent Co., Synchronized Funding, LLC   2010 CA-DFPI $42,650,000
SuperGlass Windshield Repair, Inc.   2019 VA-SEC $86,667
Superior Leasing of Arizona, Inc. and Superior Holding Group, Inc.   2000 AZ-SEC $6,792,956
Superior Manufacturing, Inc.   2008 MO-SEC $12,330
Supertrade Securities Inc.   2000 TX-SEC $15,000
Sure Trace Security Corporation   2007 SEC $1,098,900
Surety Services LLC   2013 VT-FIN $150,000
Surgioscopy, LLC   2019 MO-SEC $50,000
Susquehanna Investment Group   2009 SEC $7,640,000
SuttonBrook Capital Management   2014 SEC $70,000
Sweetwater Investments, Inc.   2019 SEC $1,164,747
Swift Excelsior Investments, Inc.   2009 IN-SEC $5,000
Swiss Re Financial Products Corporation Swiss Re financial services 2007 SEC $95,000
SWS Financial Services Inc.   2008 TX-SEC $35,000
Sycamore Lane Partners LLC   2018 SEC $134,042
Syndicated Capital, Inc.   2019 SEC $38,991
Syndicated Capital, Inc.   2014 CT-SEC $10,000
Synergy Oil, LLC   2014 CA-DFPI $20,400,047
Synergy Oil, LLC   2015 FL-OFR $75,000
Synergy Oil, LLC   2016 MO-SEC $97,264
Synvest, Inc.   2005 MD-SEC $38,924
System Capital, LLC   2013 CFTC $840,000
T&H Northwest, LLC   2012 WA-FIN $22,500
T.H.E. Financial Group, Ltd.   2003 FL-OFR $15,000
T.S. Phillips Investment Inc.   2010 OK-SEC $5,000
T.S. Phillips Investment Inc.   2019 OK-SEC $10,000
Taberna Capital Management   2015 SEC $21,500,000
Tactical Wealth Management LLC   2020 KY-FIN $5,000
Tag and Tackle Outfitters, LLC   2013 MO-SEC $5,500
TAG Entertainment USA, Inc. et al.   2007 MD-SEC $380,000
Taglich Brothers, Inc.   2004 SEC $50,000
TAK Consulting LLC   2014 CA-DFPI $37,905
Talimco, LLC   2019 SEC $399,000
Talking Water, LLC et al.   2014 CO-SEC $25,000
Talkot Capital   2013 SEC $84,537
Tallinex   2018 CFTC $10,971,279
Tamborello Capital Management LLC   2005 TX-SEC $75,015
TangoPoint Partners, LLC   2015 FL-OFR $82,500
Taramar Venture Capital LLC et al.   2002 OR-FIN $55,000
Target Capital Management, LLC   2017 FL-OFR $18,000
Tarpon Capital Management L.P.   2005 TX-SEC $80,000
Tatco Private Wealth Management LLC   2016 FL-OFR $7,500
Tauban, Inc.   2016 MI-SEC $20,000
Tax Recovery Group, Inc.   2006 CT-SEC $10,000
Tax Recovery Team   2011 IL-SEC $5,000
TBOC, LLC   2012 WA-FIN $8,500
TC & P Trade dba High Capital   2008 MD-SEC $270,000
TC Credit Service d/b/a Del-Mair Group   2012 CFTC $2,600,000
TCMP3 Partners L.P., TCMP3 Capital LLC, and Titan Capital Management, LLC   2007 SEC $1,045,060
TD Ameritrade Charles Schwab Corp. financial services 2014 SEC $100,800
TD Ameritrade Inc. Charles Schwab Corp. financial services 2011 SEC $10,000,000
TD Ameritrade Inc. Charles Schwab Corp. financial services 2015 TX-SEC $400,000
TD Ameritrade, Inc. Charles Schwab Corp. financial services 2018 SEC $500,000
TD Ameritrade, Inc. Charles Schwab Corp. financial services 2009 MULTI-AG $456,000,000
TD Ameritrade, Inc. Charles Schwab Corp. financial services 2015 MA-AG $160,000
TD Bank Toronto-Dominion Bank financial services 2013 SEC $15,000,000
TD Options LLC Toronto-Dominion Bank financial services 2009 SEC $1,000,000
TD Securities (USA) LLC Toronto-Dominion Bank financial services 2016 SEC $500,000
TD Waterhouse Investor Services, Inc. Toronto-Dominion Bank financial services 2004 SEC $2,000,000
TDA Advantage Trust   2010 CT-SEC $30,000
Team Heat, LLC   2009 AZ-SEC $1,047,931
Team JollyPIPster, LLC   2005 AK-DBS $75,000
Team Resources Inc. and School Creek Production and Development Fund I   2012 NH-BSR $12,500
TeamVinh.com LLC   2017 SEC $2,681,072
Tech Financial Group   2014 ME-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.