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
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 Investment Advisors LLC   2021 SEC $846,774
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
Region Home Buyers, LLC   2021 IN-SEC $5,000
Regional Brokers, Inc.   2007 SEC $100,000
Regions Bank Regions Financial financial services 2010 SEC $1,000,001
Regions Bank Regions Financial financial services 2009 SEC $1,000,000
REI Exchange LLC and TMG Ventures Inc.   2009 OR-FIN $150,000
Reign Capital Management, LLC   2017 WA-FIN $10,000
Rein Construction, LLC   2015 MI-SEC $5,000
Remington Wealth Management, LLC   2013 KY-FIN $20,000
Remote Mowers, LLC   2021 KY-FIN $20,000
Renaissance Asset Management LLC   2009 CFTC $5,800,000
Renaissance Institutional Management   2018 NH-BSR $5,000
Renaissance Laser LP   2015 SC-SEC $5,000
Renaissance Management, LLC et al.   2016 CA-DFPI $20,275,000
Renaud & Company, LLC   2012 MO-SEC $11,226
Renberg Capital Management, Inc.   2002 SEC $40,000
Renegade Investment Properties, Inc.   2017 MO-SEC $18,500
Renn Capital Group, Inc.   2005 SEC $2,961,362
Republic Cash Advance, Inc. and Quick Cash Advance, Inc.   2002 AZ-SEC $6,348,492
Republic New York Securities Corporation HSBC financial services 2001 CFTC $5,000,000
Rescon Technology Corp.   2013 CT-SEC $50,000
Research Capital, LLC   2003 SEC $6,337
Research Investment Group, Inc.   2004 SEC $24,721
Research Money Management, LLC   2016 WA-FIN $32,000
Reserve Oil & Gas, Inc.   2008 AZ-SEC $20,000
Resilience Management, LLC   2017 SEC $250,000
Resilient Partners, LLC   2009 CT-SEC $1,000,000
Resolute Capital Partners, Ltd. et al.   2021 WA-SEC $263,525
Resonanceoptions   2019 GA-SEC $50,000
Resort Holdings International Inc.   2008 OR-FIN $300,000
Resource Trading Group Inc.   2012 OR-FIN $97,500
Resources Planning Group, Inc.   2018 IL-SEC $5,000
Resources Planning Group, Inc.   2009 IN-SEC $100,000
RESULTS AUCTION, LLC   2018 VA-SEC $79,255
Retire Happy, LLC et al.   2021 MO-SEC $5,596,783
Retirement and College Financial Services of Vermont LLC   2019 VT-FIN $35,000
Retirement Base Camp   2019 WA-FIN $10,000
Retirement Capital Strategies, Inc.?   2018 SEC $50,000
Retirement Capital Strategies, Inc.?   2018 SEC $50,000
Retirement Investment Advisors, Inc. and Research Holdings, LLC   2015 SEC $219,243
Retirement Planners of America, Inc.   2011 IN-SEC $555,614
Retirement Planning Center   2005 AZ-SEC $167,944
Retro Wall Street Advisors et al.   2015 MD-SEC $40,000
Revelle Resources Inc.   2012 IL-SEC $50,000
Revelle Resources, Inc.   2012 MN-FIN $5,000
Revere Securities LLC   2014 ME-SEC $35,000
Revlon MacAndrews & Forbes diversified 2013 SEC $850,000
Revolutionary Concepts, Inc.   2018 SEC $25,000
Reye Partners Asset Management, LLC   2020 VA-SEC $6,000
RFF GP LLC and KGW Capital Management LLC   2015 CFTC $7,515,888
RG Capital Management, LLC   2017 CA-DFPI $30,000
Rhino Advisors Inc.   2003 SEC $1,000,000
Rhino Linings Corp.   2020 WA-FIN $5,937
Rhino Trading, LLC and Fat Squirrel Trading Group, LLC   2009 SEC $395,000
Rhoads Lucca Capital Management   2013 IL-SEC $7,585
Rhode Island Commerce Corporation f/k/a Rhode Island Economic Development Corporation   2017 SEC $50,000
Rialto Capital Management, LLC   2020 SEC $350,000
Ribbon Communications Inc. (fka Sonus Networks) Ribbon Communications telecommunications 2018 SEC $1,900,000
Richard A. Norkun & Associates, LLC   2017 NH-BSR $5,000
Richards, Merrill & Peterson Inc.   2016 TX-SEC $30,000
Richards, Merrill & Peterson, Inc.   2015 NE-DBF $8,500
Richards, Merrill & Peterson, Inc.   2016 OR-FIN $15,000
Ridgeback Capital Management LP   2014 SEC $104,500
Riedl First Securities Co. of Kansas   2014 SEC $130,000
RIMA Senvest Management, LLC   2014 SEC $68,000
Rio National Insurance Services, Inc.   2016 CO-SEC $790,719
Rise, Inc.   2004 KY-FIN $23,000
Risk Capital Trading Group, Inc   2006 CFTC $22,000,000
Risk Paradigm Group, LLC   2016 SEC $100,000
Ritchie Capital Management, L.L.C. and Ritchie Capital Global Trading, Ltd.,   2008 NY-AG $40,000,000
Ritchie Multi-Strategy Global Trading Ltd. and Ritchie Capital Management LLC   2008 SEC $39,900,000
River East Financial, Ltd.   2016 MI-SEC $40,000
River Wealth Advisors LLC   2016 PA-BKG $50,000
Riverfront Investment Group, LLC   2016 SEC $300,000
Riverside Lease, LLC   2016 MO-SEC $445,005
Riverstone Holdings LLC Riverstone Holdings private equity (including portfolio companies) 2009 NY-AG $30,000,000
RLGMAN Corp. and STABLE, LLC   2012 AZ-SEC $1,897,393
RLJ Equity Partners LLC   2018 SEC $75,000
RMV Holding Company, LLC   2013 CT-SEC $20,000
RMV Investments, LLC   2013 CT-SEC $10,000
RNT Wealth Management LLC   2016 CT-SEC $100,000
Robert Olsen, P.C.   2007 MO-SEC $5,000
Robert W. Baird & Co.   2016 SEC $250,000
Robert W. Baird & Co.   2009 FINRA $934,510
Robert W. Baird & Co. Incorporated   2015 SEC $500,000
Robert W. Baird & Co. Incorporated   2019 SEC $4,149,167
Robert W. Baird & Co., Inc.   2008 FINRA $200,000
Robertson Stephens Inc. Bank of America financial services 2003 SEC $33,000,000
Robertson Stephens, Inc. Bank of America financial services 2004 FINRA $275,000
Robertson Stephens, Inc. Bank of America financial services 2003 FINRA (*) $14,000,000
Robinhood Financial LLC Robinhood Markets financial services 2020 SEC $65,000,000
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.