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
Ardin Logistics, LLC   2007 MD-SEC $100,000
Ardsley Advisory Partners   2013 SEC $815,071
Ares Management LLC Ares Management private equity (including portfolio companies) 2020 SEC $1,000,000
Argo Group International Holdings, Ltd.   2020 SEC $900,000
Argyle Capital, LLC   2007 CT-SEC $20,000
Aria Partners GP, LLC   2018 SEC $150,000
Aristeia Capital, LLC   2011 SEC $1,762,776
Arizona Acquisitions Group LLC   2021 AZ-SEC $505,900
Arizona Gold Processing, LLC and AZGO, LLC   2013 AZ-SEC $1,242,275
Arizona Idaho Mining, LLC   2005 ID-SEC $1,730,000
Arizona Investment Advisers, Inc.   2001 AZ-SEC $3,050,000
Arizona Metro Direct Information Services Inc.   2001 OR-FIN $23,500
Arjent Capital Markets LLC and Chicago Trading Managers LLC   2013 CFTC $1,800,000
Ark Asset Management Co., Inc.   2010 SEC $750,000
Arlington Capital Management, Inc.   2018 SEC $125,000
Armadillo Energy, Inc.   2014 WA-FIN $23,000
Armajaro Trading Limited   2005 CFTC $35,000
Armared Dragon, Inc.   2015 IL-SEC $10,000
ARMKAT LLC   2019 CFTC $140,000
Armstrong Capital Ltd. and Bay Capital Investment Ltd.   2007 SEC $1,795,000
ARO Equity, LLC   2020 CT-SEC $300,000
ARRG Corp.   2016 SEC $410,753
Artience Capital Management, LLC   2013 CA-DFPI $10,000
Artis Capital Management   2016 SEC $8,878,015
Arvest Asset Management   2013 OK-SEC $20,000
Ascend Capital, LLC   2003 SEC $46,258
Ascenergy LLC   2017 SEC $6,859,690
Ascension Energy Group, Inc.   2016 MI-SEC $60,000
Ascension Investments, Inc.   2010 CO-SEC $92,748
Asensio & Company, Inc.   2000 FINRA $75,000
Ashland Partners L.P.   2014 WA-FIN $30,000
Ashlin Capital, LLC and Kyoto Capital Group, LLC   2007 SEC $455,700
Ashmore Family Foundation   2008 ND-SEC $65,223
ASI Capital, LLC et al.   2020 MI-SEC $5,000
Askar Corporation   2011 FINRA $45,000
ASM Financial Funding Corp.   2008 MD-SEC $200,000
ASMAC Financial, Inc.   2010 SEC $133,995
Aspen Wealth Management, Inc.   2017 MO-SEC $20,000
Assemblies of God Credit Union   2016 MO-SEC $20,000
Assemblies of God Loan Fund   2017 MO-SEC $10,000
Assemblies of God Loan Fund   2005 ND-SEC $10,000
Asset & Financial Planning, Ltd.   2010 CT-SEC $11,150
Asset Advisors, LLC   2011 SEC $20,000
Asset Capital Consulting, Inc.   2014 FL-OFR $40,000
Asset Planning Group Inc.   2002 TX-SEC $20,000
Asset Timing Corp.   2000 SEC $5,000
AssetMark, Inc.   2016 SEC $500,000
Assisted Living Development Company, Inc. et al.   2011 AZ-SEC $2,410,895
Assurance Capital Management, LLC   2017 CFTC $1,969,165
Assured International, Inc. and Sharp Financial Corp.   2000 SEC $1,407,217
Asta Funding, Inc.   2021 SEC $50,000
ATC Investment Group, LLC   2010 DE-SEC $53,158
Athena Capital Research   2014 SEC $1,000,000
Atlantas Group, Inc.   2016 CFTC $7,200,000
ATLANTIC SUN CONTROL, INC.   2013 VA-SEC $20,000
Atos Ltd. Atos information technology 2017 MI-SEC $40,000
Augustine Capital Management LLC   2017 SEC $878,305
Aurifex Commodities Research Company   2008 CFTC $150,000
Auriga Global Investors, Sociedad de Valores, S.A.   2015 SEC $618,401
Aurora Investment Management Group, LLC   2015 MD-SEC $20,000
AuroraTek Incorporated   2020 AZ-SEC $742,420
Austin & Associates   2006 WA-FIN $30,000
Australia and New Zealand Banking Group Ltd.   2015 CFTC $150,000
Australia and New Zealand Banking Group Ltd.   2012 CFTC $350,000
Authotecq Systems, Inc.   2012 MN-FIN $20,000
Automated Revenue Creation LLC and Guaranteed Results Advertising, LLC   2014 MD-SEC $1,500,000
Avalon Investment & Securities Group, Inc.   2013 OR-FIN $5,000
Avenir Financial Group   2016 FINRA $229,000
Avenue Capital Investment, Inc.   2003 ID-SEC $25,000
AVEO Pharmaceuticals Inc. AVEO Pharmaceuticals pharmaceuticals 2016 SEC $4,000,000
Aviva Investors Americas, LLC   2016 SEC $250,000
AXA Advisors LLC Equitable Holdings financial services 2011 OR-FIN $80,000
AXA Advisors, LLC Equitable Holdings financial services 2012 SEC $100,000
AXA Advisors, LLC Equitable Holdings financial services 2009 SEC $50,000
AXA Advisors, LLC Equitable Holdings financial services 2019 SEC $1,134,152
AXA Advisors, LLC Equitable Holdings financial services 2010 MO-SEC $92,015
AXA Advisors, LLC Equitable Holdings financial services 2019 FINRA $772,000
AXA Advisors, LLC Equitable Holdings financial services 2015 FINRA $600,000
AXA Advisors, LLC Equitable Holdings financial services 2007 FINRA $2,600,000
AXA Advisors, LLC Equitable Holdings financial services 2005 FINRA $900,000
AXA Advisors, LLC Equitable Holdings financial services 2004 FINRA $250,000
AXA Advisors, LLC Equitable Holdings financial services 2004 FINRA $250,000
AXA Rosenberg AXA financial services 2011 SEC $242,000,000
Axcess Automation LLC and Axcess Fund Management LLC   2012 CFTC $41,000,000
Axess Trading Co., Inc.   2006 CFTC $569,437
Axiom Capital Management, Inc.   2010 SEC $60,000
Axius Holdings, LLC   2014 SEC $60,881
AZ Investment Property Experts, LLC and Sandy Beach Esmeralda Development, LLC   2019 AZ-SEC $27,801,783
Azarmehr Law Group   2015 SEC $57,965
Aztec Capital, LLC   2013 CA-DFPI $10,125
B&B Energy of New Orleans Inc.   2017 MS-SEC $19,000
B&B Equity Group LLC et al.   2011 MO-SEC $2,650,649
B&B Worm Farm   2002 OK-SEC $16,400
B.B. Financial Services Group, Inc.   2004 AZ-SEC $174,050
B.C. Ziegler and Company   2015 SEC $250,000
B.T.A. International, Inc.   2018 IL-SEC $117,000
B.Y.B. Entertainment, L.L.C.   2010 AZ-SEC $104,524
Bachrach Asset Management Inc.   2018 SEC $75,000
Back Bay Advisors, L.P.   2002 SEC $150,000
Badge Trading LLC   2016 CFTC $280,000
Baggy Stuff, Inc.   2000 FL-OFR $325,000
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.