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
Sommers Financial Management, LLC   2021 WA-SEC $30,000
Son & Carter, Inc.   2006 MO-SEC $50,000
Sonos Capital Advisors, LLC   2015 SC-SEC $10,000
Sorrento Pacific Financial, LLC Atria Wealth Solutions financial services 2019 SEC $49,162
Sound Investment Equity, LLC   2019 MD-SEC $15,000
Soundpost Partners   2013 SEC $113,315
South American Trading, Inc.   2010 IN-SEC $12,772
Southeast Investments, N.C., Inc.   2016 WA-FIN $30,000
Southern 2000, Inc.   2000 FL-OFR $50,000
Southern Connecticut Financial Services, Inc.   2007 CT-SEC $30,000
Southern Homes, L.L.C.   2009 AZ-SEC $1,327,500
Southpoint Capital Advisors   2013 SEC $534,757
Southridge Capital Management LLC   2018 CT-SEC $500,000
Southridge Capital Management LLC and Southridge Advisors LLC   2018 SEC $7,864,064
Southridge Investment Group LLC fka Greenfield Capital Partners LLC   2012 CT-SEC $250,000
Southridge Real Estate Partners L.P. and Ridgebury Partners, LLC   2015 CT-SEC $7,500
Southwest Biofuels, LLC   2012 AZ-SEC $730,711
Southwest Capital Advisors LLC   2005 AZ-SEC $264,558
Southwest Group, LLC   2020 CFTC $75,000
Southwest Securities Inc. Hilltop Holdings financial services 2000 FINRA $500,000
Southwest Securities, Inc. Hilltop Holdings financial services 2005 SEC $10,000,000
Southwest Securities, Inc. Hilltop Holdings financial services 2010 SEC $470,147
Southwest Securities, Inc. Hilltop Holdings financial services 2012 IL-SEC $7,500
Southwest Securities, Inc. Hilltop Holdings financial services 2011 FINRA $650,000
Southwest Securities, Inc. Hilltop Holdings financial services 2011 FINRA $500,000
Southwest Securities, Inc. Hilltop Holdings financial services 2004 FINRA $36,971
Southwest Services, L.L.C.   2020 CFTC $740,968
Southwest Texas Capital L.L.C.   2006 TX-SEC $5,000
Southwest Trust & Financial   2006 AZ-SEC $425,000
Southwestern Union Conference of Seventh-day Adventists   2008 AR-SEC $5,000
Southwind Associates of NJ, Inc. d/b/a Villafranco Wealth Management   2017 SEC $50,000
Sovereign Funding, LLC   2015 AL-SEC $100,000
Spa Marketing LLC   2003 OR-FIN $50,000
SPA' LADI-DA FRANCHISE, INC.   2009 VA-SEC $72,928
Spar Cove Associates, Inc.   2015 ME-SEC $9,000
Spark Trading Group LLC   2019 SEC $694,915
Spartan Capital Securities LLC   2012 NH-BSR $17,500
Spartan Capital Securities LLC   2013 NH-BSR $40,000
SPC Brands, Inc. and Spectrum Pet Care Inc. and Spectrum Pet Food, Inc.   2016 MO-SEC $109,290
Spear Capital Management, Inc.   2011 CT-SEC $5,000
Spear, Leeds & Kellogg Goldman Sachs financial services 2001 FINRA $10,000
Spear, Leeds & Kellogg Specialists LLC Goldman Sachs financial services 2004 SEC $45,272,478
Spear, Leeds & Kellogg, L.P Goldman Sachs financial services 2005 FINRA $1,000,000
Spear, Leeds & Kellogg, L.P. Goldman Sachs financial services 2003 SEC $450,000
Spear, Leeds & Kellogg, L.P. Goldman Sachs financial services 2004 FINRA $75,000
Spectrum Financial Advisors LLC   2019 TN-SEC $5,000
Spectrum Wealth Management LLC   2018 PA-BKG $25,000
Speed of Thought Trading Corp.   2013 CT-SEC $50,000
Spellbinder Funding LLC   2009 WA-FIN $11,000
Spelman & Co.   2009 FINRA $10,000
Spelman & Co. Inc.   2007 OK-SEC $15,000
Spencer International Advisors, Inc.   2010 SEC $75,000
Spencer Pharmaceutical Inc.   2015 SEC $1,000,000
SPF, INC   2013 WA-FIN $10,000
Spiderworx Media LLC   2020 SEC $60,000
Spinner Asset Management, LLC and Spinner Global Technology Fund, Ltd.?   2006 SEC $495,596
Spire Wealth Mangement, LLC   2019 SEC $594,072
Sportball Systems USA, LLC   2020 CA-DFPI $5,000
Sports Dimensions, Inc.   2010 AZ-SEC $5,000
Sports Dimensions, Inc.   2016 IL-SEC $20,000
SpotFN.com and Spot FN, LLC and Binary Holdings and Binary Academics   2016 MO-SEC $542,822
Spring Hill Capital Markets, LLC, et al.   2019 SEC $485,803
Springer Investment Management, Inc.?   2005 SEC $50,000
SQN Capital Management, LLC   2020 SEC $75,000
SSN Advisory, Inc.   2019 SEC $1,666,950
ST Invest LLC d/b/a Trade App   2021 SEC $10,000
St. Andrews Investments, LLC   2015 AK-DBS $50,000
St. Bernard Financial Services, Inc.   2010 AR-SEC $6,500
St. Bernard Financial Services, Inc.   2015 AR-SEC $25,000
St. Germain Investment Management, Inc.   2021 SEC $1,925,250
St. Paul Travelers Companies Inc. Travelers financial services 2005 NM-AG $67,500,000
Stable Road Acquisition Company   2021 SEC $1,000,000
Stafford Financial Firm   2017 MO-SEC $1,162,422
Stan D. Kiefer & Associates   2002 SEC $10,000
Standard and Poor's Financial Services LLC S&P Global information technology 2015 MULTI-AG $19,000,000
Starline Solutions, LLC   2020 OR-FIN $20,000
Starwood Hotel & Resorts Worldwide, Inc. Marriott International hotels 2014 SEC $75,000
State Bonding dba State Bonding California   2011 IN-SEC $1,425,000
State Farm VP Management Corp. State Farm Insurance financial services 2013 PA-BKG $75,000
State Street Bank State Street Corp. financial services 2010 WA-AG $11,700,000
State Street Bank & Trust Co. State Street Corp. financial services 2010 MA-AG (*) $300,000,000
State Street Bank and Trust Co. State Street Corp. financial services 2016 MA-AG (*) $75,500,000
State Street Bank and Trust Company State Street Corp. financial services 2016 SEC $382,400,000
State Street Bank and Trust Company State Street Corp. financial services 2010 SEC $313,300,000
State Street Bank and Trust Company State Street Corp. financial services 2017 SEC $35,300,000
State Street Bank and Trust Company State Street Corp. financial services 2019 SEC $88,780,000
State Street Bank and Trust Company State Street Corp. financial services 2018 NH-BSR $325,000
State Street Global Advisors State Street Corp. financial services 2012 MA-SEC $5,000,000
State Street Global Markets LLC State Street Corp. financial services 2005 FINRA $1,400,000
State Street Research & Management Company State Street Corp. financial services 2005 SEC $585,743
State Street Research Investment Services, Inc. State Street Corp. financial services 2004 FINRA $1,500,000
State Wide Financial Services and Statewide Financial Services Inc.   2016 MO-SEC $38,436
StateTrust Investments, Inc.   2015 SEC $90,000
StateTrust Investments, Inc.   2013 FINRA $1,398,000
Statewide Escrow   2003 WA-FIN $6,500
StatNet Corp.   2011 KY-FIN $15,000
Statoil ASA Equinor oil and gas 2017 CFTC $4,000,000
Statoil, ASA Equinor oil and gas 2006 SEC $10,500,000
Stead-Fast Custom Linings, LLC   2013 CT-SEC $50,000
Steadfast Holdings Group, Inc. fka Beere Financial Group, Inc.   2013 CT-SEC $50,000
Stephen L. Falk & Associates, Inc.   2009 FINRA $7,500
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.