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
Stephen L. Falk & Associates, Inc.   2009 FINRA $7,500
Stephens Inc.   2015 SEC $400,000
Stephens Inc.   2019 SEC $5,489,119
Stephens Inc.   2013 AR-SEC $25,000
Stephens Inc.   2016 FINRA $900,000
Stephens Inc.   2015 FINRA $150,000
Stephens, Inc.   2005 FINRA $110,000
Sterling Advance Marketing, Inc.   2004 MD-SEC $30,000
Sterling Associates   2002 FL-OFR $5,000
Sterling Financial Investment Group   2002 FINRA $40,000
Sterling Global Strategies LLC   2018 SEC $175,000
Sterling Investments Group International, LLC   2012 AZ-SEC $129,000
Sterne, Agee & Leach, Inc.   2015 SEC $80,000
Steven S. Levine Chartered   2001 AZ-SEC $5,000
Steven W. Songer & Associates, Inc.   2012 IN-SEC $5,000
Stewart International Consultants, Ltd.   2011 IL-SEC $10,000
STG Investors LLC   2015 SC-SEC $7,500
Stiefel Laboratories Inc.   2020 SEC $26,510,000
Stifel and Nicolaus & Company, Incorporated Stifel Financial financial services 2019 SEC $6,037,175
Stifel Financial Corporation Stifel Financial financial services 2014 FINRA $1,025,000
Stifel Nicolaus & Co. Stifel Financial financial services 2014 SEC $60,000
Stifel Nicolaus & Company Stifel Financial financial services 2004 FINRA $125,000
Stifel Nicolaus & Company, Inc. Stifel Financial financial services 2010 NJ-BOS $5,415,381
Stifel Nicolaus & Company, Inc. Stifel Financial financial services 2015 FINRA $2,900,000
Stifel, Nicolaus & Co., Inc. Stifel Financial financial services 2016 SEC $24,500,000
Stifel, Nicolaus & Co., Inc. Stifel Financial financial services 2019 SEC $2,700,000
Stifel, Nicolaus & Company Inc. Stifel Financial financial services 2014 NE-DBF $61,000
Stifel, Nicolaus & Company, Inc. Stifel Financial financial services 2015 SEC $500,000
Stifel, Nicolaus & Company, Inc. Stifel Financial financial services 2011 IL-SEC $80,224
Stifel, Nicolaus & Company, Inc. Stifel Financial financial services 2010 MO-SEC $211,617
Stifel, Nicolaus & Company, Inc. Stifel Financial financial services 2012 MO-SEC $1,101,385
Stifel, Nicolaus & Company, Inc. Stifel Financial financial services 2017 MS-SEC $50,000
Stifel, Nicolaus & Company, Inc. Stifel Financial financial services 2001 FINRA $225,000
Stifel, Nicolaus & Company, Incorporated Stifel Financial financial services 2017 SEC $300,000
Stifel, Nicolaus & Company, Incorporated Stifel Financial financial services 2009 MULTI-FIN $525,000
Stifel, Nicolaus & Company, Incorporated Stifel Financial financial services 2020 FINRA $3,650,000
Stilas Financial Services, S.A.   2013 CT-SEC $50,000
Stillwater Capital Partners, Inc. and Stillwater Capital Partners, LLC   2008 CFTC $135,000
Stilwell Value LLC   2015 SEC $250,000
Stirling Capital Management   2014 CA-DFPI $6,500
Stock Investment Management Inc.   2018 VT-FIN $15,000
Stock Markets Institute, Inc.   2012 SEC $75,000
StockCross Financial Services, Inc.   2019 MA-SEC $225,000
StockCross Financial Services, Inc.   2015 FINRA $800,000
StockCross Financial Services, Inc.   2021 CA-DFPI $100,000
Stone & Youngberg, LLC   2005 FINRA $110,000
Stonehouse Asset Management Inc.   2017 PA-BKG $50,000
Stonemor Partners L.P. and Stonemor GP LLC   2019 SEC $250,000
Storm Crow Investments, LLC   2015 MO-SEC $70,784
Stracq, Inc.   2005 SEC $660,000
Straight Line Investment Group LLC   2018 ID-SEC $8,000
Stralem & Company, Inc.   2006 IL-SEC $5,000
Strand, Atkinson, Williams & York, Inc.   2007 MO-SEC $5,000
Strasbourger Pearson Tulcin Wolff Inc.   2010 MT-SEC $92,000
StratagemEq, Inc.   2021 NJ-BOS $110,000
Stratcomm Media Ltd.   2003 SEC $45,400,000
Strategic Capital Alternatives, LLC   2012 ID-SEC $5,000
Strategic Capital Group LLC   2014 SEC $586,290
Strategic Capital Holdings, LLC et al.   2020 OR-FIN $120,000
Strategic Capital Partners Muster Limited and Strategic Wealth Investments, Inc.   2020 SEC $1,031,270
Strategic Planning Group, Inc.   2019 SEC $200,000
Strategic Planning Group, Inc.   2019 MA-SEC $225,000
Strategic Point Investment Advisors LLC and Progressive Financial Strategies LLC   2009 RI-FIN $50,000
Strategic Strategies, Inc.   2002 FL-OFR $40,000
Strategic Wealth Partners, LLC   2021 VA-SEC $20,000
Stratus Franchising, LLC   2011 VA-SEC $20,000
StreamOne FS, LLC   2015 IL-SEC $10,000
StreamOne LLC   2015 IL-SEC $10,000
Strive Financial Group LLC and Wealth Security Firm LLC   2013 MN-FIN $5,000
Strix Leviathan I, LLC   2019 WA-FIN $18,000
Strong Capital Management Co. Wells Fargo financial services 2004 MULTI-AG (*) $115,000,000
Strong Capital Management, Inc. Wells Fargo financial services 2004 SEC $80,000,000
Strong Capital Management, Inc. Wells Fargo financial services 2006 SEC $2,185,927
Strong Investment Management   2019 SEC $1,061,157
Strongbow Investments GP, LLC   2010 CFTC $2,800,000
Stroud Capital Management, LLC, TS Capital Partners, LLC, and TS Capital Management, LLC   2016 CFTC $4,723,246
Structured Portfolio Management, L.L.C., SPM Jr., L.L.C., and SPM IV, L.L.C.   2014 SEC $300,000
Strudwick & Associates, Inc.   2020 MD-SEC $1,000,000
Strudwick Wealth Strategies, Inc.   2018 NH-BSR $280,000
Stuckey Group, L.P., Stuckey Group II, L.P. and Oakwood Development Company, L.P.   2012 CFTC $250,000
Students of Strength, Inc.   2021 SEC $222,517
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
SummerHaven Investment Management LLC   2021 CFTC $500,000
Summit Brokerage Services, Inc.   2013 AR-SEC $8,500
Summit Brokerage Services, Inc.   2006 MT-SEC $198,020
Summit Brokerage Services, Inc.   2019 FINRA $880,000
Summit Brokerage Services, Inc.   2016 FINRA $500,000
Summit Energy Services Inc. Schneider Electric electrical and electronic equipment 2015 CFTC $140,000
Summit Financial Advisors Inc.   2021 SEC $25,000
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
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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.