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
SunTrust Investment Services, Inc. Truist Financial financial services 2010 FINRA $1,440,000
SunTrust Investment Services, Inc. Truist Financial financial services 2008 FINRA $700,000
SunTrust Investment Services, Inc. Truist Financial financial services 2008 FINRA $300,000
SunTrust Robinson Humphrey, Inc. Truist Financial financial services 2016 FINRA $1,500,000
SunTrust Robinson Humphrey, Inc. Truist Financial financial services 2011 FINRA $5,000,000
SunTrust Robinson Humphrey, Inc. Truist Financial financial services 2008 FINRA $1,650,000
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
Svaram Group, Inc. and Svaram Global, LLC   2021 WA-SEC $6,000
Sweetwater Investments, Inc.   2019 SEC $1,164,747
Swift Excelsior Investments, Inc.   2009 IN-SEC $5,000
Swift Trade Securities USA, Inc.   2002 FINRA $101,000
Swiss Re Financial Products Corporation Swiss Re financial services 2007 SEC $95,000
SWS Financial Services   2009 FINRA $70,000
SWS Financial Services   2004 FINRA $66,468
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 Clearing, Inc. Charles Schwab Corp. financial services 2013 FINRA $1,150,000
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
TD Waterhouse Investor Services, Inc. Toronto-Dominion Bank financial services 2004 FINRA $150,000
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
Tech Power Inc.   2016 CFTC $250,000
Technology Communication Management, L.L.C. et al.   2012 CA-DFPI $1,553,235
Technology Communication Management, LLC   2009 VA-SEC $640,000
TechnoVision Management, LLC   2017 CA-DFPI $50,000
TECSEC, INC.   2011 VA-SEC $5,000
Tejas Securities Group, Inc.   2005 FINRA $10,000
Tel-Instrument Electronics Corp.   2014 SEC $75,000
Telegram Group Inc.   2020 SEC $18,500,000
Telex Mobile Holdings, Inc.   2018 SEC $500,870
TelexElectric, LLLP   2018 SEC $2,022,239
TelexFREE, Inc.   2015 MT-SEC $15,000
TelexFREE, LLC   2015 MT-SEC $15,000
Telkonet, Inc. and Telkonet Communications, Inc.   2008 MD-SEC $25,000
Tellone Management Group, Inc.   2017 SEC $75,000
Temple Securities, Ltd.   2007 SEC $268,346
Ten X Holdings, LLC   2017 IL-SEC $110,000
Tenco, Inc.   2011 CFTC $140,000
Tenet Healthcare Corporation Tenet Healthcare healthcare services 2007 SEC $10,000,000
TENGFEI, INC.   2009 VA-SEC $33,000
TENGFEI, INC.   2013 VA-SEC $32,000
Terra Energy Investment Fund 1 L.L.C.   2006 IL-SEC $10,000
Terra Energy Resources, Ltd.   2013 CT-SEC $100,000
Terra Firma Investments, Inc.   2012 OR-FIN $200,000
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.