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
The Tulving Company, Inc.   2019 CFTC $15,761,432
The Undetectables Movie, LLC   2018 GA-SEC $50,000
The Williams Financial Group Inc.   2000 TX-SEC $10,000
The Wilson Williams Financial Group   2006 TX-SEC $65,000
The Yorkshire Group, Inc.   2016 CFTC $1,569,801
Theglobe.com   2001 NY-AG $100,000
THEODORE J. HOGAN & ASSOCIATES   2007 VA-SEC $53,117
Theodore J. Hogan & Associates, LLC   2011 AZ-SEC $2,253,310
TherapeuticsMD Inc.   2019 SEC $200,000
Third Eye Systems, LLC   2001 WA-FIN $9,000
Third Point LLC   2019 FTC $609,810
Third Point LLC   2019 DOJ_ANTITRUST $609,810
Third Ridge Capital LP   2005 ND-SEC $5,000
Thirteen Thirty-Two, Inc.   2010 CFTC $860,000
THL Managers V, LLC and THL Managers VI, LLC   2018 SEC $6,506,016
Thomas G. Grace Advisors   2008 MN-FIN $5,000
Thomas Weisel Partners Stifel Financial financial services 2005 FINRA $1,750,000
Thomas Weisel Partners LLC Stifel Financial financial services 2004 SEC $12,500,000
Thomas Weisel Partners LLC Stifel Financial financial services 2006 CT-SEC $52,480
Thomas Weisel Partners LLC Stifel Financial financial services 2005 MULTI-FIN (*) $5,000,000
Thomas Weisel Partners, LLC Stifel Financial financial services 2008 FINRA $200,000
Thome Financial Management, LLC   2012 WA-FIN $17,500
Thompson Consulting Inc.   2010 SEC $400,000
Thompson Price Holding Inc.   2009 SEC $288,815
Thomson Financial Advisors LLC   2019 WA-FIN $22,000
Thorne Trading & Investment Management   2014 OR-FIN $5,000
Thornton Investment Management PLLC   2020 VT-FIN $30,000
Thoroughbred Financial Services, LLC   2018 SEC $1,108,618
Three Bridge Wealth Advisors, LLC   2019 SEC $60,000
Three Nines Minerals Ltd. Et al.   2013 OR-FIN $474,000
Thrive Learning Institute   2009 IL-SEC $22,734
Thrivent Investment Management Inc. Thrivent Financial financial services 2020 IL-SEC $400,000
Thunderstruck Investments Limited   2017 MO-SEC $122,092
TIAA-CREF Individual & Institutional Services, LLC TIAA financial services 2019 SEC $2,395,722
Tiber Creek Corp.   2019 SEC $209,797
Tiburon Research Group, Inc.   2018 CA-DFPI $5,000
Tidewater Financial Group PC   2016 NH-BSR $14,500
Tidewell DeWitt Investment Services, LLC   2007 AL-SEC $7,262
Tier One, Inc.   2007 SEC $85,500
Tierion, Inc.   2020 SEC $250,000
Tiffany Capital Advisors, Inc.   2001 SEC $40,000
Tilden Loucks & Woodnorth and LLC, Lasalle St. Securities, LLC   2012 SEC $200,000
Tillage Commodities, LLC   2017 CFTC $150,000
TIRE RECYCLERS, INC.   2001 VA-SEC $15,000
Tital Funding Group 1, LLC and Titan Capital Holdings LLC   2019 AZ-SEC $39,740
Titan Capital Real Estate Fund I, LLC   2019 AZ-SEC $3,076,315
Titan Trade Club   2018 MN-FIN $10,000
Titan Wealth Management LLC   2007 TX-SEC $9,000
TJM Proprietary Trading LLC   2009 SEC $541,000
TLC Investments & Trade Co.   2001 SEC $106,600,000
TMA Franchise Systems, Inc. d/b/a The Mosquito Authority   2015 VA-SEC $22,500
TMTE, Inc. aka Metals.com aka Chase Metals, Inc.   2020 AK-DBS $700,000
TMTE, Inc., a/k/a Chase Metals, LLC   2020 MO-SEC $38,000
Todderwatch.com, Inc.   2002 FL-OFR $25,000
TokenLot LLC   2018 SEC $478,929
Top of Texas Financial Strategies Inc.   2003 TX-SEC $5,000
Torrey Pines Securities, Inc.   2001 FINRA $14,000
Toshiba Corporation Toshiba electrical and electronic equipment 2019 FTC $2,500,000
Total Call Group, Inc.   2012 CFTC $4,800,000
Total Gas & Power North America, Inc. Total S.A. oil and gas 2015 CFTC $3,600,000
TOTE Fund LLC and MJS Capital Management LLC   2015 CFTC $871,439
Touchstone Funds Group Trust   2013 AK-DBS $5,000
Touradji Capital Management, L.P.   2011 SEC $1,303,336
Tower Research Capital LLC   2019 CFTC $67,493,849
Tower Square Securities   2002 FINRA $4,500,000
Tower Square Securities, Inc.   2007 CT-SEC $300,000
Towle Farm Mortgage Investors, LLC   2018 NH-BSR $8,000
Towle Farm Mortgage Investors, LLC   2019 NH-BSR $24,350
Town Residential   2015 NY-AG $7,500
TPEG Securities, LLC   2020 CT-SEC $8,950
TPG Advisors LLC   2016 SEC $328,437
TPG Capital TPG Capital private equity (including portfolio companies) 2001 SEC $50,000
TPG Capital Advisors, LLC TPG Capital private equity (including portfolio companies) 2017 SEC $12,487,620
Trade Exchange Network Limited   2005 CFTC $150,000
Trade, LLC   2013 CFTC $39,800,000
Trade-PMR Inc.   2016 CT-SEC $75,000
Trade-PMR Inc.   2018 TX-SEC $25,000
Tradebot Systems Inc.   2014 SEC $50,000
Trademark Capital Management, LLC and Blue Investments, LLC   2009 AZ-SEC $3,100,880
Trademark INT PTT AB   2020 CA-DFPI $7,500
TradeMasters USA, LLC   2018 CFTC $674,504
Tradenet Capital Markets Ltd.   2020 SEC $130,000
Tradeology.com, Inc.   2010 WA-FIN $7,000
Trader's International Return Network   2013 CFTC $22,800,000
Trader's Way   2017 MO-SEC $12,000
TradeRight Corp.   2008 IL-SEC $10,000
TradeStation Securities, Inc.   2008 FINRA $750,000
Trading Epic   2019 MO-SEC $148,335
Trager, L.L.C.   2019 AZ-SEC $50,000
Train, Babcock Advisors LLC   2017 SEC $1,700,725
Trans Global Investments, LLC   2013 CFTC $340,000
Trans World Animal Health, LLC   2011 IN-SEC $10,000
Transamerica Asset Management, Inc. Aegon financial services 2020 SEC $5,946,782
Transamerica Financial Advisors Aegon financial services 2014 SEC $1,107,248
Transamerica Financial Advisors, Inc. Aegon financial services 2019 SEC $6,023,072
Transamerica Financial Advisors, Inc. Aegon financial services 2020 FINRA $8,800,000
Transcend Capital, LP   2004 FINRA $10,000
TransCoastal Partners, LLC   2007 CA-DFPI $25,000
TRANSCOMMUNITY FINANCIAL CORP.   2006 VA-SEC $58,900
Traverse Bay Investments Company, Ltd.   2012 IN-SEC $32,000
Traverse Bay Investments Company, Ltd.   2015 MI-SEC $10,000
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.