Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$76,640,549,067
Number of Penalty Records: 
5,395
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$13,398,455,23576
UBS$11,623,979,90947
Citigroup$8,091,160,13534
JPMorgan Chase$5,023,349,59942
Morgan Stanley$4,104,393,95288
Deutsche Bank$3,994,334,82825
Goldman Sachs$3,738,695,98725
Wells Fargo$2,425,119,26153
American International Group$1,618,900,0005
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.
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Companysort icon Parent Parent Major Industry Year Agency Penalty Amount
Bar-Lo Millennium Corp.   2001 AZ-SEC $10,000
Barcelona Strategies LLC   2018 SEC $542,120
Barclays Bank PLC Barclays financial services 2016 CFTC $560,000
Barclays Capital Barclays financial services 2017 SEC $97,037,659
Barclays Capital Inc. Barclays financial services 2016 SEC $35,000,000
Barclays Capital Inc. Barclays financial services 2014 SEC $15,000,000
Barclays Capital Inc. Barclays financial services 2016 CFTC $800,000
Barclays Capital Inc. Barclays financial services 2017 SEC $12,710,040
Barclays Capital Inc. Barclays financial services 2016 SEC $500,000
Barclays Capital Inc. Barclays financial services 2016 NY-AG $35,000,000
Barki LLC   2011 CFTC $40,904,000
Baron Capital, Inc.   2003 SEC $2,000,000
Barrett & Co.   2015 RI-FIN $10,000
Barrington Capital Management, Inc.   2007 MO-SEC $14,000
Barron Thomas Scottsdale, L.L.C. et al.   2010 AZ-SEC $10,051,294
Barry Callebaut Sourcing AG Barry Callebaut food products 2004 CFTC $25,000
Basic Capital Management, Inc.   2002 SEC $850,000
Basic Investors Inc.   2008 CT-SEC $21,500
BASIN OIL & GAS CORPORATION   2002 VA-SEC $5,500
Basin Oil and Gas Corp.   2004 KY-FIN $7,500
Basin Oil and Gas Corporation   2001 TN-SEC $21,000
Baton Holdings LLC Red Ventures business services 2019 DOJ_CRIMINAL $28,000,000
Baxter, Banks & Smith Ltd.   2000 ND-SEC $5,000
Baxter, Banks and Smith Ltd.   2000 OR-FIN $20,000
Bayes Capital, LLC   2018 SEC $300,000
Bayhill Advisors, Inc.   2018 WA-FIN $20,000
Bayou Technologies, Inc.   2008 CT-SEC $10,000
Baystar Capital Management LLC   2011 USAO $12,112,416
BB&T Securities Truist Financial financial services 2019 SEC $5,709,753
BB&T Securities, LLC Truist Financial financial services 2016 SEC $200,000
BB&T Securities, LLC Truist Financial financial services 2015 SEC $200,000
BB&T Securities, LLC Truist Financial financial services 2018 SEC $100,000
BB&T Securities, LLC Truist Financial financial services 2019 SEC $376,059
BC Capital Group S.A., BC Capital Group International Limited, and BC Capital Group Holdings S.A. BC Capital Group financial services 2016 CFTC $490,246,741
BC Holdings and Investments, LLC   2020 MI-SEC $20,000
BCL, LLC and Sanctus Partners Limited Partnership   2012 AL-SEC $7,500
BDL Manager LLC   2014 SEC $3,297,740
Beacon Development Group   2007 WA-FIN $35,000
Beacon Hill Asset Management, LLC   2004 SEC $600,000
Beacon Investment Management LLC   2019 SEC $165,848
Beacon Rock Investment Advisors, LLC   2013 ID-SEC $5,000
Beacon Wealth Advisory, LLC   2019 MO-SEC $15,000
Beam Suntory Inc. Suntory beverages 2018 SEC $8,181,838
Bear Stearns JPMorgan Chase financial services 2012 MI-AG $275,000,000
Bear Stearns & Co. LLC JPMorgan Chase financial services 2002 MULTI-AG (*) $80,000,000
Bear Wagner Specialists LLC   2004 SEC $16,259,446
Bear, Stearns & Co. Inc. JPMorgan Chase financial services 2003 SEC $80,000,000
Bear, Stearns & Co. Inc. JPMorgan Chase financial services 2003 MULTI-FIN (*) $25,000,000
Bear, Stearns & Co., Inc. JPMorgan Chase financial services 2006 SEC $1,500,000
Bear, Stearns & Co., Inc. JPMorgan Chase financial services 2006 SEC $250,000,000
Bear, Stearns & Co., Inc. JPMorgan Chase financial services 2005 IL-SEC $10,000
Beard Financial Services, Inc.   2016 IL-SEC $5,000
Beasley & Company   2017 TN-SEC $5,000
Beauty Supply Institute, LLC   2020 MD-SEC $10,000
Becker, Jackson & Reed LLC   2018 OR-FIN $60,000
Becker, Jackson & Reed, LLC et al.   2019 MO-SEC $221,195
Believing in Jesus Investments, LLC   2017 AZ-SEC $270,050
BELLA BALLERINA FRANCHISING   2018 VA-SEC $6,500
Bella Funding, L.L.C.   2008 AZ-SEC $10,000
BELLACINO'S, INC.   2005 VA-SEC $8,000
Bellingham Investment Management   2016 CA-DBO $64,120
Belvedere Trading LLC   2019 CFTC $1,100,000
Benchmark Capital Advisors LLC   2019 SEC $45,182
Benchmark Capital Investment, LLC   2013 SC-SEC $10,000
Benchmark Financial Planning, Inc.   2010 MN-FIN $10,000
Benchmark Financial Services, Inc.   2007 CA-DBO $100,000
Benchmark Securities, LLC   2015 SEC $100,000
Beneficial Assistance   2002 AZ-SEC $5,000
Benefit Contract Administrators, Inc. et al.   2009 VA-SEC $11,347,906
Benjamin F. Edwards & Co., Inc.   2019 SEC $3,445,264
Bentley Equities, LLC   2013 CFTC $2,700,000
Berkshire Capital Management Company, Inc. and Eat at Joe's, Ltd. (n/k/a SPYR, Inc.)   2020 SEC $3,500,000
Berkshire Hathaway Inc. Berkshire Hathaway diversified 2014 DOJ_ANTITRUST $896,000
Berkshire Resources LLC and Berkshire (4OL) LLP   2007 WA-FIN $9,000
Berkshire Resources, L.L.C.   2010 SEC $16,255,846
Berman & Company, P.A.   2017 SEC $25,000
Bermingham Wealth Strategies   2019 CT-SEC $100,000
Bernardi Securities, Inc.   2015 SEC $100,000
Berry Resources, Inc.   2007 KY-FIN $5,000
Berry Resources, Inc.   2012 KY-FIN $60,000
Berry Resources, Inc. et al.   2014 CA-DBO $26,700
Berthel Fisher & Company Berthel Fisher financial services 2003 MN-FIN $10,000
Berthel Fisher & Company Financial Services, Inc Berthel Fisher financial services 2019 NH-BSR $415,407
Berthel Fisher & Company Financial Services, Inc. Berthel Fisher financial services 2007 MO-SEC $230,469
Berthel Fisher & Company Financial Services, Inc. Berthel Fisher financial services 2011 MO-SEC $5,000
Berthel Fisher & Company Financial Services, Inc. Berthel Fisher financial services 2013 MO-SEC $80,000
Berthel Fisher and Company Financial Services Inc. Berthel Fisher financial services 2003 ND-SEC $12,303
Berthel Fisher and Company Financial Services Inc. Berthel Fisher financial services 2004 ND-SEC $20,000
Berthel Fisher and Company Financial Services Inc. Berthel Fisher financial services 2006 ND-SEC $8,000
Berthel, Fisher & Company Financial Services, Inc. Berthel Fisher financial services 2007 NE-DBF $5,000
Berwick Black Cattle Co. and Source of Champions   2005 IL-SEC $20,000
Beryl Capital Management, LLC   2016 CA-DBO $45,000
Best Western International, Inc.   2018 MD-SEC $297,000
Best Western International, Inc.   2020 VA-SEC $13,000
Better World Materials Inc.   2012 WA-FIN $10,000
Beverly Hills Wealth Management, LLC   2018 SEC $100,000
BEYOND JUICE, INC.   2008 VA-SEC $150,000
BFK FRANCHISE COMPANY, LLC   2016 VA-SEC $35,500
BFXNA Inc. d/b/a Bitfinex   2016 CFTC $75,000
BGC Financial, L.P. BGC Partners financial services 2019 CFTC $3,000,000
BGC Financial, LP BGC Partners financial services 2019 CFTC $15,000,000
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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.