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Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$77,810,804,234
Number of Penalty Records: 
5,487
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$8,095,660,13535
JPMorgan Chase$5,978,549,59944
Morgan Stanley$4,122,821,847102
Deutsche Bank$3,994,334,82825
Goldman Sachs$3,888,695,98726
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.
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
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
BGC Partners, Inc. BGC Partners financial services 2020 SEC $1,400,000
Biery, LLC d/b/a Madsen Donuts   2019 VA-SEC $27,000
Big Country AGS, Inc. d/b/a AGS, Inc.   2002 SEC $242,840
Big Sky Motion Pictures, L.L.C. et al.   2011 CA-DFPI $185,000
Big Spring Gold, LLC   2017 FL-OFR $75,000
Big West Telecom Corp.   2005 ID-SEC $160,000
Biglari Capital LLC Biglari Holdings diversified 2018 SEC $75,000
Biglari Holdings Inc. Biglari Holdings diversified 2012 DOJ_ANTITRUST $850,000
Bikini Vending, Inc.   2005 IL-SEC $40,000
Bill Few Associates Inc.   2019 SEC $2,398,304
Bill Few Associates Inc.   2014 PA-BKG $75,000
Billion Coupons, Inc.   2010 CFTC $6,200,000
Billionaire Investor Group, The Toole Group Inc., and?Catalyst Traders LLC   2017 CFTC $493,141
Biltmore International Corporation   2020 SEC $125,000
Biltmore Wealth Advisors, LLC   2015 AZ-SEC $5,000
Biltmore Wealth Management, LLC   2018 SEC $183,043
Bimbo Foods Bakeries Distribution, LLC Bimbo Group food products 2015 MD-SEC $50,000
Binary Banc   2016 WA-FIN $12,000
Bio Defense Corp.   2019 SEC $37,475,717
BIO-FUEL DEVELOPMENT COMPANY   2014 VA-SEC $9,300
Bio-Heal Laboratories, Inc.   2006 SEC $618,135
Bio-NRG, LLC   2014 IL-SEC $60,000
BIO-SOLUTIONS FRANCHISE CORP.   2003 VA-SEC $7,000
BioChemics Inc.   2015 SEC $17,897,887
BioElectronics, Corp.   2018 SEC $191,640
Bird Rock Management, LLC et al.   2016 CA-DFPI $45,000
Birinyi Associates, Inc.   2020 SEC $100,000
Birmingham Investments and Birmingham Capital Advisors, LLC   2011 FL-OFR $117,500
Biscayne Capital International, LLC   2016 SEC $158,087
Bison Capital Inc.   2001 ND-SEC $5,000
BISYS Fund Services, Inc.   2006 SEC $21,400,000
BitClave PTE Ltd   2020 SEC $29,744,197
Bitqyck Inc.   2019 SEC $8,375,617
BKS Advisors LLC   2018 SEC $75,000
Black Diamond Capital Appreciation Fund, L.P. et al.   2015 NJ-BOS $2,500,000
Black Diamond Capital Solutions LLC, Life Plus Group LLC and Black Diamond Holdings LLC   2015 CFTC $76,000,000
Black Diamond Forex LP, BDF Trading LP, and Advanta FX   2020 CFTC $1,200,000
Black Diamond Research, LLC   2006 CT-SEC $10,900
Black Platinum Holdings, LLC and GSI Global, Inc.   2018 AZ-SEC $230,000
Blackbay Capital Advisors   2012 MO-SEC $5,000
Blackboard, Inc.   2004 DC-DISB $5,000
Blackbook Capital, LLC   2016 NH-BSR $5,000
Blackbox Pulse, LLC   2019 CFTC $2,712,807
BlackRock Advisors LLC BlackRock financial services 2015 SEC $12,000,000
Blackrock Fund Advisors BlackRock financial services 2017 SEC $1,500,000
BlackRock Inc. BlackRock financial services 2017 SEC $340,000
BlackRock Institutional Trust Company BlackRock financial services 2014 SEC $1,675,350
BlackRock Institutional Trust Company NA BlackRock financial services 2012 CFTC $250,000
Blackstone Group Blackstone private equity (including portfolio companies) 2015 SEC $39,000,000
Blackstreet Capital Management, LLC   2016 SEC $2,622,737
Blackthorn Investment Group   2013 SEC $520,207
Blackwell Donaldson & Company   2005 OR-FIN $40,000
Blaine Capital, LLC   2018 CT-SEC $5,000
Blazefly, Inc.   2018 IA-INS $186,968
Blazer Financial Advisors, Inc.   2019 GA-SEC $5,000
Blazin' Enterprises, Inc. and Craft Enterprises, LLC   2012 HI-SEC $25,000
Block.one   2019 SEC $24,000,000
Blockchain of Things Inc.   2019 SEC $250,000
Blockweather Holdings, LLC   2018 MI-SEC $60,000
Bloomberg Tradebook LLC Bloomberg information technology 2020 SEC $5,000,000
BLOOP FROZEN YOGURT, LLC   2018 VA-SEC $45,000
Blue Bit Banc et al.   2019 CFTC $3,346,405
Blue Bottle Limited   2007 SEC $10,846,785
Blue Castle Films LLC et al.   2015 OR-FIN $140,000
Blue Chip Focus Fund, LP et al.   2013 WA-FIN $30,000
Blue Coast Financial Group, Inc.   2010 CT-SEC $25,000
Blue Crab Partners, LLC   2017 IN-SEC $5,000
Blue Gold co LC   2020 WA-SEC $11,250
BLUE LIGHTNING ENTERPRISES INC.   2015 VA-SEC $5,000
Blue River Capital LLC   2005 SEC $150,000
Blue Sky Capital Management Corp.   2012 CFTC $140,000
Blue Water Financial, LLC   2020 PA-BKG $40,000
Bluefin Trading, LLC   2019 SEC $303,638
Bluefire Renewables, Inc. BlueFire Renewables utilities and power generation 2016 SEC $25,000
BlueLinx Holdings Inc. Cerberus Capital Management private equity (including portfolio companies) 2016 SEC $265,000
Bluepac Management LLC   2012 AL-SEC $7,000
Blueray Technologies L.L.C. and Blue Ray Technologies, Inc.   2008 CA-DFPI $50,000
BlueRay Technologies, LLC et al.   2012 WA-FIN $12,500
Blyth & Associates, Inc.   2019 SEC $103,071
BMA Securities, LLC   2020 SEC $333,537
BMO Capital Markets Corp. Bank of Montreal financial services 2019 SEC $1,950,000
BMO Capital Markets Corporation Bank of Montreal financial services 2019 SEC $3,946,000
BMO Capital Markets GKST Inc. Piper Sandler financial services 2015 SEC $250,000
BMO Harris Financial Advisors Inc. and BMO Asset Management Corp. Bank of Montreal financial services 2019 SEC $37,980,000
BNB Capital, Inc.   2002 SEC $5,000
BNB Wealth Management, LLC   2020 SEC $74,417
BNP Paribas Securities BNP Paribas financial services 2015 CFTC $140,000
BNP Paribas Securities Corp. BNP Paribas financial services 2020 SEC $250,000
BNY Mellon Bank of New York Mellon financial services 2017 SEC $6,600,000
BNY Mellon Capital Markets LLC Bank of New York Mellon financial services 2011 TX-SEC $500,000
BNY Mellon Capital Markets, LLC Bank of New York Mellon financial services 2015 SEC $120,000
BNY Mellon Securities LLC Bank of New York Mellon financial services 2011 SEC $24,045,447
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.