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
Caledonia Investments   2016 DOJ_ANTITRUST $480,000
Caledonia Investments plc   2016 FTC $480,000
Calhoun Asset Management, LLC   2012 SEC $50,000
Calivin Bird & Associates, LLC and Island Falls Financial, Inc.   2007 MO-SEC $14,605
Calpine Energy Services, L.P. Calpine utilities and power generation 2004 CFTC $1,500,000
Calton & Associates, Inc.   2019 SEC $305,044
Calumet Specialty Products Partners, L.P. Calumet Specialty Products chemicals 2019 SEC $250,000
Calvert Investment Distributors, Inc. and Calvert Investment Management, Inc.   2017 SEC $22,614,534
Cambridge Adult Day Center Washington, LLC et al.   2017 MO-SEC $1,617,144
Cambridge Investment Research Advisors, Inc.   2016 SEC $225,000
Cambridge Investment Research Advisors, Inc.   2019 SEC $6,187,562
Cambridge Investment Research, Inc.   2012 MS-SEC $6,500
Camden Consulting, Inc. and SKS Consulting, Inc.   2007 SEC $3,925,000
Cana Financial Advisors, LLC   2012 IN-SEC $30,000
Canaccord Genuity Inc.   2016 SEC $550,198
Canaccord Genuity LLC   2019 SEC $250,000
Canadian Imperial Bank of Commerce Canadian Imperial Bank of Commerce financial services 2005 SEC $125,000,000
Canadian Imperial Bank of Commerce Canadian Imperial Bank of Commerce financial services 2005 NY-AG (*) $125,000,000
Canady Holdings, Inc.   2006 MO-SEC $8,267
CanAm Capital Corp. et al.   2012 CA-DBO $17,860,000
Canarsie Capital, LLC   2015 SEC $3,494,938
Canary Capital Partners LLC   2006 NJ-AG $10,000,000
Candide Group, LLC   2017 CA-DBO $15,000
Candy King of America, Inc.   2006 CT-SEC $25,000
Cannabis Plus Missouri, L.L.C. and Can Plus Mo Investments   2020 MO-SEC $11,016
Cannacea LLC   2017 OR-FIN $40,000
Cannas Capital, LLC   2020 MI-SEC $10,000
Cannell Capital, LLC   2020 SEC $150,000
Cannon Operating Company LLC   2015 SC-SEC $5,000
Cannon Operating Company, LLC   2019 IN-SEC $223,664
Canon Inc. Canon electrical and electronic equipment 2019 FTC $2,500,000
Cantella & Co.   2016 SEC $100,000
Cantella & Co., Inc.   2019 SEC $919,597
Cantella & Co., Inc.   2002 FL-OFR $50,000
Cantella & Company, Inc.   2006 SEC $50,000
Canterbury Consulting, Inc.   2017 SEC $172,986
Cantone Research Inc.   2017 CT-SEC $20,000
Cantone Research, Inc. and Cantone Office Center, LLC   2017 NJ-BOS $2,100,000
Cantor Fitzgerald Cantor Fitzgerald financial services 2012 CFTC $700,000
Cantor Fitzgerald & Co. Cantor Fitzgerald financial services 2011 CFTC $100,000
Cantor Fitzgerald & Co. Cantor Fitzgerald financial services 2018 SEC $1,250,000
Cantor Fitzgerald & Co. Cantor Fitzgerald financial services 2019 SEC $647,000
Cantor Fitzgerald & Co. Cantor Fitzgerald financial services 2020 SEC $3,200,000
Capital Analysts Incorporated   2005 SEC $450,000
Capital Analysts, LLC   2018 SEC $1,820,349
Capital Blu Management, LLC   2011 CFTC $17,000,000
CAPITAL BROKERAGE CORPORATION   2000 VA-SEC $7,644
CAPITAL BUSINESS CONSULTANTS LLC   2013 VA-SEC $9,000
Capital Concept Marketing, Inc.   2005 SEC $580,000
Capital Cove Bancorp LLC   2018 SEC $1,829,868
Capital Dynamics, Inc.   2017 SEC $275,000
Capital Energy Group LLC   2018 WA-FIN $31,000
Capital Financial Partners, LLC et al.   2017 SEC $15,700,000
Capital Funding Management, Inc.   2007 MO-SEC $10,165
Capital Guardian Inc.   2012 OR-FIN $20,000
Capital Investment Group, Inc.   2018 MA-SEC $50,000
Capital Investment Group, Inc.   2016 MD-SEC $500,000
Capital Management Group Securities, LLC   2013 IL-SEC $80,000
Capital Management Services, Inc.   2011 MO-SEC $5,000
Capital Market Services, LLC   2014 CFTC $275,000
Capital Markets Advisory, LLC fka Carr Miller Capital Investments, LLC   2012 AR-SEC $30,000
Capital Oil & Gas, Limited   2011 AZ-SEC $732,000
Capital Planning Alliance, Inc.   2010 IL-SEC $21,701
Capital Source Lending LLC   2019 SEC $5,720,451
Capital Ventures LLC   2008 ID-SEC $5,020,000
Capital-E Advisors, LLC   2019 MO-SEC $6,000
CapitalWorks Investment Partners, LLC   2006 SEC $40,000
CAPITOL SECURITIES MANAGEMENT   2010 VA-SEC $15,000
Capitol Securities Management, Inc.   2020 VA-SEC $100,000
Caprock Securities Inc.   2009 TX-SEC $10,000
CapSource, Inc.   2019 MI-SEC $330,000
Capstone FX Quantitative Analysis, Inc. and Beekeepers Fund Capital Management, LLC   2013 CFTC $3,500,000
Capstone Investments   2006 CA-DBO $50,000
Captal Guardian, Inc.   2010 IL-SEC $19,000
Cardiff Lexington Corporation   2018 SEC $25,000
Career Development Services International, LLC   2018 MN-FIN $20,000
Cargile Investment Management Inc.   2019 SEC $70,140
Cargill de Mexico SA De CV Cargill agribusiness 2015 CFTC $500,000
Cargill Inc. Cargill agribusiness 2017 CFTC $10,000,000
Carhart Capital Management, LLC   2016 FL-OFR $46,500
Carlson Capital, L.P.   2010 SEC $2,653,234
Carlyle Group Carlyle Group private equity (including portfolio companies) 2009 NY-AG $20,000,000
Carolina Linkages Inc. dba Carolinks   2008 SC-SEC $100,000
Carr Miller Capital, LLC   2013 NJ-BOS $2,340,000
Carret Securities LLC   2002 ND-SEC $29,000
CarrierEQ Inc. (Airfox)   2018 SEC $250,000
CarrierEQ, Inc. dba AirFox   2018 MA-SEC $100,000
Caruba International, LLC   2005 AL-SEC $20,000
Cash 2 U, LLC and Dos Ninas, LLC and Par 3 Management, LLC   2010 AZ-SEC $3,143,755
Cash Flow Capital, LLC   2012 MD-SEC $13,610
Cashbox Magazine Inc.   2015 SC-SEC $5,000
Casimir Capital L.P.   2009 CT-SEC $15,000
Castle Advisers, LLC   2012 OR-FIN $5,000
Catalyst Capital Advisors LLC   2020 CFTC $10,208,481
Catalyst Capital Advisors, LLC   2020 SEC $10,508,481
Catalyst Financial Resources, LLC   2013 OR-FIN $5,000
Catamount Strategic Advisors, LLC   2017 CA-DBO $88,511
Catharon Software Corp.   2015 AZ-SEC $5,176,559
CBIG CCS, LLC   2019 MI-SEC $20,000
CBIG CCS, LLC   2020 MI-SEC $20,000
CCM Management Group, LLC   2014 CA-DBO $10,500
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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.