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
Stralem & Company, Inc.   2006 IL-SEC $5,000
Straight Line Investment Group LLC   2018 ID-SEC $8,000
Stracq, Inc.   2005 SEC $660,000
Storm Crow Investments, LLC   2015 MO-SEC $70,784
Stonemor Partners L.P. and Stonemor GP LLC   2019 SEC $250,000
Stonehouse Asset Management Inc.   2017 PA-BKG $50,000
Stone & Youngberg, LLC   2005 FINRA $110,000
StockCross Financial Services, Inc.   2019 MA-SEC $225,000
StockCross Financial Services, Inc.   2015 FINRA $800,000
Stock Markets Institute, Inc.   2012 SEC $75,000
Stock Investment Management Inc.   2018 VT-FIN $15,000
Stirling Capital Management   2014 CA-DFPI $6,500
Stilwell Value LLC   2015 SEC $250,000
Stillwater Capital Partners, Inc. and Stillwater Capital Partners, LLC   2008 CFTC $135,000
Stilas Financial Services, S.A.   2013 CT-SEC $50,000
Stifel, Nicolaus & Company, Incorporated Stifel Financial financial services 2017 SEC $300,000
Stifel, Nicolaus & Company, Incorporated Stifel Financial financial services 2009 MULTI-FIN $525,000
Stifel, Nicolaus & Company, Incorporated Stifel Financial financial services 2020 FINRA $3,650,000
Stifel, Nicolaus & Company, Inc. Stifel Financial financial services 2015 SEC $500,000
Stifel, Nicolaus & Company, Inc. Stifel Financial financial services 2011 IL-SEC $80,224
Stifel, Nicolaus & Company, Inc. Stifel Financial financial services 2010 MO-SEC $211,617
Stifel, Nicolaus & Company, Inc. Stifel Financial financial services 2012 MO-SEC $1,101,385
Stifel, Nicolaus & Company, Inc. Stifel Financial financial services 2017 MS-SEC $50,000
Stifel, Nicolaus & Company, Inc. Stifel Financial financial services 2001 FINRA $225,000
Stifel, Nicolaus & Company Inc. Stifel Financial financial services 2014 NE-DBF $61,000
Stifel, Nicolaus & Co., Inc. Stifel Financial financial services 2016 SEC $24,500,000
Stifel, Nicolaus & Co., Inc. Stifel Financial financial services 2019 SEC $2,700,000
Stifel Nicolaus & Company, Inc. Stifel Financial financial services 2010 NJ-BOS $5,415,381
Stifel Nicolaus & Company, Inc. Stifel Financial financial services 2015 FINRA $2,900,000
Stifel Nicolaus & Company Stifel Financial financial services 2004 FINRA $125,000
Stifel Nicolaus & Co. Stifel Financial financial services 2014 SEC $60,000
Stifel Financial Corporation Stifel Financial financial services 2014 FINRA $1,025,000
Stifel and Nicolaus & Company, Incorporated Stifel Financial financial services 2019 SEC $6,037,175
Stiefel Laboratories Inc.   2020 SEC $26,510,000
STG Investors LLC   2015 SC-SEC $7,500
Stewart International Consultants, Ltd.   2011 IL-SEC $10,000
Steven W. Songer & Associates, Inc.   2012 IN-SEC $5,000
Steven S. Levine Chartered   2001 AZ-SEC $5,000
Sterne, Agee & Leach, Inc.   2015 SEC $80,000
Sterling Investments Group International, LLC   2012 AZ-SEC $129,000
Sterling Global Strategies LLC   2018 SEC $175,000
Sterling Financial Investment Group   2002 FINRA $40,000
Sterling Associates   2002 FL-OFR $5,000
Sterling Advance Marketing, Inc.   2004 MD-SEC $30,000
Stephens, Inc.   2005 FINRA $110,000
Stephens Inc.   2015 SEC $400,000
Stephens Inc.   2019 SEC $5,489,119
Stephens Inc.   2013 AR-SEC $25,000
Stephens Inc.   2016 FINRA $900,000
Stephens Inc.   2015 FINRA $150,000
Stephen L. Falk & Associates, Inc.   2009 FINRA $7,500
Steadfast Holdings Group, Inc. fka Beere Financial Group, Inc.   2013 CT-SEC $50,000
Stead-Fast Custom Linings, LLC   2013 CT-SEC $50,000
Statoil, ASA Equinor oil and gas 2006 SEC $10,500,000
Statoil ASA Equinor oil and gas 2017 CFTC $4,000,000
StatNet Corp.   2011 KY-FIN $15,000
Statewide Escrow   2003 WA-FIN $6,500
StateTrust Investments, Inc.   2015 SEC $90,000
StateTrust Investments, Inc.   2013 FINRA $1,398,000
State Wide Financial Services and Statewide Financial Services Inc.   2016 MO-SEC $38,436
State Street Research Investment Services, Inc. State Street Corp. financial services 2004 FINRA $1,500,000
State Street Research & Management Company State Street Corp. financial services 2005 SEC $585,743
State Street Global Markets LLC State Street Corp. financial services 2005 FINRA $1,400,000
State Street Global Advisors State Street Corp. financial services 2012 MA-SEC $5,000,000
State Street Bank and Trust Company State Street Corp. financial services 2016 SEC $382,400,000
State Street Bank and Trust Company State Street Corp. financial services 2010 SEC $313,300,000
State Street Bank and Trust Company State Street Corp. financial services 2017 SEC $35,300,000
State Street Bank and Trust Company State Street Corp. financial services 2019 SEC $88,780,000
State Street Bank and Trust Company State Street Corp. financial services 2018 NH-BSR $325,000
State Street Bank and Trust Co. State Street Corp. financial services 2016 MA-AG (*) $75,500,000
State Street Bank & Trust Co. State Street Corp. financial services 2010 MA-AG (*) $300,000,000
State Street Bank State Street Corp. financial services 2010 WA-AG $11,700,000
State Farm VP Management Corp. State Farm Insurance financial services 2013 PA-BKG $75,000
State Bonding dba State Bonding California   2011 IN-SEC $1,425,000
Starwood Hotel & Resorts Worldwide, Inc. Marriott International hotels 2014 SEC $75,000
Starline Solutions, LLC   2020 OR-FIN $20,000
Standard and Poor's Financial Services LLC S&P Global information technology 2015 MULTI-AG $19,000,000
Stan D. Kiefer & Associates   2002 SEC $10,000
Stafford Financial Firm   2017 MO-SEC $1,162,422
St. Paul Travelers Companies Inc. Travelers financial services 2005 NM-AG $67,500,000
St. Bernard Financial Services, Inc.   2010 AR-SEC $6,500
St. Bernard Financial Services, Inc.   2015 AR-SEC $25,000
St. Andrews Investments, LLC   2015 AK-DBS $50,000
SSN Advisory, Inc.   2019 SEC $1,666,950
SQN Capital Management, LLC   2020 SEC $75,000
Springer Investment Management, Inc.?   2005 SEC $50,000
Spring Hill Capital Markets, LLC, et al.   2019 SEC $485,803
SpotFN.com and Spot FN, LLC and Binary Holdings and Binary Academics   2016 MO-SEC $542,822
Sports Dimensions, Inc.   2010 AZ-SEC $5,000
Sports Dimensions, Inc.   2016 IL-SEC $20,000
Sportball Systems USA, LLC   2020 CA-DFPI $5,000
Spire Wealth Mangement, LLC   2019 SEC $594,072
Spinner Asset Management, LLC and Spinner Global Technology Fund, Ltd.?   2006 SEC $495,596
Spiderworx Media LLC   2020 SEC $60,000
SPF, INC   2013 WA-FIN $10,000
Spencer Pharmaceutical Inc.   2015 SEC $1,000,000
Spencer International Advisors, Inc.   2010 SEC $75,000
Spelman & Co. Inc.   2007 OK-SEC $15,000
Spelman & Co.   2009 FINRA $10,000
Spellbinder Funding LLC   2009 WA-FIN $11,000
Speed of Thought Trading Corp.   2013 CT-SEC $50,000
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.