Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$80,470,232,936
Number of Penalty Records: 
6,468
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$13,547,438,962115
UBS$11,679,855,33361
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
St. Bernard Financial Services, Inc.   2015 AR-SEC $25,000
St. Andrews Investments, LLC   2015 AK-DBS $50,000
ST Invest LLC d/b/a Trade App   2021 SEC $10,000
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
Spectrum Wealth Management LLC   2018 PA-BKG $25,000
Spectrum Financial Advisors LLC   2019 TN-SEC $5,000
Spear, Leeds & Kellogg, L.P. Goldman Sachs financial services 2003 SEC $450,000
Spear, Leeds & Kellogg, L.P. Goldman Sachs financial services 2004 FINRA $75,000
Spear, Leeds & Kellogg, L.P Goldman Sachs financial services 2005 FINRA $1,000,000
Spear, Leeds & Kellogg Specialists LLC Goldman Sachs financial services 2004 SEC $45,272,478
Spear, Leeds & Kellogg Goldman Sachs financial services 2001 FINRA $10,000
Spear Capital Management, Inc.   2011 CT-SEC $5,000
SPC Brands, Inc. and Spectrum Pet Care Inc. and Spectrum Pet Food, Inc.   2016 MO-SEC $109,290
Spartan Capital Securities LLC   2012 NH-BSR $17,500
Spartan Capital Securities LLC   2013 NH-BSR $40,000
Spark Trading Group LLC   2019 SEC $694,915
Spar Cove Associates, Inc.   2015 ME-SEC $9,000
SPA' LADI-DA FRANCHISE, INC.   2009 VA-SEC $72,928
Spa Marketing LLC   2003 OR-FIN $50,000
Sovereign Funding, LLC   2015 AL-SEC $100,000
Southwind Associates of NJ, Inc. d/b/a Villafranco Wealth Management   2017 SEC $50,000
Southwestern Union Conference of Seventh-day Adventists   2008 AR-SEC $5,000
Southwest Trust & Financial   2006 AZ-SEC $425,000
Southwest Texas Capital L.L.C.   2006 TX-SEC $5,000
Southwest Services, L.L.C.   2020 CFTC $740,968
Southwest Securities, Inc. Hilltop Holdings financial services 2005 SEC $10,000,000
Southwest Securities, Inc. Hilltop Holdings financial services 2010 SEC $470,147
Southwest Securities, Inc. Hilltop Holdings financial services 2012 IL-SEC $7,500
Southwest Securities, Inc. Hilltop Holdings financial services 2011 FINRA $650,000
Southwest Securities, Inc. Hilltop Holdings financial services 2011 FINRA $500,000
Southwest Securities, Inc. Hilltop Holdings financial services 2004 FINRA $36,971
Southwest Securities Inc. Hilltop Holdings financial services 2000 FINRA $500,000
Southwest Group, LLC   2020 CFTC $75,000
Southwest Capital Advisors LLC   2005 AZ-SEC $264,558
Southwest Biofuels, LLC   2012 AZ-SEC $730,711
Southridge Real Estate Partners L.P. and Ridgebury Partners, LLC   2015 CT-SEC $7,500
Southridge Investment Group LLC fka Greenfield Capital Partners LLC   2012 CT-SEC $250,000
Southridge Capital Management LLC and Southridge Advisors LLC   2018 SEC $7,864,064
Southridge Capital Management LLC   2018 CT-SEC $500,000
Southpoint Capital Advisors   2013 SEC $534,757
Southern Homes, L.L.C.   2009 AZ-SEC $1,327,500
Southern Connecticut Financial Services, Inc.   2007 CT-SEC $30,000
Southern 2000, Inc.   2000 FL-OFR $50,000
Southeast Investments, N.C., Inc.   2016 WA-FIN $30,000
South American Trading, Inc.   2010 IN-SEC $12,772
Soundpost Partners   2013 SEC $113,315
Sound Investment Equity, LLC   2019 MD-SEC $15,000
Sorrento Pacific Financial, LLC Atria Wealth Solutions financial services 2019 SEC $49,162
Sonos Capital Advisors, LLC   2015 SC-SEC $10,000
Son & Carter, Inc.   2006 MO-SEC $50,000
Sommers Financial Management, LLC   2021 WA-SEC $30,000
Solutions Planning Group, Inc.   2005 MD-SEC $37,500
Solution, Sources, and Consulting, LLC and Energy Savings Solution, Inc.   2005 AZ-SEC $1,229,186
SoluTech, Inc.   2020 SEC $25,000
Solus Alternative Asset Management   2014 SEC $105,495
Solium Financial Services, LLC Morgan Stanley financial services 2020 IA-INS $10,147
Solium Financial Services, LLC Morgan Stanley financial services 2020 ME-SEC $5,000
Solium Financial Services LLC Morgan Stanley financial services 2020 AK-DBS $10,527
Solium Financial Services LLC Morgan Stanley financial services 2020 AL-SEC $18,874
Solium Financial Services LLC Morgan Stanley financial services 2019 AR-SEC $5,000
Solium Financial Services LLC Morgan Stanley financial services 2020 CA-DFPI $52,047
Solium Financial Services LLC Morgan Stanley financial services 2020 CT-SEC $51,136
Solium Financial Services LLC Morgan Stanley financial services 2020 GA-SEC $22,104
Solium Financial Services LLC Morgan Stanley financial services 2020 IN-SEC $15,575
Solium Financial Services LLC Morgan Stanley financial services 2020 MO-SEC $9,130
Solium Financial Services LLC Morgan Stanley financial services 2020 NH-BSR $90,000
Solium Financial Services LLC Morgan Stanley financial services 2020 OK-SEC $9,968
Solium Financial Services LLC Morgan Stanley financial services 2020 OR-FIN $10,599
Solium Financial Services LLC Morgan Stanley financial services 2020 TN-SEC $12,994
Solium Financial Services LLC Morgan Stanley financial services 2019 VA-SEC $10,000
Solium Financial Services LLC Morgan Stanley financial services 2020 VT-FIN $6,900
Solium Financial Services LLC Morgan Stanley financial services 2020 WA-FIN $33,753
Solium Financial Services LLC Morgan Stanley financial services 2020 FL-OFR $79,045
Solium Financial Services LLC Morgan Stanley financial services 2020 PA-BKG $52,372
Solium Financial Services LLC Morgan Stanley financial services 2020 SD-SEC $5,750
Solium Financial Services LLC Morgan Stanley financial services 2020 TX-SEC $46,073
Solium Financial Services LLC Morgan Stanley financial services 2020 CO-SEC $69,338
Solium Financial Services LLC Morgan Stanley financial services 2020 IL-SEC $11,385
Solium Financial Services LLC Morgan Stanley financial services 2020 KY-FIN $5,465
Solium Financial Services LLC Morgan Stanley financial services 2020 MS-SEC $6,000
Solium Financial Services LLC Morgan Stanley financial services 2020 MT-SEC $14,700
Solium Financial Services LLC Morgan Stanley financial services 2020 NM-SEC $6,500
Solium Financial Services LLC Morgan Stanley financial services 2020 RI-FIN $6,500
Solium Financial Services LLC Morgan Stanley financial services 2020 SC-SEC $28,007
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.