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
Solium Financial Services LLC Morgan Stanley financial services 2020 SC-SEC $28,007
Solium Financial Services Morgan Stanley financial services 2021 DC-DISB $9,879
Solar Evolution, Inc.   2012 MO-SEC $25,985
Solace Investments, LLC   2020 CT-BKG $300,000
Solace Investments, LLC   2020 CT-SEC $300,000
Sogemin Metals Inc.   2000 CFTC $500,000
Sofinnova Ventures, Inc.   2018 SEC $120,000
SoFi Wealth, LLC   2021 SEC $300,000
Societe Generale International Limited Societe Generale financial services 2019 CFTC $2,500,000
Social Automotive Management Services, LLC et al.   2019 MO-SEC $561,629
SoBell Corp.   2019 AZ-SEC $779,450
Sneva Alliance   2007 AZ-SEC $115,282
SNC Capital Management Corporation d/b/a RCM Securities   2020 VA-SEC $5,000
SNC Asset Management, Inc. and SNC Investments, Inc.   2012 CFTC $5,000,000
SMP Investments I, LLC   2015 SEC $63,750
SMP Bank and Epaster Investments, Ltd.   2012 CFTC $980,000
Smithfield Foods Inc. WH Group food products 2004 DOJ_ANTITRUST $2,000,000
Smithfield Foods Inc WH Group food products 2010 DOJ_ANTITRUST $900,000
Smith, Brown & Groover Inc.   2000 TN-SEC $11,000
Smith Rock Race Group, LLC   2014 OR-FIN $5,000
Smith Hayes Financial Services Corporation   2015 SEC $40,000
Smith Barney Fund Management LLC Franklin Resources financial services 2007 SEC $450,000
Smith Barney Morgan Stanley financial services 2007 NJ-AG $5,000,000
Smith Barney Morgan Stanley financial services 2007 NJ-AG $978,000
Smith Barney Morgan Stanley financial services 2007 NJ-BOS $5,000,000
Smith & Cox, LLC et al.   2020 AZ-SEC $7,558,866
SMI Management & Research LLC   2015 ME-SEC $113,512
SMH Capital Inc.   2008 TX-SEC $30,000
SMH Capital Inc.   2008 FINRA $450,000
SmartWear Technologies, Inc.   2012 CA-DFPI $21,420,639
Smart Acquisitions, L.L.C. and Smart Enterprises, L.L.C. and Simply Smart Homes, L.L.C.   2020 AZ-SEC $60,000
SLB Creations, Inc.   2020 MI-SEC $10,000
Slagel Investment Management   2019 VA-SEC $7,500
Skytrace, Inc.   2019 AZ-SEC $147,500
Skytec Security Midwest LLC and Skytec Security Operations LLC   2021 MO-SEC $488,669
Skylink Telecommunications Corp.   2001 OR-FIN $25,000
Sky Watch Media, Inc.   2012 CT-SEC $50,000
SKRIMP SHACK, LLC   2016 VA-SEC $15,500
Skrimp Shack LLC   2020 VA-SEC $25,000
Skin Appeal Day Spa, Inc.   2010 VA-SEC $244,100
SkiHawk Capital Partners, LLC and SkiHawk Financial, Inc.   2017 CO-SEC $50,000
SKB Partners and Maverick Investments, LLC   2016 AR-SEC $725,000
Skamp Investments LLC et al.   2005 MO-SEC $10,720
SK Madison Commodities, LLC   2014 CFTC $3,523,846
SK Group Inc.   2013 PA-BKG $8,000
SIX Financial Information USA Inc.   2017 SEC $107,707
Six Figure Club   2013 MD-SEC $10,000
Sirios Capital Management, L.P.?   2008 SEC $287,058
Sir Mortgage & Finance of Arizona, Inc.   2010 AZ-SEC $90,000
Sine Capital, Inc.   2016 FL-OFR $5,000
Simpson Hughes Financial, LLC   2016 SEC $287,119
Simpson Capital Management, Inc.   2009 SEC $6,650,000
Simpson Capital Management, Inc.   2014 CA-DFPI $5,000
Simply Smart Homes, LLC and Smart Enterprises, LLC   2017 AZ-SEC $123,750
Simon Greene Investment Advisory Firm   2018 IL-SEC $90,000
Silversprings Real Estate Development & Investments, L.L.C. et al.   2011 AZ-SEC $7,554,463
SilverShore Investment Group   2009 IL-SEC $5,000
Silversage Advisors   2019 SEC $342,062
Silver Star FX, LLC et al.   2019 CFTC $75,000
Silver Star FX LLC dba Silver Star Live and Silver Star Live Software LLC   2021 CFTC $23,506,392
Silver Oak Securities, Inc.   2009 CT-SEC $5,000
Silver Oak Securities, Inc.   2016 CT-SEC $35,000
Silver Oak Securities, Inc.   2010 KY-FIN $16,000
Silacon Corp.   2012 MN-FIN $7,500
SII Investments, Inc.   2018 MA-SEC $50,000
SII Investments, Inc.   2005 FINRA $658,500
SII Investments, Inc.   2004 FINRA $100,000
Signed, Sealed & Delivered, Inc.   2006 WA-FIN $20,000
Signature Financial Services, Ltd.   2020 SEC $276,580
Signator Investors, Inc.   2015 SEC $450,000
Signal Securities Inc.   2000 SEC $50,000
Signal Lake Management, LLC   2018 CT-SEC $100,000
Signal Lake General Partner LLC   2018 CT-SEC $100,000
Signal Capital Management LLC   2020 WA-SEC $5,000
Sigma Planning Corp.   2019 SEC $2,546,718
SIGMA Financial Corporation   2009 FINRA $50,000
Sigma Financial Corporation   2004 FINRA $135,000
Sigma Capital Management   2013 SEC $13,944,000
Sigh of Relief, Life and Financial, Inc. and SOR Capital, LLC   2015 WA-FIN $20,000
SIG Specialists, Inc.   2004 SEC $3,033,589
Sierra Pacific Mortgage Company Inc.   2002 OR-FIN $20,360
Sierra Financial Advisors, LLC   2010 SEC $14,599
Siebert Brandford Shank & Co., LLC   2015 SEC $240,000
Siebel Systems, Inc. Oracle information technology 2002 SEC $250,000
Sidoti & Company LLC   2017 SEC $100,000
Sica Wealth Management, LLC   2020 SEC $378,693
Shreveport Wireless Cable Television Partnership, Complete Communications Corporation, Champion Communications Corporation, B.R. Cable Communications   2001 SEC $41,727,403
SHOCKHOE BOTTOM ENTERPRISES   2006 VA-SEC $8,500
SHK Management LLC   2013 CFTC $400,000
ShipChain, Inc.   2020 SEC $2,050,000
ShiftPixy, Inc.   2021 SEC $25,000
Shields Capital Corporation   2010 NE-DBF $5,180
Sherri's Fun Foods, Inc. d/b/a Sherri's Crab Cakes   2015 VA-SEC $5,000
Shemano Capital Management   2005 CA-DFPI $54,250
Shelton Financial Group, Inc.   2015 SEC $190,066
Shell International Trading and Shipping Co. Royal Dutch Shell oil and gas 2006 CFTC $200,000
Sheenson Investments, Ltd.   2012 CFTC $1,500,000
Sharpe Signa, LLC and Haeres Capital, LLC   2015 CFTC $70,000
ShareValue, Inc.   2009 MO-SEC $9,000
Sharespost, Inc.   2012 SEC $80,000
Shanklin Capital Management Inc.   2005 TN-SEC $10,000
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.