Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$81,951,144,270
Number of Penalty Records: 
6,612
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$11,680,355,33362
Citigroup$8,177,245,73064
JPMorgan Chase$6,210,421,20673
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
Hotel Gold Crown Southland, LLC   2010 CO-SEC $1,055,000
Hotel Connect, LLC et al.   2001 AZ-CC $5,400,000
Horter Investment Management, LLC   2017 SEC $778,804
Horter Investment Management, LLC   2019 CT-SEC $12,500
Horseman Capital Management, L.P.?   2011 SEC $1,484,952
Hornor, Townsend & Kent, Inc.   2002 FL-OFR $25,000
Hornor, Townsend & Kent, Inc.   2005 FINRA $325,000
Hornblower & Weeks, Inc.   2002 FINRA $100,000
Horizon Partners, L.L.C.   2013 AZ-CC $150,000
Horizon Commercial Real Estate Funding, Inc. and Sunshine Inn, Inc.   2012 WA-FIN $32,500
Hopkins Financial Services, Inc.   2012 ID-SEC $250,000
Hope Capital, Inc.   2016 SEC $579,747
Hope Advisors, LLC   2018 SEC $1,487,235
Hope Advisors LLC   2015 CFTC $100,000
Honouround (HK) International Trade Co. Ltd.?   2018 CFTC $300,000
Holthouse Carlin & Van Trigt LLP?   2018 SEC $300,000
Hologram USA Networks Inc.   2020 SEC $22,419
Hold Brothers Online Investment Services, LLC   2017 SEC $707,764
Hold Brothers Online Investment Services LLC   2010 RI-FIN $20,300
Hold Brothers On-Line Investment Services, LLC   2012 FINRA $3,400,000
Hold Brothers On-Line Investment Services   2012 SEC $2,535,000
Hogan, Sarzynski, Lynch, Surowka & DeWind LLP   2008 NY-AG $100,000
HOCOA Franchising Co., LLC   2015 VA-SEC $12,000
Hobo Prince Economic Project, LLC et al.   2012 OR-FIN $1,000,000
HM Capital Partners I   2009 NY-AG $1,560,000
HL.I Inc.   2014 PA-BKG $108,821
HJM International Trading Ltd.   2004 IL-SEC $10,000
Hinsdale Associates, Inc.   2009 IL-SEC $11,500
Hinsdale Associates, Inc.   2022 SEC $25,000
Hilltop Securities Inc. and Hilltop Securities Independent Network Inc. Hilltop Holdings financial services 2019 SEC $810,785
Hilltop Securities Inc. Hilltop Holdings financial services 2016 SEC $360,000
Hilltop Securities Inc. Hilltop Holdings financial services 2021 SEC $340,193
Highline Estates, LLC et al.   2009 AZ-CC $676,570
Highland Capital Management, L.P.   2014 SEC $225,000
Highland Capital Group, Inc.   2013 CA-DFPI $10,000
Highland Capital Group, Inc.   2019 CA-DFPI $270,000
High Trust Financial and Consulting, Inc.   2017 CO-SEC $150,000
High Tech Travel Services Corporation   2000 OR-FIN $25,000
High Tech Financial Products aka EBD Consulting, Inc.   2004 IL-SEC $5,000
High Powered Promotions, LLC et al.   2017 KY-FIN $206,000
High Point Wealth Management   2018 MD-SEC $3,990,000
Herzog, Heine, Geduld, LLC   2006 SEC $1,500,000
Herzog, Heine, Geduld, Inc.   2001 FINRA $18,000
Herzog, Heine, Geduld, Inc.   2001 FINRA $40,000
Herzog Financial Group, LLC   2019 IL-SEC $6,150
Hertz Global Holdings, Inc. Hertz miscellaneous services 2018 SEC $16,000,000
Herman's World of Sports, Inc.   2005 SEC $663,685
HERITAGE FINANCIAL SYSTEMS, &   2013 VA-SEC $53,335
Heritage Corner, Ltd. And Heritage Funding Group, Inc.   2011 AR-SEC $310,000
Herget Group, LLC   2015 WI-FIN $166,400
Herbert J. Sims & Co., Inc.   2021 SEC $250,000
Heraeus Metals New York LLC Heraeus diversified 2019 CFTC $130,000
HEP Management Corp.   2018 SEC $75,000
Henning-Carey Proprietary Trading, LLC   2016 SEC $110,000
Hennessee Group LLC   2009 SEC $814,644
Henley & Company Wealth Management LLC   2019 SEC $36,866
Hencorp Becstone Futures LC   2005 CFTC $50,000
Hefren-Tilotson, Inc.   2019 SEC $371,697
Hefren-Tillotson, Inc.   2019 SEC $379,965
Hedgeable Inc.   2018 SEC $80,000
Heartland Resources, Inc.   2009 IL-SEC $239,780
Heartland Resources, Inc.   2008 IN-SEC $317,700
Heartland Production and Recovery, LLC   2020 MI-SEC $20,000
Heartland Payment Systems, LLC Global Payments Inc. financial services 2018 SEC $2,160,000
Heartland Capital Advisors, L.C.   2016 MO-SEC $6,000
Heartland Advisors, Inc.   2008 SEC $3,500,000
Hearst Corporation Hearst media 2001 FTC $4,000,000
Hearst Corp. Hearst media 2001 DOJ_ANTITRUST $4,000,000
HealthSource Chiropractic, Inc.   2020 VA-SEC $89,000
Healthcare Purchasing Alliance, Inc.   2004 AZ-CC $273,933
Health Net Inc. Centene healthcare services 2016 SEC $340,000
HDR Global Trading Limited et al.   2021 CFTC $50,000,000
HD Mile High Marketing, Inc.   2014 SEC $250,076
HCR Wealth Advisors   2019 SEC $220,000
HCH Enterprises, L.L.C.   2004 AZ-CC $371,000
HCH Cypress, LLC   2007 CT-SEC $200,000
HBS Properties, LLC   2021 TN-SEC $225,000
HBA Advisors, LLC   2018 SEC $15,000
Hazlett and Burt & Watson, Inc.   2019 SEC $123,456
Hazan Capital Management LLC   2009 SEC $4,000,000
Haywood Securities (USA) Inc.   2021 AL-SEC $5,000
Hayes and Associates Accountancy Corp.   2013 CA-DFPI $10,000
Haye Capital Group, LLC   2011 MD-SEC $250,000
Hawthorne Associates, Inc.   2001 SEC $25,000
Hawkins Wealth Advisory LLC   2017 AZ-CC $19,028
Hattier, Sanford & Reynoir LLP   2007 TN-SEC $25,000
Harvest Financial Group, LLC   2019 VA-SEC $7,500
Harvest Financial Corporation   2003 SEC $25,000
Harvest Financial Corp.   2006 IL-SEC $17,600
Harvest Capital Strategies LLC   2015 SEC $84,454
Harvard Assets LLC, London Assets Inc. , and Harvard International Trading, Inc.   2016 CFTC $2,451,568
Hartquist & Noblet, LLC   2019 VA-SEC $53,220
Hartford Financial Services Group, Inc. Hartford Financial Services financial services 2006 SEC $55,000,000
Harris Investor Services, Inc.   2008 FINRA $150,000
Harris Financial Management   2018 PA-BKG $100,000
Harrington Advisory Services SL, Richmond Royce Advisory Services SLU, and Stratford Advisory Services   2006 CFTC $19,555,041
Harold Davidson & Associates Inc.   2021 SEC $25,000
Harmony Health Care Institute, Inc   2015 NH-BSR $7,500
Hardy Asset Management   2007 AZ-CC $732,076
Hardy Asset Management   2006 IL-SEC $25,000
Hardwick Capital Management, LLC   2018 IN-SEC $42,984
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.