Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$81,390,530,420
Number of Penalty Records: 
6,545
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
FSC Securities Corp.   2000 MN-FIN $5,000
FSC Securities Corp.   2018 MT-SEC $151,000
FSC Securities Corp.   2005 FINRA $2,400,000
Fry Hensley and Company   2013 SEC $894,657
Frugal Financial Retirement Planning Services, LLC   2019 TX-SEC $5,000
FROOTS FRANCHISING COMPANIES   2009 VA-SEC $6,000
Frontier Wealth Management, LLC   2021 SEC $658,712
Frontier Oilfield Services, Inc.   2018 SEC $25,000
Front Row Ticket Agency Inc.   2015 NH-BSR $27,500
From The Sea To You Inc.   2019 ME-SEC $66,000
Friedman, Schnaier & Associates   2009 MN-FIN $12,000
Friedman, Billings, Ramsey & Co., Inc. Arlington Asset Investment Corp. financial services 2004 SEC $125,000
Friedman, Billings, Ramsey & Co., Inc. Arlington Asset Investment Corp. financial services 2008 FINRA $50,000
Friedman, Billings, Ramsey & Co., Inc. Arlington Asset Investment Corp. financial services 2006 FINRA $4,000,000
Friedberg Mercantile Group, Inc.   2014 CFTC $70,000
Fresh Start Credit Services, LLC   2021 MO-SEC $93,945
Fremont Investment Advisors, Inc.   2004 NY-AG (*) $4,146,000
Fremont Investment Advisors   2004 SEC $4,146,000
Freeman Capital Management, LLC   2012 OR-FIN $5,000
Freedom Wealth Advisors, LLC   2017 ME-SEC $7,500
Freedom Ridge Partners, LLC   2012 MO-SEC $308,999
Freedom Financial, Inc.   2004 SEC $25,000
Freedom Capital Advisors, LLC   2021 SC-SEC $20,000
Fred Alger Management, Inc. Alger Associates financial services 2007 SEC $40,000,000
Fred Alger Management, Inc. Alger Associates financial services 2007 NY-AG (*) $45,000,000
Franklin/Templeton Distributors, Inc. Franklin Resources financial services 2004 CA-AG $18,000,000
Franklin Templeton Investments Corp. Franklin Resources financial services 2020 SEC $75,000
Franklin Advisers, Inc. and Franklin Templeton Distributors, Inc. Franklin Resources financial services 2004 SEC $20,000,000
Franklin Advisers, Inc. Franklin Resources financial services 2004 SEC $50,000,000
Franklin Advisers and Inc. Franklin Resources financial services 2020 SEC $250,000
Franklin AAA Holdings, LLC   2016 AZ-SEC $62,426
Francis Grant Investments Inc.   2011 CFTC $500,000
Francis Capital Management, LLC   2019 CA-DFPI $10,000
Franchise Equity Group, Inc. and Franchise Equity Consortium   2019 WA-FIN $73,643
Fran Span Global, LLC et al.   2011 IL-SEC $5,000
FRA Wealth Management LLC   2019 TX-SEC $20,000
FR&J Investments Group Corp.   2005 OK-SEC $14,350
FP Resources USA Inc   2018 SEC $92,383
Foxhall Capital Management, Inc   2013 SEC $122,430
Fox & Company Investments Inc.   2009 FINRA $45,000
Four Points Capital Partners LLC   2016 MT-SEC $66,348
Fountain Capital Management, LLC   2005 AZ-SEC $47,833
Founding Partners Capital Management Compan   2007 SEC $182,244
Founders Financial Securities, LLC   2019 SEC $1,475,465
Founders Asset Management LLC   2000 SEC $50,000
Foundations Asset Management, LLC   2019 SEC $363,947
Forward Investment Group, LLC   2011 CFTC $46,900,000
Fortune Oil & Gas, Ltd.   2014 AK-DBS $25,000
Fortune Hi-Tech Marketing, Inc.   2010 MT-SEC $150,000
FORTUNATO AND COMPANY, INC.   2006 VA-SEC $11,000
Fortress Investment Management, LLC   2020 SEC $104,097
Fortpoint Investment Management   2020 WA-FIN $83,600
Fortius Financial Advisors, LLC   2016 SEC $94,070
Fortem Resources, Inc.   2021 SEC $25,000
Forstmann Little & Co.   2004 CT-AG $16,200,000
Formula Growth   2014 SEC $111,743
Forman Financial Services, LLC   2010 CT-SEC $25,000
Form Advisory Group, LLC   2021 TN-SEC $6,000
ForInvest Group   2011 CFTC $280,000
Forex Liquidity LLC   2012 CFTC $400,000
Forex Investment Services Corp. et al.   2000 AZ-SEC $416,086
Forex Global Solutions Inc. and Forex Global Solutions Ltd.   2013 CFTC $750,000
Forex Capital Trading Group, Forex Capital Trading Partners, and Highland Stone Capital Management   2012 CFTC $1,800,000
Forex Capital Markets, LLC Jefferies Financial Group diversified 2015 CFTC $843,922
Forex Capital Markets, LLC Jefferies Financial Group diversified 2017 CFTC $7,000,000
Forex Capital Markets Ltd. Jefferies Financial Group diversified 2011 CFTC $140,000
Forex Capital Markets LLC Jefferies Financial Group diversified 2011 CFTC $14,200,000
Forex Auto Profits, LLC   2011 CFTC $2,900,000
Foremost Trading LLC   2013 CFTC $400,000
Foremost Trading LLC   2020 CFTC $923,013
Foreign Fund (a/k/a First Bank)   2008 CFTC $2,432,486
Forefront Investment Corporation   2008 CFTC $260,000
Ford Motor Credit Company Ford Motor motor vehicles 2005 SEC $700,000
Forcerank LLC   2016 SEC $50,000
FOODNET FRANCHISING, INC. &   2013 VA-SEC $12,500
Fontana Capital, LLC   2011 SEC $984,790
Folger Nolan Fleming Douglas Capital Management, Inc.   2007 SEC $244,921
Folger Nolan Fleming Douglas Capital Management Inc.   2019 SEC $59,478
Focus Tech Investments, Inc.   2000 SEC $10,000
Focus Point Solutions and The H Group   2012 SEC $1,100,000
Focus Media Holding Limited   2015 SEC $55,600,000
Focus Capital Wealth Management Inc.   2013 NH-BSR $20,000
FNY Partners Fund LP   2020 CFTC $450,000
Flyline Management L.P.   2004 TX-SEC $16,000
Flyline Genpar L.P.   2004 TX-SEC $16,000
Flying G Racing   2016 MI-SEC $10,000
Flowserve Corporation Flowserve industrial equipment 2005 SEC $350,000
Flint-McClung Capital LLC   2012 CFTC $6,000,000
FlexVest Securities Group Inc.   2005 TX-SEC $10,000
FleetBoston Financial Corporation Bank of America financial services 2004 SEC $140,000,000
FleetBoston Financial Corp. Bank of America financial services 2004 NY-AG (*) $300,000,000
Fleet Specialist, Inc.   2004 SEC $59,097,469
Fleet Securities, Inc.   2001 FINRA $50,000
Fleet Securities, Inc.   2001 FINRA $40,000
Flatlander Industries, Inc.   2006 IL-SEC $9,135
Flatiron Capital Partners, LLC et al.   2015 AK-DBS $125,000
Flatiron Capital Partners, LLC and Flatiron Systems, LLC   2012 SEC $1,817,277
Flash Forward Publications LLC   2017 MO-SEC $69,412
Flakeboard America Limited AntarChile diversified 2014 DOJ_ANTITRUST $4,950,000
Flagship Harbor Advisors, LLC   2018 NH-BSR $10,000
Fixed Income Clearing Corporation   2021 SEC $8,000,000
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.