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
DLL CPAS, LLC   2019 SEC $51,387
DKR Oasis Management Company, L.P.?   2008 SEC $282,413
DKM Certified Public Accountants, Inc.   2015 SEC $60,043
DJL & Associates, L.L.C.   2009 AZ-SEC $67,849
Dixon Insurance Agency   2005 TN-SEC $9,268
Divine Capital Markets, LLC   2006 AL-SEC $5,241
DIVERSIFIED REAL ESTATE HOLDING LLC   2016 VA-SEC $10,000
Diversified Marketing Consultants, Inc. et al.   2012 MD-SEC $1,000,000
Diversified Liquid Asset Holdings LLC   2010 IL-SEC $20,000
Diversified Investors Securities Corp.   2006 FINRA $2,250,000
Ditto Holdings, Inc.   2015 SEC $50,000
Direct Investment Products, Inc.   2015 CFTC $3,851,633
Diplomat Consulting Services, LLC   2016 MI-SEC $30,000
Dion Money Management, LLC   2015 SEC $50,000
Dinotech Corp.   2013 WA-FIN $10,000
Dinar Corp., Inc. and My Monex, Inc.   2020 CFTC $22,600,000
Digital Entertainment Corp.   2006 CT-SEC $20,000
DIGITAL BROADCAST CORPORATION   2006 VA-SEC $6,000
Diamondback Capital Management, LLC   2009 SEC $162,175
Diamondback Capital Management LLC   2012 SEC $9,000,000
Diamond Ventures LLC   2011 CFTC $4,000,000
Diamond S Oil, Inc., Masada Petroleum LLC   2008 CA-DFPI $25,000
Diamond Bay Investments, Inc.   2008 AZ-SEC $25,000
Diageo plc Diageo beverages 2020 SEC $5,000,000
DH Products, LLC   2012 CO-SEC $48,250
DGF Investment Advisers, Inc.   2005 MD-SEC $17,500
DG Wealth Management   2016 CFTC $17,499,623
DFS Capital Management, LP and DFS Fund, Limited Partnership   2013 CT-SEC $414,000
DFRF Enterprises LLC and DFRF Enterprises, LLC   2019 SEC $19,390,352
Dexter Group, LLC   2014 NJ-BOS $65,000
deVere USA, Inc.   2018 SEC $8,000,000
Deutsche Investment Management Americas, Inc. et al. Deutsche Bank financial services 2006 SEC $19,329,729
Deutsche Bank Trust Company Americas Deutsche Bank financial services 2007 SEC $750,000
Deutsche Bank Trust Company Americas Deutsche Bank financial services 2019 SEC $500,000
Deutsche Bank Trust Co. Americas and Deutsche Bank Securities Inc. Deutsche Bank financial services 2018 SEC $73,200,000
Deutsche Bank Securities, Inc., Deutsche Bank financial services 2008 FINRA $150,000
Deutsche Bank Securities, Inc. and Deutsche Bank AG Deutsche Bank financial services 2008 MULTI-AG $3,348,333,333
Deutsche Bank Securities, Inc. Deutsche Bank financial services 2006 SEC $442,954
Deutsche Bank Securities, Inc. Deutsche Bank financial services 2009 NJ-AG $1,057,350
Deutsche Bank Securities, Inc. Deutsche Bank financial services 2016 NY-AG (*) $37,000,000
Deutsche Bank Securities, Inc. Deutsche Bank financial services 2013 FINRA $6,500,000
Deutsche Bank Securities, Inc. Deutsche Bank financial services 2004 FINRA $15,000
Deutsche Bank Securities, Inc. Deutsche Bank financial services 2004 FINRA $5,000,000
Deutsche Bank Securities, Inc. Deutsche Bank financial services 2004 FINRA $5,290,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2004 SEC $87,500,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2018 SEC $4,450,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2019 SEC $2,971,462
Deutsche Bank Securities Inc. Deutsche Bank financial services 2013 MA-SEC $17,500,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2010 NC-SEC $7,800,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2008 MULTI-FIN (*) $15,000,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2005 MULTI-FIN (*) $28,750,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2020 CFTC $1,250,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2017 FINRA $2,500,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2016 FINRA $3,250,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2016 FINRA $12,500,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2016 FINRA $6,000,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2015 FINRA $1,400,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2014 FINRA $4,000,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2010 FINRA $7,500,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2002 FINRA (*) $1,650,000
Deutsche Bank Securities Deutsche Bank financial services 2016 SEC $9,500,000
Deutsche Bank Securities Deutsche Bank financial services 2010 FINRA $575,000
Deutsche Bank AG and Deutsche Bank Securities Inc. Deutsche Bank financial services 2018 CFTC $30,000,000
Deutsche Bank AG Deutsche Bank financial services 2015 SEC $55,000,000
Deutsche Bank AG Deutsche Bank financial services 2006 NY-AG (*) $208,000,000
Deutsche Bank AG Deutsche Bank financial services 2020 CFTC $9,000,000
Deutsche Bank Deutsche Bank financial services 2016 SEC $18,500,000
Deutsche Bank Deutsche Bank financial services 2002 MULTI-AG $80,000,000
Deutsche Bank Deutsche Bank financial services 2009 FINRA $152,000
Deutsche Asset Management, Inc. and Deutsche Investment Management Americas, Inc. Deutsche Bank financial services 2006 SEC $17,200,000
Deutsche Asset Management, Inc. Deutsche Bank financial services 2003 SEC $750,000
Detwiler, Mitchell, Fenton & Graves, Inc.   2007 SEC $250,000
Derrick Management Inc.   2019 GA-SEC $25,000
Derivium Capital, LLC   2006 CA-DFPI $750,000
Denver Energy Exploration, LLC   2014 AZ-SEC $7,500
Dentsply Sirona Inc. Dentsply Sirona medical equipment and supplies 2020 SEC $1,000,000
Dental Support Plus Franchise, LLC   2018 AZ-SEC $13,614,954
Dental Fix Rx, LLC   2019 VA-SEC $17,000
Densmore Financial Group, Inc.   2011 ID-SEC $10,000
Demuzio Capital Management, LLC   2012 CFTC $3,000,000
Deluxe Designs International, LLC and Deluxe Live Productions   2009 AZ-SEC $3,225,744
Deluge, Inc. and Hydrotherm Power Corp.   2016 AZ-SEC $11,194,254
Delta FX Trade   2018 AZ-SEC $15,000
Delta Equity Services Corporation   2002 SEC $45,000
Delta Asset Management Company, L.L.C.   2004 FINRA $15,000
Deloitte & Touche Deloitte Touche Tohmatsu business services 2012 MI-AG $19,900,000
Delaware Service Company, Inc.   2006 SEC $435,000
Delaware Financial Insurance and Investment, Inc.   2001 DE-SEC $15,000
Delaware Distributors, L.P.   2009 MD-SEC $8,000
Delaware Asset Advisers   2012 SEC $4,814,520
Delano & Morgenroth Investment Advisors, LLC   2013 MT-SEC $5,000
Delaney Equity Group LLC   2016 SEC $20,000
Del Mar Asset Management, LP   2014 SEC $66,000
Defensive Portfolio Management Corp.   2017 CA-DFPI $10,000
Deerfield Management Company L.P.   2017 SEC $4,600,000
Deerfield Management Company   2013 SEC $1,902,224
Deer Park Road Management Company LP   2019 SEC $5,000,000
Deer Park Development Corp.   2015 AZ-SEC $892,630
Dedicated Sound and Audio, Inc.   2018 SEC $250,000
DECKER EQUITIES, LP   2008 VA-SEC $205,000
Decision Sciences Corporation   2009 SC-SEC $5,000
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.