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
Cochise Financial Corp.   2000 AZ-SEC $1,301,929
Coburn & Meredith, Inc   2021 SEC $299,340
Cobble Creek Homes, LLC   2008 MO-SEC $42,200
Cobble Creek Group LLC   2016 PA-BKG $5,000
Coastal Resources Corp.   2001 AK-DBS $50,000
Coastal Investment Advisors, Inc.   2019 SEC $76,144
Coastal Equities, Inc. and Coastal Investment Advisors, Inc.   2017 SEC $80,000
Coachman Energy Partners LLC   2017 SEC $941,507
CNE Enterprises, LLC   2013 HI-SEC $630,240
CMSU & Associates, LLC and Super Model Portfolio, LLP   2009 MD-SEC $10,000
CMS Fund Advisers, Inc.   2005 SEC $115,000
CMHCEH, LLC   2008 WA-FIN $5,000
CMG Institutional Trading, LLC   2013 IL-SEC $10,000
CMB Export, LLC   2019 IL-SEC $125,000
CMB Export LLC   2018 SEC $5,150,000
CMA Capital Management, LLC   2012 CFTC $5,500,000
Clovis Oncology Inc. Clovis Oncology pharmaceuticals 2018 SEC $20,000,000
Close to My Heart, Inc.   2014 MT-SEC $5,000
Client One Securities, LLC   2019 SEC $35,275
Clem Investments   2018 SD-INS $5,000
ClearPoint Capital Management, LLC   2016 AL-SEC $327,026
Clearleaf Finance, LLC   2021 KY-FIN $5,000
Clear Sky Financial, LLC   2019 VA-SEC $6,000
Clear Scope Advisors, Inc.   2019 SEC $25,678
Clear Energy Group, LLC   2018 AZ-SEC $865,000
Clean Sweet Holdings Group, LLC   2011 IL-SEC $10,000
Clean Energy Pathways, Inc.   2010 AL-SEC $5,000
Clean Energy Capital, LLC   2014 SEC $2,246,030
Clayton Collateral Advisors, Inc.   2014 IL-SEC $10,000
Clay Capital Management LLC   2012 SEC $850,000
Classic Energy LLC   2019 CFTC $1,500,000
Classic Energy LLC   2021 CFTC $585,000
CLARKE ENERGY GROUP INC.   2006 VA-SEC $116,000
Claritas Investments Ltd. Principal Financial financial services 2013 SEC $144,819
Clairmont Capitol, Inc.   2002 WA-FIN $6,000
CJB Trading, LLC and CJB Properties, LLC and CJB Homes, LLC   2019 MD-SEC $365,000
City Securities Corporation   2015 SEC $250,000
City Securities Corporation   2013 SEC $580,000
City Securities Corporation   2009 FINRA $250,000
City National Securities   2008 FINRA $315,000
City Escrow, Inc.   2004 WA-FIN $12,000
City Credit Capital, (UK) Ltd.   2012 CFTC $140,000
City Capital Corp.   2011 IL-SEC $10,000
Citigroup, Inc. Citigroup financial services 2005 SEC $208,000,000
Citigroup Global Markets, Inc. and Citi Smith Barney Citigroup financial services 2008 MULTI-AG $7,100,000,000
Citigroup Global Markets, Inc. Citigroup financial services 2006 SEC $1,500,000
Citigroup Global Markets, Inc. Citigroup financial services 2005 SEC $20,000,000
Citigroup Global Markets, Inc. Citigroup financial services 2007 SEC $200,000
Citigroup Global Markets, Inc. Citigroup financial services 2017 NY-AG $23,500,000
Citigroup Global Markets, Inc. Citigroup financial services 2010 AK-DBS $150,507
Citigroup Global Markets, Inc. Citigroup financial services 2015 AK-DBS $35,000
Citigroup Global Markets, Inc. Citigroup financial services 2010 IN-SEC $692,000
Citigroup Global Markets, Inc. Citigroup financial services 2010 MO-SEC $277,500
Citigroup Global Markets, Inc. Citigroup financial services 2014 FINRA $15,000,000
Citigroup Global Markets, Inc. Citigroup financial services 2012 FINRA $3,500,000
Citigroup Global Markets, Inc. Citigroup financial services 2012 FINRA $725,000
Citigroup Global Markets, Inc. Citigroup financial services 2011 FINRA $500,000
Citigroup Global Markets, Inc. Citigroup financial services 2010 FINRA $650,000
Citigroup Global Markets, Inc. Citigroup financial services 2008 FINRA $300,000
Citigroup Global Markets, Inc. Citigroup financial services 2007 FINRA $15,200,000
Citigroup Global Markets, Inc. Citigroup financial services 2006 FINRA $350,000
Citigroup Global Markets, Inc. Citigroup financial services 2005 FINRA $6,250,000
Citigroup Global Markets, Inc. Citigroup financial services 2004 FINRA $275,000
Citigroup Global Markets, Inc. Citigroup financial services 2004 FINRA $250,000
Citigroup Global Markets, Inc. Citigroup financial services 2004 FINRA $250,000
Citigroup Global Markets, Inc Citigroup financial services 2012 FINRA $2,741,489
Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc. Citigroup financial services 2003 SEC $400,000,000
Citigroup Global Markets Inc. and Citigroup Alternative Investments LLC Citigroup financial services 2015 SEC $180,000,000
Citigroup Global Markets Inc. Citigroup financial services 2015 SEC $500,000
Citigroup Global Markets Inc. Citigroup financial services 2017 CFTC $25,000,000
Citigroup Global Markets Inc. Citigroup financial services 2018 SEC $12,937,475
Citigroup Global Markets Inc. Citigroup financial services 2009 DE-AG $309,000
Citigroup Global Markets Inc. Citigroup financial services 2009 NJ-AG $3,300,932
Citigroup Global Markets Inc. Citigroup financial services 2015 CT-SEC $35,000
Citigroup Global Markets Inc. Citigroup financial services 2012 MA-SEC $2,000,000
Citigroup Global Markets Inc. Citigroup financial services 2013 MA-SEC $30,000,000
Citigroup Global Markets Inc. Citigroup financial services 2015 NH-BSR $35,000
Citigroup Global Markets Inc. Citigroup financial services 2010 TX-SEC $130,000
Citigroup Global Markets Inc. Citigroup financial services 2014 VA-SEC $9,500
Citigroup Global Markets Inc. Citigroup financial services 2010 MULTI-FIN (*) $100,000,000
Citigroup Global Markets Inc. Citigroup financial services 2003 MULTI-FIN (*) $150,000,000
Citigroup Global Markets Inc. Citigroup financial services 2015 MULTI-FIN $1,965,000
Citigroup Global Markets Inc. Citigroup financial services 2019 FINRA $280,000
Citigroup Global Markets Inc. Citigroup financial services 2019 FINRA $1,250,000
Citigroup Global Markets Inc. Citigroup financial services 2017 FINRA $11,500,000
Citigroup Global Markets Inc. Citigroup financial services 2017 FINRA $1,000,000
Citigroup Global Markets Inc. Citigroup financial services 2014 FINRA $5,000,000
Citigroup Global Markets Inc. Citigroup financial services 2014 FINRA $2,488,000
Citigroup Global Markets Inc. Citigroup financial services 2014 FINRA $1,097,000
Citigroup Global Markets Inc. Citigroup financial services 2010 FINRA $1,500,000
Citigroup Global Markets Inc. Citigroup financial services 2009 FINRA $600,000
Citigroup Global Markets Inc. Citigroup financial services 2006 FINRA $1,115,000
Citigroup Global Markets Inc. Citigroup financial services 2005 FINRA $60,000
Citigroup Global Markets Inc. Citigroup financial services 2004 FINRA $5,000,000
CITIGROUP GLOBAL MARKETS INC Citigroup financial services 2004 VA-SEC $72,486
Citigroup Global Markets Citigroup financial services 2015 SEC $15,000,000
Citigroup Global Markets Citigroup financial services 2017 SEC $2,963,735
Citigroup Global Markets Citigroup financial services 2017 SEC $18,300,000
CITIGROUP GLOBAL MARKETS Citigroup financial services 2008 VA-SEC $22,000
Citigroup Global Markets Citigroup financial services 2009 FINRA $425,000
Citigroup Global Markets Citigroup financial services 2009 FINRA $2,000,000
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.