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
CIBC World Markets Corp. Canadian Imperial Bank of Commerce financial services 2008 FINRA $200,000
CIBC World Markets Corp. Canadian Imperial Bank of Commerce financial services 2005 FINRA $40,000
CI FRANCHISE COMPANY, LLC   2016 VA-SEC $65,000
Church of God Foundation Inc.   2012 TN-SEC $5,050
Chum Chum Game Company   2007 WA-FIN $5,000
CHS, Inc. CHS Inc. agribusiness 2019 CFTC $500,000
CHS Inc. CHS Inc. agribusiness 2016 CFTC $1,000,000
Chrysology Capital Group, L.L.C.   2021 AZ-SEC $10,000
Chronos Asset Management, Inc.   2008 SEC $2,176,915
CHRISTIAN WEALTH MANAGEMENT, LLC   2016 VA-SEC $60,000
Christian Service Foundation, Inc.   2010 IN-SEC $5,000
Christian Dream Builder Financial Planning, Inc.   2005 IL-SEC $30,000
Choice Investments, Inc.   2000 FINRA $27,000
Choice Investment Management, LLC   2016 CO-SEC $10,000
Choice Equity   2018 SEC $2,430,850
ChinaMedia Express Holdings   2013 SEC $41,144,082
China Valves Technology Inc.   2015 SEC $575,000
China Shenghai Investment Management Limited   2014 SEC $4,300,000
CHILDREN'S MAGICAL CITIES INC. AND CMC GLOBAL ENTERTAINMENT LLC   2001 VA-SEC $161,000
CHILDREN OF AMERICA, INC.   2007 VA-SEC $6,000
Childcare Seekers Onestop Inc.   2006 OR-FIN $15,000
Child, Van Wagoner & Bradshaw, PLLC   2015 SEC $130,506
Chicago Board Options Exchange CBOE Holdings financial services 2013 SEC $6,000,000
Chestnut Exploration Partners Inc.   2012 TX-SEC $50,000
Chesterfield Mortgage Investors, Inc.   2007 WA-FIN $5,000
CHESAPEAKE INVESTMENT SERVICES INC.   2004 VA-SEC $54,000
Chesapeake Financial Solutions, LLC   2013 MD-SEC $10,000
CherryHomes Joint Venture   2011 CT-SEC $100,000
Cherokee Investment Partners, LLC and Cherokee Advisers, LLC   2015 SEC $100,000
Cherokee Investment Partners LLC   2018 SEC $75,000
Cherokee Gas Systems, Inc.   2009 MN-FIN $5,000
Cherokee Gas Systems, Inc.   2010 WA-FIN $11,000
Cherokee Energy Company LLC   2003 OK-SEC $10,000
Chemical Trust, U.S. Guarantee Corp., and United Marketing Trust   2000 SEC $20,590,000
Chelsea Financial Services   2013 MT-SEC $312,524
Chelsea Financial Group, LLC   2013 MD-SEC $50,000
Checkmake Financial, Inc.   2006 MD-SEC $40,000
Check and Send, Inc.   2005 AZ-SEC $807,484
Chazel Capital, Inc. and OFIR Mine Project, LP   2012 AZ-SEC $7,500
Chase Securities, Inc. JPMorgan Chase financial services 2001 FINRA $10,000
Chase Investment Services Corporation JPMorgan Chase financial services 2011 FINRA $3,600,000
Chase Investment Services Corporation JPMorgan Chase financial services 2006 FINRA $500,000
Chase Investment Services Corp. JPMorgan Chase financial services 2009 FINRA $250,000
Chase Investment Services Corp. JPMorgan Chase financial services 2009 FINRA $32,500
Chase Investment Services Corp. JPMorgan Chase financial services 2005 FINRA $60,000
Chase Investment Services Corp. JPMorgan Chase financial services 2004 FINRA $250,000
Chase Investment Services JPMorgan Chase financial services 2005 FINRA $290,262
Chase Investment Services JPMorgan Chase financial services 2005 FINRA $2,000,000
Charter One Capital Holding, Inc.   2006 CT-SEC $200,000
Charter Capital Management, LLC   2019 SEC $40,000
Charlevoix Homes LLC   2011 AZ-SEC $5,727,226
Charles Schwab Investment Management and Charles Schwab & Co., Inc. Charles Schwab Corp. financial services 2011 SEC $118,000,000
Charles Schwab & Company, Inc. Charles Schwab Corp. financial services 2011 FINRA $18,000,000
Charles Schwab & Company Charles Schwab Corp. financial services 2013 FINRA $500,000
Charles Schwab & Co., Inc. et al. Charles Schwab Corp. financial services 2011 IL-SEC $8,567,364
Charles Schwab & Co., Inc. Charles Schwab Corp. financial services 2004 SEC $350,000
Charles Schwab & Co., Inc. Charles Schwab Corp. financial services 2018 SEC $2,800,000
Charles Schwab & Co., Inc. Charles Schwab Corp. financial services 2011 CT-SEC $2,800,000
Charles Schwab & Co., Inc. Charles Schwab Corp. financial services 2014 FINRA $500,000
Charles Schwab & Co. Inc. Charles Schwab Corp. financial services 2016 TX-SEC $125,000
Charles Schwab & Co. Charles Schwab Corp. financial services 2014 SEC $61,800
Charles Schwab & Co. Charles Schwab Corp. financial services 2015 FINRA $2,000,000
Charles Schwab & Co, Inc. Charles Schwab Corp. financial services 2004 FINRA $60,869
Charles Morgan Securities, Inc.   2011 CT-SEC $15,000
Charles Balcom and Consultants Ltd.   2017 SD-INS $20,000
Channing Capital Management, LLC   2019 SEC $50,000
Channel Investments et al.   2011 CA-DFPI $165,000
Changes Worldwide, LLC   2017 FL-OFR $150,000
CHANELLO'S INTERNATIONAL, INC.   2013 VA-SEC $12,500
Chandy Enterprises, LLC   2017 MD-SEC $16,500
CHANCELLORSVILLE FINANCING   2008 VA-SEC $140,000
Champion Management International, LLC   2014 CFTC $2,544,722
Challenger Wealth Management   2020 TX-SEC $5,000
CGI Capital, Inc.   2000 SEC $25,000
CGF Securities, LLC   2003 FL-OFR $7,500
CGF Securities, LLC   2003 MN-FIN $5,000
CGF Securities LLC   2003 ND-SEC $5,000
CFO-5 LLC   2010 SEC $3,197,222
CFG Solutions, LLC   2013 OR-FIN $30,000
Cetera Investment Services LLC   2016 MT-SEC $50,000
Cetera Investment Advisers LLC   2019 SEC $185,000
Cetera Financial Specialists LLC   2016 FINRA $350,000
Cetera Advisors LLC   2017 OR-FIN $35,000
Cetera Advisors LLC   2015 FINRA $702,622
Cetera Advisor Networks LLC   2016 FINRA $750,000
Cetera Advisor Networks LLC   2015 FINRA $301,108
Ceros Financial Services, Inc.   2017 NH-BSR $400,000
Cerebrum Financial Services LLC   2019 PA-BKG $25,000
Century Maxim Fund and AJR Capital   2007 CFTC $22,500,000
Centurion Global Capital Management LLC   2012 CFTC $360,000
Centurion Asset Management, Inc.   2011 CFTC $49,700,000
Centre Partners Management, LLC   2017 SEC $50,000
Central States Capital Markets, LLC   2015 SEC $60,000
Central States Capital Markets, LLC   2016 SEC $374,827
Central States Capital Markets, LLC   2016 MO-SEC $12,000
Central Missouri Energy, LLC   2016 MO-SEC $314,940
Central Missouri Commodities, Inc.   2008 MO-SEC $65,000
Centenarios Gold, Inc.   2005 AZ-SEC $5,000
Centaurus Financial, Inc.   2009 FINRA $175,000
Centaurus Financial, Inc.   2021 SEC $1,281,396
Centaur Management Co. LLC   2012 SEC $364,322
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.