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
Canady Holdings, Inc.   2006 MO-SEC $8,267
Canadian Imperial Bank of Commerce Canadian Imperial Bank of Commerce financial services 2005 SEC $125,000,000
Canadian Imperial Bank of Commerce Canadian Imperial Bank of Commerce financial services 2005 NY-AG (*) $125,000,000
Canaccord Genuity LLC   2019 SEC $250,000
Canaccord Genuity Inc.   2016 SEC $550,198
Cana Financial Advisors, LLC   2012 IN-SEC $30,000
Camden Consulting, Inc. and SKS Consulting, Inc.   2007 SEC $3,925,000
Cambridge Investment Research, Inc.   2012 MS-SEC $6,500
Cambridge Investment Research Advisors, Inc.   2016 SEC $225,000
Cambridge Investment Research Advisors, Inc.   2019 SEC $6,187,562
Cambridge Adult Day Center Washington, LLC et al.   2017 MO-SEC $1,617,144
Calvert Investment Distributors, Inc. and Calvert Investment Management, Inc.   2017 SEC $22,614,534
Calumet Specialty Products Partners, L.P. Calumet Specialty Products chemicals 2019 SEC $250,000
Calton & Associates, Inc.   2019 SEC $305,044
Calpine Energy Services, L.P. Calpine utilities and power generation 2004 CFTC $1,500,000
Calivin Bird & Associates, LLC and Island Falls Financial, Inc.   2007 MO-SEC $14,605
Calhoun Asset Management, LLC   2012 SEC $50,000
Caledonia Investments plc   2016 FTC $480,000
Caledonia Investments   2016 DOJ_ANTITRUST $480,000
Caldwell Sutter Capital Inc.   2020 ME-SEC $6,936
Calandro Advisory Services Inc.   2009 TX-SEC $10,000
Cal-Terra Partners, LLC   2012 IN-SEC $260,000
Cain Brothers & Company, LLC and SHP Capital Markets, Inc.   2000 FINRA $1,180,000
CAI Managers & Co. L.P.   2018 SEC $75,000
CAG Financial, L.L.C and CAG Financial Services, L.L.C and Leigh & Associates, L.L.C.   2008 AZ-SEC $566,573
CAG Capital, Inc. dba Glendale Car Connection   2008 AZ-SEC $1,024,406
Caffebene, Inc.   2018 MD-SEC $5,000
Caffe Diva Group Ltd et al.   2002 OR-FIN $75,000
Caesar Investments, LLC   2017 AZ-SEC $472,378
Cadent Financial Services LLC   2011 CFTC $125,000
Cadent Financial Services LLC   2009 CFTC $120,000
Cadaret, Grant & Co., Inc. Atria Wealth Solutions financial services 2008 NE-DBF $10,000
Cadaret, Grant & Co. Inc. Atria Wealth Solutions financial services 2018 SEC $513,194
Cadaret Grant & Co. Inc. Atria Wealth Solutions financial services 2019 PA-BKG $90,000
Cadaret and Grant & Co., Inc.   2017 SEC $3,048,000
Cache Private Capital Diversified Fund LLC   2017 ID-SEC $25,000
CAC Capital Corporation   2006 VA-SEC $15,000
Cabildo Capital, LLC   2019 MD-SEC $10,000
CAA General Partnership   2010 AZ-SEC $2,929,858
C22 Capital, Inc.   2016 IL-SEC $10,000
C.M.A.C International, Inc.   2013 CA-DFPI $195,993
C.L. King & Associates, Inc.   2017 FINRA $750,000
C.J.M. Planning Corp.   2002 FL-OFR $5,000
C-Street Financial Group et al.   2011 AZ-SEC $874,260
C&C Capital, LLC   2010 ID-SEC $15,000
C & R Financial, Inc.   2011 CFTC $5,350,000
C & D MANAGEMENT COMPANY   2008 VA-SEC $15,000
C & C Franchising, Inc. d/b/a Jani-King of Hampton Roads   2015 VA-SEC $29,000
bVisual, S.A. and bVisual Group, Ltd.   2010 WA-FIN $16,000
Buy Car Notes.com Inc. et al.   2012 OK-SEC $45,000
Buttonwood Tree Management, LLC   2018 CA-DFPI $50,223
Butterworth Advisory Services and Senior Advisory Services   2006 AZ-SEC $285,000
Butler, Wick & Co., Inc.   2004 MO-SEC $11,600
Butler Freeman Tally Financial Group LLC   2007 TX-SEC $20,000
Butler Classic Homes, LLC et al.   2009 MD-SEC $675,000
Business Owners Tax Relief LLC   2020 AZ-SEC $4,674,873
Business Development Corporation of America   2016 OR-FIN $5,000
Business & Financial Advisors, Inc.   2001 SEC $128,817
Burke, Lawton, Brewer & Burke   2000 TX-SEC $7,500
Buraness Management, LLC   2011 MO-SEC $14,827
Bunge Global Markets, Inc. Bunge agribusiness 2011 CFTC $550,000
Buckson Realty Brokerage, Inc.   2000 DE-SEC $39,934
Buckman, Buckman & Reid, Inc.   2019 FINRA $205,000
Buchanan Capital LLC et al.   2016 PA-BKG $190,000
BTS Securities Corporation   2008 RI-FIN $15,694
BTS Asset Management, Inc.   2012 SEC $200,000
BSK Enterprises, LLC   2009 AZ-SEC $2,539,225
Bryn Advisory Group, LLC   2013 FL-OFR $705,000
Bryan Funding Inc.   2016 PA-BKG $5,000
Brut, LLC Nasdaq Inc. financial services 2003 SEC $45,000
BRUT LLC Nasdaq Inc. financial services 2006 FINRA $2,200,000
Brunswick Capital LLC and Brunswick Capital Partners LP   2015 CFTC $1,025,039
Brunhaver Financial Services, LLC   2012 WA-FIN $10,000
Bruce Fund, Inc.   2006 NE-DBF $17,500
Brown Brothers Harriman & Co. Brown Brothers Harriman financial services 2014 SEC $120,000
Brookville Capital Partners LLC   2015 FINRA $1,500,000
Brookville Capital Partners   2012 CT-SEC $5,000
Brookstreet Securities Corporation Inc.   2005 OR-FIN $9,000
Brookstreet Securities Corp.   2004 FL-OFR $15,000
Brookstreet Securities Corp.   2007 MO-SEC $20,950
Brookstreet Securities Corp.   2008 MS-SEC $15,000
Brookstone Securities   2012 FINRA $2,600,000
Brookside Capital, LLC   2011 SEC $2,124,079
Brookshire Securities Corp.   2009 MS-SEC $225,000
Brookshire Raw Materials Management, LLC   2011 CFTC $15,800,000
Brooks Martin Investments, LLC and My1sthouse.com, LLC   2009 MD-SEC $358,432
Brooks Communications LLC   2016 SC-SEC $20,000
BROOKLYN WATER BAGEL FRANCHISE   2013 VA-SEC $6,000
Brookes Ventures, LLC dba Aulterra International   2016 ID-SEC $30,000
Brooke's Ventures LLC   2020 ID-SEC $20,000
BrokerageAmerica Inc.   2001 ND-SEC $5,000
Brogan Group Investment Advisors, LLC   2020 PA-BKG $7,500
Broadview Asset Management, LLC   2007 MO-SEC $5,500
Broadreach Capital, LLC   2016 FL-OFR $6,000
Broadpoint Capital, Inc.   2008 FINRA $200,000
Broadcom Corp. Broadcom electrical and electronic equipment 2008 SEC $12,000,000
Broadcom Corp. Broadcom electrical and electronic equipment 2009 NM-AG $160,500,000
Brixon Group Ltd.   2005 AZ-SEC $8,786,445
Brixon Group   2004 MS-SEC $50,000
BrixInvest, LLC   2019 SEC $300,000
Bristol Group Inc.   2018 SEC $75,000
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.