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
Cantor Fitzgerald & Co. Cantor Fitzgerald financial services 2018 SEC $1,250,000
Cantor Fitzgerald & Co. Cantor Fitzgerald financial services 2019 SEC $647,000
Cantor Fitzgerald & Co. Cantor Fitzgerald financial services 2020 SEC $3,200,000
Cantor Fitzgerald & Co. Cantor Fitzgerald financial services 2019 FINRA $2,000,000
Cantor Fitzgerald & Co. Cantor Fitzgerald financial services 2015 FINRA $7,300,000
Cantor Fitzgerald Cantor Fitzgerald financial services 2012 CFTC $700,000
Cantone Research, Inc. and Cantone Office Center, LLC   2017 NJ-BOS $2,100,000
Cantone Research, Inc.   2020 NJ-BOS $10,000
Cantone Research Inc.   2017 CT-SEC $20,000
Canton Hathaway LLC   2021 SEC $25,000
Canterbury Consulting, Inc.   2017 SEC $172,986
Cantella & Company, Inc.   2006 SEC $50,000
Cantella & Co., Inc.   2019 SEC $919,597
Cantella & Co., Inc.   2002 FL-OFR $50,000
Cantella & Co., Inc.   2021 SEC $701,630
Cantella & Co.   2016 SEC $100,000
Canon Inc. Canon electrical and electronic equipment 2019 FTC $2,500,000
Cannon Operating Company, LLC   2019 IN-SEC $223,664
Cannon Operating Company LLC   2015 SC-SEC $5,000
Cannell Capital, LLC   2020 SEC $150,000
Cannas Capital, LLC   2020 MI-SEC $10,000
Cannacea LLC   2017 OR-FIN $40,000
Cannabis Plus Missouri, L.L.C. and Can Plus Mo Investments   2020 MO-SEC $11,016
Candy King of America, Inc.   2006 CT-SEC $25,000
Candide Group, LLC   2017 CA-DFPI $15,000
Canary Capital Partners LLC   2006 NJ-AG $10,000,000
Canarsie Capital, LLC   2015 SEC $3,494,938
CanAm Capital Corp. et al.   2012 CA-DFPI $17,860,000
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 Inc. and Cambridge Investment Research Advisors Inc.   2021 SEC $250,000
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. Energy Capital Partners private equity (including portfolio companies) 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&C Capital, LLC   2010 ID-SEC $15,000
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 & 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
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.