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
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
Brisk Management, LLC   2018 WA-FIN $11,500
Brinker Capital Securities, Inc.   2005 FINRA $60,000
Bright Light Capital Advisor, Inc.   2020 CA-DFPI $5,000
BRIGHT COVE SECURITIES INC.   2001 VA-SEC $5,000
Bridgeway Capital Management   2004 SEC $5,116,464
Bridgewater Communications Group LLC, The Exchange, LLC   2016 CT-SEC $7,500
BRIDGETOWN FRAGRANCES, INC.   2017 VA-SEC $5,000
Bridge Harbor Management, Inc. and Creative Insurance Concepts, Inc.   2010 CA-DFPI $11,780,076
Briargate Trading LLP   2015 SEC $912,842
Brendaleetrades.com   2021 MO-SEC $76,692
Bremen Investment Company, LLC and Harvest Marketplace, LLC   2016 MO-SEC $62,500
Brecek & Young Advisors, Inc.   2004 FINRA $31,224
Brean Murray & Co., Inc.   2005 SEC $150,000
Brazos Securities Inc.   2018 TX-SEC $20,000
BRAZELTON LOAN PARTNERS   2013 VA-SEC $22,168
Brandywine Financial Group Inc.   2017 PA-BKG $34,500
Branded Marketing LLC   2015 NJ-AG $13,300,000
Branch Banking and Trust Company Truist Financial financial services 2016 SC-SEC $97,500
Branch Banco, Inc.   2007 FL-OFR $13,500
Brahman Capital Corp.   2017 SEC $250,000
Brahma Management Ltd.   2018 SEC $75,000
Bradway Financial, LLC and Bradway Capital Management, LLC   2017 SEC $150,000
BPU Investment Management, Inc.   2020 SEC $927,107
BP BP oil and gas 2012 SEC $525,000,000
Bountiful LLC   2007 OR-FIN $23,000
Boulder Wealth Management, LLC   2010 MO-SEC $5,000
Botta Trading, LLC   2000 FINRA $75,000
Botta Capital Management, L.L.C.   2009 SEC $825,000
Boston Trading Advisors, LLC   2003 CFTC $10,000
Boston Capital Securities, Inc.   2006 FINRA $1,200,000
BOSC, Inc.   2015 SEC $250,000
BOSC, Inc.   2005 FINRA $30,000
Boon Tech   2020 SEC $5,600,334
Boomerang Capital, LLC   2020 CT-BKG $5,020
Bonwick Capital Partners, LLC   2017 SEC $50,000
Bolton Total Wealth Management and Spirited Funds, LLC   2019 KY-FIN $220,000
Bolton Securities Corporation   2021 SEC $224,994
Bok Financial Securities, Inc. BOK Financial financial services 2019 SEC $197,801
BOK Financial Corporation BOK Financial financial services 2016 SEC $1,667,720
Boenning & Scattergood, Inc.   2016 SEC $250,000
Boenning & Scattergood, Inc.   2020 SEC $205,567
Bodell Overcash Anderson & Co., Inc.   2005 ME-SEC $10,538
Bob's Cash Express, Inc. et al.   2003 AZ-SEC $693,320
Boardwalk Mortgage Group, LLC   2008 AR-SEC $5,631
Boardroom Private Investment Group   2016 SC-SEC $10,000
BNY Mellon Shareowner Services Bank of New York Mellon financial services 2010 MA-AG $30,000
BNY Mellon Securities LLC Bank of New York Mellon financial services 2011 SEC $24,045,447
BNY Mellon Capital Markets, LLC Bank of New York Mellon financial services 2015 SEC $120,000
BNY Mellon Capital Markets, LLC Bank of New York Mellon financial services 2008 FINRA $250,000
BNY Mellon Capital Markets LLC Bank of New York Mellon financial services 2011 TX-SEC $500,000
BNY Mellon Bank of New York Mellon financial services 2017 SEC $6,600,000
BNY Brokerage, Inc.   2004 FINRA $12,000
BNP Paribas Securities Corp. BNP Paribas financial services 2020 SEC $250,000
BNP Paribas Securities BNP Paribas financial services 2015 CFTC $140,000
BNB Wealth Management, LLC   2020 SEC $74,417
BNB Capital, Inc.   2002 SEC $5,000
BMO Harris Financial Advisors Inc. and BMO Asset Management Corp. Bank of Montreal financial services 2019 SEC $37,980,000
BMO Capital Markets GKST Inc. Piper Sandler financial services 2015 SEC $250,000
BMO Capital Markets Corporation Bank of Montreal financial services 2019 SEC $3,946,000
BMO Capital Markets Corp. Bank of Montreal financial services 2019 SEC $1,950,000
BMO Capital Markets Corp. Bank of Montreal financial services 2008 FINRA $150,000
BMA Securities, LLC   2020 SEC $333,537
Blyth & Associates, Inc.   2019 SEC $103,071
BlueRay Technologies, LLC et al.   2012 WA-FIN $12,500
Blueray Technologies L.L.C. and Blue Ray Technologies, Inc.   2008 CA-DFPI $50,000
Bluepac Management LLC   2012 AL-SEC $7,000
BlueLinx Holdings Inc. Cerberus Capital Management private equity (including portfolio companies) 2016 SEC $265,000
Bluefire Renewables, Inc. BlueFire Renewables utilities and power generation 2016 SEC $25,000
Bluefin Trading, LLC   2019 SEC $303,638
BlueCrest Capital Management Limited   2020 SEC $170,000,000
Blue Water Financial, LLC   2020 PA-BKG $40,000
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.