Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$78,346,186,381
Number of Penalty Records: 
5,568
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$13,424,705,23577
UBS$11,623,979,90947
Citigroup$8,095,660,13535
JPMorgan Chase$5,978,549,59944
Morgan Stanley$4,122,853,726105
Deutsche Bank$3,994,334,82825
Goldman Sachs$3,888,695,98726
Wells Fargo$2,425,119,26153
American International Group$1,618,900,0005
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
U.S. Gas & Electric, Inc.   2006 SEC $167,000
U.S. Bank National Association U.S. Bancorp financial services 2015 CFTC $18,000,000
U.S. Bank National Association U.S. Bancorp financial services 2005 SEC $500,000
U.S. Bank Municipal Securities Group U.S. Bancorp financial services 2015 SEC $60,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler financial services 2003 SEC $32,500,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler financial services 2002 SEC $100,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler financial services 2003 MT-SEC $2,625,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler financial services 2002 NE-DBF $5,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler financial services 2003 MULTI-FIN (*) $12,500,000
U.S. Bancorp Investments, Inc. U.S. Bancorp financial services 2020 SEC $15,992,441
Tyrol Group, LLC, Native American Tyrol Energy, LLC   2017 CT-SEC $100,000
Tyco International Ltd., Tyco Electronics Ltd., and Covidien Ltd. Johnson Controls automotive parts 2009 MI-AG $24,500,000
Tyco International Ltd. Johnson Controls automotive parts 2002 NH-BSR $5,100,000
Twin Rocks Asset Management, Inc.   2013 IN-SEC $5,000
TVDeeBee, Inc.   2015 WA-FIN $12,500
TV Products, LLC fka US Loans Negotiation, LLC   2013 AZ-SEC $185,734
Turan Petroleum, Inc. and NRG Resources, Inc.   2013 CA-DFPI $10,000
Tunney & Associates, P.C.   2014 CFTC $100,000
Tullett Prebon Americas Inc.   2019 CFTC $13,000,000
Tucson Estate Financial Advisors, Inc.   2000 AZ-SEC $114,080
Tucker Financial Services Inc.   2015 VT-FIN $644,886
TSP Capital Management Group, LLC   2020 SEC $60,000
Trustmont Financial Group Inc.   2013 PA-BKG $100,000
Trustcore Financial Services, LLC   2019 SEC $422,261
Trust & Investment Advisors, Inc.   2015 SEC $50,000
True North Productions, LLC   2012 OR-FIN $400,000
True North Business Ventures LLC   2013 AZ-SEC $376,091
Truckville Inc. dba EZ Finance Auto Sales   2000 AZ-SEC $5,000
TRP Advisory Group, Inc. and Traders East, Inc.   2010 CFTC $150,000
Troubh Partners   2014 SEC $408,710
Tropical Trade   2018 MO-SEC $137,109
Tropical Smoothie Franchise Development Corp.   2011 MD-SEC $10,000
TROPICAL SMOOTHIE ET AL.   2008 VA-SEC $26,000
Tropical Racing, Inc.   2019 CO-SEC $6,049
Trolice Consulting Services, LLC   2016 NJ-BOS $2,500,000
Triune, LLC dba Baja Fresh   2012 MD-SEC $50,000
TRIUNE, LLC   2012 VA-SEC $30,000
Triton EP, LLC   2006 AL-SEC $10,000
Trinity Temporaries & Business Services   2014 MD-SEC $175,000
Trinity Investment Club Ltd.   2001 FL-OFR $5,000
Trinity Capital Management, LLC   2014 MO-SEC $10,000
Trinad Management, LLC   2014 SEC $95,000
Triland USA Inc.   2010 CFTC $725,000
Trigon Group, Inc.   2012 CFTC $20,600,000
Trigon Group LLC   2010 CFTC $41,200,000
Trickling Springs Creamery, LLC   2020 PA-BKG $4,375,000
Triad Advisors, Inc.   2002 FL-OFR $5,000
Tri-Star Advisors, Inc.   2015 SEC $150,000
Tri-County Finance Co., Inc.   2010 IN-SEC $165,140
Tri-Core Mexico Land Development, LLC   2013 AZ-SEC $1,075,000
Tri-Core Companies, LLC et al.   2017 AZ-SEC $4,822,311
Tri-City Baptist Church, Inc.   2004 MO-SEC $15,000
TRH Financial LLC   2017 SEC $35,000
TrendsGroup International, Inc.   2003 SEC $445,691
TreeFree Biomass Solutions, Inc.   2016 WA-FIN $20,000
Treasury Vault, LLC   2019 CFTC $75,000
Treasure Heart Financial Counseling   2011 OR-FIN $5,000
Treasure Enterprise, LLC   2017 MI-SEC $40,000
Traverse Bay Investments Company, Ltd.   2012 IN-SEC $32,000
Traverse Bay Investments Company, Ltd.   2015 MI-SEC $10,000
TRANSCOMMUNITY FINANCIAL CORP.   2006 VA-SEC $58,900
TransCoastal Partners, LLC   2007 CA-DFPI $25,000
Transamerica Financial Advisors, Inc. Aegon financial services 2019 SEC $6,023,072
Transamerica Financial Advisors Aegon financial services 2014 SEC $1,107,248
Transamerica Asset Management, Inc. Aegon financial services 2020 SEC $5,946,782
Trans World Animal Health, LLC   2011 IN-SEC $10,000
Trans Global Investments, LLC   2013 CFTC $340,000
Train, Babcock Advisors LLC   2017 SEC $1,700,725
Trager, L.L.C.   2019 AZ-SEC $50,000
Trading Epic   2019 MO-SEC $148,335
TradeRight Corp.   2008 IL-SEC $10,000
Trader's Way   2017 MO-SEC $12,000
Trader's International Return Network   2013 CFTC $22,800,000
Tradeology.com, Inc.   2010 WA-FIN $7,000
Tradenet Capital Markets Ltd.   2020 SEC $130,000
TradeMasters USA, LLC   2018 CFTC $674,504
Trademark INT PTT AB   2020 CA-DFPI $7,500
Trademark Capital Management, LLC and Blue Investments, LLC   2009 AZ-SEC $3,100,880
Tradebot Systems Inc.   2014 SEC $50,000
Trade-PMR Inc.   2016 CT-SEC $75,000
Trade-PMR Inc.   2018 TX-SEC $25,000
Trade, LLC   2013 CFTC $39,800,000
Trade Exchange Network Limited   2005 CFTC $150,000
TPG Capital Advisors, LLC TPG Capital private equity (including portfolio companies) 2017 SEC $12,487,620
TPG Capital TPG Capital private equity (including portfolio companies) 2001 SEC $50,000
TPG Advisors LLC   2016 SEC $328,437
TPEG Securities, LLC   2020 CT-SEC $8,950
Town Residential   2015 NY-AG $7,500
Towle Farm Mortgage Investors, LLC   2018 NH-BSR $8,000
Towle Farm Mortgage Investors, LLC   2019 NH-BSR $24,350
Tower Square Securities, Inc.   2007 CT-SEC $300,000
Tower Research Capital LLC   2019 CFTC $67,493,849
Touradji Capital Management, L.P.   2011 SEC $1,303,336
Touchstone Funds Group Trust   2013 AK-DBS $5,000
TOTE Fund LLC and MJS Capital Management LLC   2015 CFTC $871,439
Total Gas & Power North America, Inc. Total S.A. oil and gas 2015 CFTC $3,600,000
Total Call Group, Inc.   2012 CFTC $4,800,000
Toshiba Corporation Toshiba electrical and electronic equipment 2019 FTC $2,500,000
Top of Texas Financial Strategies Inc.   2003 TX-SEC $5,000
TokenLot LLC   2018 SEC $478,929
Todderwatch.com, Inc.   2002 FL-OFR $25,000
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.