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
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
Trillium Trading LLC   2006 FINRA $225,000
Trillium Brokerage Services, LLC   2010 FINRA $1,000,000
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
Triad Advisors   2014 FINRA $1,025,000
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
Transcend Capital, LP   2004 FINRA $10,000
Transamerica Financial Advisors, Inc. Aegon financial services 2019 SEC $6,023,072
Transamerica Financial Advisors, Inc. Aegon financial services 2020 FINRA $8,800,000
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
TradeStation Securities, Inc.   2008 FINRA $750,000
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 Square Securities   2002 FINRA $4,500,000
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
Torrey Pines Securities, Inc.   2001 FINRA $14,000
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
TMTE, Inc., a/k/a Chase Metals, LLC   2020 MO-SEC $38,000
TMTE, Inc. aka Metals.com aka Chase Metals, Inc.   2020 AK-DBS $700,000
TMA Franchise Systems, Inc. d/b/a The Mosquito Authority   2015 VA-SEC $22,500
TLC Investments & Trade Co.   2001 SEC $106,600,000
TJM Proprietary Trading LLC   2009 SEC $541,000
Titan Wealth Management LLC   2007 TX-SEC $9,000
Titan Trade Club   2018 MN-FIN $10,000
Titan Capital Real Estate Fund I, LLC   2019 AZ-SEC $3,076,315
Tital Funding Group 1, LLC and Titan Capital Holdings LLC   2019 AZ-SEC $39,740
TIRE RECYCLERS, INC.   2001 VA-SEC $15,000
Tillage Commodities, LLC   2017 CFTC $150,000
Tilden Loucks & Woodnorth and LLC, Lasalle St. Securities, LLC   2012 SEC $200,000
Tiffany Capital Advisors, Inc.   2001 SEC $40,000
Tierion, Inc.   2020 SEC $250,000
Tier One, Inc.   2007 SEC $85,500
Tidewell DeWitt Investment Services, LLC   2007 AL-SEC $7,262
Tidewater Financial Group PC   2016 NH-BSR $14,500
Tiburon Research Group, Inc.   2018 CA-DFPI $5,000
Tiber Creek Corp.   2019 SEC $209,797
TIAA-CREF Individual & Institutional Services, LLC TIAA financial services 2019 SEC $2,395,722
Thunderstruck Investments Limited   2017 MO-SEC $122,092
Thrivent Investment Management Inc. Thrivent Financial financial services 2020 IL-SEC $400,000
Thrive Learning Institute   2009 IL-SEC $22,734
Three Nines Minerals Ltd. Et al.   2013 OR-FIN $474,000
Three Bridge Wealth Advisors, LLC   2019 SEC $60,000
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.