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
TAK Consulting LLC   2014 CA-DFPI $37,905
Taglich Brothers, Inc.   2004 SEC $50,000
TAG Entertainment USA, Inc. et al.   2007 MD-SEC $380,000
Tag and Tackle Outfitters, LLC   2013 MO-SEC $5,500
Tactical Wealth Management LLC   2020 KY-FIN $5,000
Taberna Capital Management   2015 SEC $21,500,000
T.S. Phillips Investment Inc.   2010 OK-SEC $5,000
T.S. Phillips Investment Inc.   2019 OK-SEC $10,000
T.H.E. Financial Group, Ltd.   2003 FL-OFR $15,000
T&H Northwest, LLC   2012 WA-FIN $22,500
System Capital, LLC   2013 CFTC $840,000
Synvest, Inc.   2005 MD-SEC $38,924
Synergy Oil, LLC   2014 CA-DFPI $20,400,047
Synergy Oil, LLC   2015 FL-OFR $75,000
Synergy Oil, LLC   2016 MO-SEC $97,264
Syndicated Capital, Inc.   2019 SEC $38,991
Syndicated Capital, Inc.   2014 CT-SEC $10,000
Sycamore Lane Partners LLC   2018 SEC $134,042
SWS Financial Services Inc.   2008 TX-SEC $35,000
Swiss Re Financial Products Corporation Swiss Re financial services 2007 SEC $95,000
Swift Excelsior Investments, Inc.   2009 IN-SEC $5,000
Sweetwater Investments, Inc.   2019 SEC $1,164,747
SuttonBrook Capital Management   2014 SEC $70,000
Susquehanna Investment Group   2009 SEC $7,640,000
Surgioscopy, LLC   2019 MO-SEC $50,000
Surety Services LLC   2013 VT-FIN $150,000
Sure Trace Security Corporation   2007 SEC $1,098,900
Supertrade Securities Inc.   2000 TX-SEC $15,000
Superior Manufacturing, Inc.   2008 MO-SEC $12,330
Superior Leasing of Arizona, Inc. and Superior Holding Group, Inc.   2000 AZ-SEC $6,792,956
SuperGlass Windshield Repair, Inc.   2019 VA-SEC $86,667
Super Absorbent Co., Synchronized Funding, LLC   2010 CA-DFPI $42,650,000
Supama International DMCC   2008 CFTC $164,680
SunTrust Capital Markets Inc. Truist Financial financial services 2006 SEC $125,000
SunTrust Banks Truist Financial financial services 2017 SEC $1,100,000
Sunset Investment Group, Inc.   2001 SEC $70,000
Sunset Financial Services, Inc.   2002 FL-OFR $21,000
Sunset Financial Services, Inc.   2007 MS-SEC $18,000
Sunset Financial Group Inc. et al.   2004 OK-SEC $304,664
Sunset Capital Assets, Inc.   2020 KY-FIN $45,000
Sunoco LP Energy Transfer pipelines 2020 CFTC $450,000
Sunny Investments Brokerage Firm   2015 IL-SEC $10,000
Sunlight Investments   2018 TX-SEC $15,000
Sundial Capital Management L.P.   2006 TX-SEC $5,000
Suncoast Financial Services Of North American, Inc.   2002 FL-OFR $635,000
Sunbelt Securities, Inc.   2011 KY-FIN $15,770
SUNAMERICA SECURITIES, INC.   2006 VA-SEC $10,000
Sun Village Juan Dolio Associates, LLC   2010 ID-SEC $2,653,880
Sun State Property Preservation, LLC and Wattenberg, LLC   2021 AZ-SEC $901,030
SUMMIT WEALTH MANAGEMENT, LLC   2011 VA-SEC $9,350
Summit Trading & Capital LLC   2013 CFTC $4,800,000
Summit Financial Group, Inc.   2019 SEC $1,032,702
Summit Financial Group, Inc.   2020 SEC $1,206,882
Summit Equities, Inc.   2018 MA-SEC $100,000
Summit Energy Services Inc. Schneider Electric electrical and electronic equipment 2015 CFTC $140,000
Summit Brokerage Services, Inc.   2013 AR-SEC $8,500
Summit Brokerage Services, Inc.   2006 MT-SEC $198,020
Sukarne SA de CV   2020 CFTC $35,000
Suisse Capital Complex, Inc. and Asia Equities, Inc.   2009 IN-SEC $271,200
Sugar Shack Donuts, LLC   2017 VA-SEC $8,000
Successful Resource Management, Ltd.   2015 MO-SEC $5,500
Successful Finance, Inc.   2000 AZ-SEC $421,040
Success Trade, Inc. and Success Trade Securities, Inc.   2015 SEC $26,158,214
Success Trade Inc.   2015 DC-DISB $13,179,804
Success Holding Group International, Inc.   2017 SEC $139,737
Success Concepts Enterprises, Inc. and World Business Consultants, Inc.   2003 WA-FIN $5,000
Style N'Tile International   2010 MT-SEC $1,596,750
Stuckey Group, L.P., Stuckey Group II, L.P. and Oakwood Development Company, L.P.   2012 CFTC $250,000
Strudwick Wealth Strategies, Inc.   2018 NH-BSR $280,000
Strudwick & Associates, Inc.   2020 MD-SEC $1,000,000
Structured Portfolio Management, L.L.C., SPM Jr., L.L.C., and SPM IV, L.L.C.   2014 SEC $300,000
Stroud Capital Management, LLC, TS Capital Partners, LLC, and TS Capital Management, LLC   2016 CFTC $4,723,246
Strongbow Investments GP, LLC   2010 CFTC $2,800,000
Strong Investment Management   2019 SEC $1,061,157
Strong Capital Management, Inc. Wells Fargo financial services 2004 SEC $80,000,000
Strong Capital Management, Inc. Wells Fargo financial services 2006 SEC $2,185,927
Strong Capital Management Co. Wells Fargo financial services 2004 MULTI-AG (*) $115,000,000
Strix Leviathan I, LLC   2019 WA-FIN $18,000
Strive Financial Group LLC and Wealth Security Firm LLC   2013 MN-FIN $5,000
StreamOne LLC   2015 IL-SEC $10,000
StreamOne FS, LLC   2015 IL-SEC $10,000
Stratus Franchising, LLC   2011 VA-SEC $20,000
Strategic Wealth Partners, LLC   2021 VA-SEC $20,000
Strategic Strategies, Inc.   2002 FL-OFR $40,000
Strategic Point Investment Advisors LLC and Progressive Financial Strategies LLC   2009 RI-FIN $50,000
Strategic Planning Group, Inc.   2019 SEC $200,000
Strategic Planning Group, Inc.   2019 MA-SEC $225,000
Strategic Capital Partners Muster Limited and Strategic Wealth Investments, Inc.   2020 SEC $1,031,270
Strategic Capital Holdings, LLC et al.   2020 OR-FIN $120,000
Strategic Capital Group LLC   2014 SEC $586,290
Strategic Capital Alternatives, LLC   2012 ID-SEC $5,000
Stratcomm Media Ltd.   2003 SEC $45,400,000
Strasbourger Pearson Tulcin Wolff Inc.   2010 MT-SEC $92,000
Strand, Atkinson, Williams & York, Inc.   2007 MO-SEC $5,000
Stralem & Company, Inc.   2006 IL-SEC $5,000
Straight Line Investment Group LLC   2018 ID-SEC $8,000
Stracq, Inc.   2005 SEC $660,000
Storm Crow Investments, LLC   2015 MO-SEC $70,784
Stonemor Partners L.P. and Stonemor GP LLC   2019 SEC $250,000
Stonehouse Asset Management Inc.   2017 PA-BKG $50,000
StockCross Financial Services, Inc.   2019 MA-SEC $225,000
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.