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
The Borrowing Station, LLC   2013 CFTC $600,000
The Borrowing Station, LLC   2013 MD-SEC $50,000
The Bank of Nova Scotia Scotiabank financial services 2020 CFTC $50,000,000
The Bank of Nova Scotia Scotiabank financial services 2020 CFTC $77,400,000
The Bank Of New York Bank of New York Mellon financial services 2007 SEC $750,000
The Bancorp, Inc.   2019 SEC $1,400,000
The Banc Funds Company   2017 SEC $75,000
The Baltimore Land Trust Development Group, LP   2019 MD-SEC $15,000
The Baker Group, LP   2015 SEC $250,000
The Baker Group   2019 OK-SEC $15,000
The BABCO Group, LLC   2007 ID-SEC $17,877
The Alista Group, LLC   2021 CFTC $2,242,162
The African Diamond Company, Inc. nka Coal Corporation   2013 CT-SEC $50,000
THC Pharmaceutical, Inc.   2016 OR-FIN $60,000
Thakkar CPA, PLLC   2016 SEC $359,487
TFS-ICAP LLC and TFS-ICAP Ltd.   2020 CFTC $7,000,000
TF6 Advisors, LLC and Pacific Ventures & Trading LLC   2013 AZ-SEC $215,887
Texon Energy Corp. and Lonestar Petroleum Corp.   2002 SEC $1,268,253
Texas State Energy Corp.   2011 WA-FIN $15,000
Texas Securities Partners, Inc.   2008 AL-SEC $10,000
Texas International Resources, L.L.C.   2016 MO-SEC $11,165
Texas Energy Mutual, LLC   2014 AR-SEC $5,000
Texas Energy Investment Solutions, inc.   2007 MO-SEC $17,831
Texas Coastal Energy Company   2018 SEC $7,200,000
TEXAS BAR-B-Q FACTORY, ET AL.   2009 VA-SEC $8,300
Tesla Inc. Tesla Inc. motor vehicles 2018 SEC $20,000,000
Terra Nova Trading LLC   2000 TN-SEC $7,500
Terra Nova Financial, LLC   2009 FINRA $400,000
Terra Firma Investments, Inc.   2012 OR-FIN $200,000
Terra Energy Resources, Ltd.   2013 CT-SEC $100,000
Terra Energy Investment Fund 1 L.L.C.   2006 IL-SEC $10,000
TENGFEI, INC.   2009 VA-SEC $33,000
TENGFEI, INC.   2013 VA-SEC $32,000
Tenet Healthcare Corporation Tenet Healthcare healthcare services 2007 SEC $10,000,000
Tenco, Inc.   2011 CFTC $140,000
Ten X Holdings, LLC   2017 IL-SEC $110,000
Temple Securities, Ltd.   2007 SEC $268,346
Tellone Management Group, Inc.   2017 SEC $75,000
Telkonet, Inc. and Telkonet Communications, Inc.   2008 MD-SEC $25,000
TelexFREE, LLC   2015 MT-SEC $15,000
TelexFREE, Inc.   2015 MT-SEC $15,000
TelexElectric, LLLP   2018 SEC $2,022,239
Telex Mobile Holdings, Inc.   2018 SEC $500,870
Telegram Group Inc.   2020 SEC $18,500,000
Tel-Instrument Electronics Corp.   2014 SEC $75,000
Tejas Securities Group, Inc.   2005 FINRA $10,000
TECSEC, INC.   2011 VA-SEC $5,000
TechnoVision Management, LLC   2017 CA-DFPI $50,000
Technology Communication Management, LLC   2009 VA-SEC $640,000
Technology Communication Management, L.L.C. et al.   2012 CA-DFPI $1,553,235
Tech Power Inc.   2016 CFTC $250,000
Tech Financial Group   2014 ME-SEC $5,000
TeamVinh.com LLC   2017 SEC $2,681,072
Team Resources Inc. and School Creek Production and Development Fund I   2012 NH-BSR $12,500
Team JollyPIPster, LLC   2005 AK-DBS $75,000
Team Heat, LLC   2009 AZ-SEC $1,047,931
TDA Advantage Trust   2010 CT-SEC $30,000
TD Waterhouse Investor Services, Inc. Toronto-Dominion Bank financial services 2004 SEC $2,000,000
TD Waterhouse Investor Services, Inc. Toronto-Dominion Bank financial services 2004 FINRA $150,000
TD Securities (USA) LLC Toronto-Dominion Bank financial services 2016 SEC $500,000
TD Options LLC Toronto-Dominion Bank financial services 2009 SEC $1,000,000
TD Bank Toronto-Dominion Bank financial services 2013 SEC $15,000,000
TD Ameritrade, Inc. Charles Schwab Corp. financial services 2018 SEC $500,000
TD Ameritrade, Inc. Charles Schwab Corp. financial services 2009 MULTI-AG $456,000,000
TD Ameritrade, Inc. Charles Schwab Corp. financial services 2015 MA-AG $160,000
TD Ameritrade Inc. Charles Schwab Corp. financial services 2011 SEC $10,000,000
TD Ameritrade Inc. Charles Schwab Corp. financial services 2015 TX-SEC $400,000
TD Ameritrade Clearing, Inc. Charles Schwab Corp. financial services 2013 FINRA $1,150,000
TD Ameritrade Charles Schwab Corp. financial services 2014 SEC $100,800
TCMP3 Partners L.P., TCMP3 Capital LLC, and Titan Capital Management, LLC   2007 SEC $1,045,060
TC Credit Service d/b/a Del-Mair Group   2012 CFTC $2,600,000
TC & P Trade dba High Capital   2008 MD-SEC $270,000
TBOC, LLC   2012 WA-FIN $8,500
Tax Recovery Team   2011 IL-SEC $5,000
Tax Recovery Group, Inc.   2006 CT-SEC $10,000
Tauban, Inc.   2016 MI-SEC $20,000
Tatco Private Wealth Management LLC   2016 FL-OFR $7,500
Tarpon Capital Management L.P.   2005 TX-SEC $80,000
Target Capital Management, LLC   2017 FL-OFR $18,000
Taramar Venture Capital LLC et al.   2002 OR-FIN $55,000
TangoPoint Partners, LLC   2015 FL-OFR $82,500
Tamborello Capital Management LLC   2005 TX-SEC $75,015
Tallinex   2018 CFTC $10,971,279
Talkot Capital   2013 SEC $84,537
Talking Water, LLC et al.   2014 CO-SEC $25,000
Talimco, LLC   2019 SEC $399,000
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
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.