Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$76,640,549,067
Number of Penalty Records: 
5,395
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$13,398,455,23576
UBS$11,623,979,90947
Citigroup$8,091,160,13534
JPMorgan Chase$5,023,349,59942
Morgan Stanley$4,104,393,95288
Deutsche Bank$3,994,334,82825
Goldman Sachs$3,738,695,98725
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
Company Parent Parent Major Industrysort icon Year Agency Penalty Amount
Ambit Capital Pvt. Ltd.   2012 SEC $30,910
EM Capital Management, LLC?   2012 SEC $20,000
BTS Asset Management, Inc.   2012 SEC $200,000
Tilden Loucks & Woodnorth and LLC, Lasalle St. Securities, LLC   2012 SEC $200,000
JCSD Capital, LLC   2012 SEC $94,222
Prescient Capital Partners, Ltd.   2012 SEC $29,968
Stock Markets Institute, Inc.   2012 SEC $75,000
Western Pacific Capital Management, LLC   2012 SEC $781,940
JP Turner & Company, LLC   2012 SEC $416,051
Consultiva Internacional, Inc.   2012 SEC $35,000
Wesley Capital Management, LLC   2012 SEC $232,289
Delaware Asset Advisers   2012 SEC $4,814,520
Centaur Management Co. LLC   2012 SEC $364,322
Calhoun Asset Management, LLC   2012 SEC $50,000
Harbinger Capital Partners, LLC   2012 SEC $1,378,763
Sharespost, Inc.   2012 SEC $80,000
EB Financial Group, LLC   2012 SEC $310,499
Mercury Capital   2012 SEC $45,747
1st Discount Brokerage, Inc.   2012 SEC $40,000
Investment Placement Group   2011 SEC $4,072,027
Touradji Capital Management, L.P.   2011 SEC $1,303,336
Hanes Morgan & Co., Inc   2011 SEC $100,000
Feltl & Company, Inc.   2011 SEC $203,172
Asset Advisors, LLC   2011 SEC $20,000
FTN Financial Securities Corp.   2011 SEC $1,873,636
Pipeline Trading Systems LLC   2011 SEC $1,000,000
Gilford Securities, Incorporated   2011 SEC $612,113
Global Sentry Equity Transfer, Inc.   2011 SEC $375,000
Fontana Capital, LLC   2011 SEC $984,790
Brookside Capital, LLC   2011 SEC $2,124,079
Level Global Investors, L.P.   2011 SEC $3,244,171
Pegasus Investment Management, LLC   2011 SEC $95,469
Wunderlich Securities, Inc.   2011 SEC $532,624
Legend Securities, Inc.   2011 SEC $50,000
Aristeia Capital, LLC   2011 SEC $1,762,776
JSK Associates, Inc.   2011 SEC $60,000
Securities Transfer Corporation   2011 SEC $10,000
Envision Capital Management, Ltd.   2011 SEC $100,000
Alpine Woods Capital Investors, LLC   2011 SEC $650,000
Horseman Capital Management, L.P.?   2011 SEC $1,484,952
American Pegasus LDG, LLC and American Pegasus Investment Management, Inc.   2010 SEC $850,000
Gartmore Investment Limited   2010 SEC $1,347,251
New Castle Funds LLC   2010 SEC $293,064
The Buckingham Research Group, Inc. and Buckingham Capital Management   2010 SEC $125,000
Sands Brothers Asset Management LLC   2010 SEC $60,000
Ark Asset Management Co., Inc.   2010 SEC $750,000
Valentine Capital Asset Management, Inc.?   2010 SEC $432,007
Carlson Capital, L.P.   2010 SEC $2,653,234
Sierra Financial Advisors, LLC   2010 SEC $14,599
LACE Financial Corp.   2010 SEC $20,000
Pinnacle Capital Markets LLC   2010 SEC $25,000
Spencer International Advisors, Inc.   2010 SEC $75,000
Appaloosa Management L.P.   2010 SEC $1,304,523
Haberman Value Fund, L.P.   2010 SEC $263,443
GPS Partners, LLC   2010 SEC $1,284,171
Prime Capital Services, Inc.   2010 SEC $144,262
Warrior Fund LLC   2010 SEC $221,384
Axiom Capital Management, Inc.   2010 SEC $60,000
R.J. O'Brien & Associates LLC   2018 CFTC $600,000
Intrade The Prediction Market Limited (Intrade) and Trade Exchange Network Limited   2018 CFTC $3,000,000
Tallinex   2018 CFTC $10,971,279
TradeMasters USA, LLC   2018 CFTC $674,504
All City Investments, LLC   2018 CFTC $670,912
X-Change Financial Access LLC   2018 CFTC $150,000
Cifuentes Fund Management, LLC   2018 CFTC $2,227,120
First Western Advisors   2018 SEC $202,767
Intertech Solutions, Inc.   2018 SEC $7,400,000
NW Capital Markets Inc.   2018 SEC $87,065
Alexander Capital L.P.   2018 SEC $410,987
deVere USA, Inc.   2018 SEC $8,000,000
Bachrach Asset Management Inc.   2018 SEC $75,000
Brahma Management Ltd.   2018 SEC $75,000
Bristol Group Inc.   2018 SEC $75,000
CAI Managers & Co. L.P.   2018 SEC $75,000
Cherokee Investment Partners LLC   2018 SEC $75,000
Ecosystem Investment Partners LLC   2018 SEC $75,000
Elm Partners Management LLC   2018 SEC $75,000
HEP Management Corp.   2018 SEC $75,000
Prescott General Partners LLC   2018 SEC $75,000
RLJ Equity Partners LLC   2018 SEC $75,000
Rose Park Advisors LLC   2018 SEC $75,000
Veteri Place Corp.   2018 SEC $75,000
Barcelona Strategies LLC   2018 SEC $542,120
Visium Asset Management LP   2018 SEC $10,120,711
Moon River Studios, Inc.   2018 SEC $1,824,368
Guardians Trustee, LLC   2018 SEC $179,253
Malachi Financial Products, Inc.   2018 SEC $85,858
Texas Coastal Energy Company   2018 SEC $7,200,000
Aria Partners GP, LLC   2018 SEC $150,000
Biltmore Wealth Management, LLC   2018 SEC $183,043
BKS Advisors LLC   2018 SEC $75,000
Lockwood Advisors, Incorporated   2018 SEC $200,000
Hamlin Capital Management, LLC?   2018 SEC $900,000
Knowledge Leaders Capital, LLC   2018 SEC $50,000
Sycamore Lane Partners LLC   2018 SEC $134,042
Beverly Hills Wealth Management, LLC   2018 SEC $100,000
New Silk Route Advisors, L.P.   2018 SEC $75,000
Mount Kellett Capital Management LP?   2018 SEC $160,000
Genesis Associates Limited Partnership   2018 SEC $50,000
FP Resources USA Inc   2018 SEC $92,383
Lobster Point Holdings Limited   2018 SEC $92,383
Download results as CSV or XML
(*): 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.