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)
Company Parent Parent Major Industrysort icon Year Agency Penalty Amount
Capital Source Lending LLC   2019 SEC $5,720,451
XBT Corp Sarl dba First Global Credit   2019 SEC $131,952
Northwest Biotherapeutics, Inc.   2019 SEC $250,000
Lek Securities Corp.   2019 SEC $1,525,892
PlexCorps   2019 SEC $4,911,613
Block.one   2019 SEC $24,000,000
Bill Few Associates Inc.   2019 SEC $2,398,304
Cargile Investment Management Inc.   2019 SEC $70,140
Comprehensive Capital Management Inc.   2019 SEC $93,631
Equity Services Inc.   2019 SEC $587,017
Essex Financial Services Inc.   2019 SEC $645,000
Folger Nolan Fleming Douglas Capital Management Inc.   2019 SEC $59,478
Henley & Company Wealth Management LLC   2019 SEC $36,866
IC Advisory Services Inc.   2019 SEC $1,195,186
Independent Financial Group LLC   2019 SEC $1,426,150
Investment Partners Ltd.   2019 SEC $43,384
IPG Investment Advisors LLC   2019 SEC $85,294
Michigan Advisors Inc.   2019 SEC $327,976
Saxony Capital Management LLC   2019 SEC $230,220
Founders Financial Securities, LLC   2019 SEC $1,475,465
Outset Global LLP   2019 SEC $207,409
Nebulous, Inc.   2019 SEC $224,601
Mid Atlantic Financial Management, Inc.   2019 SEC $300,000
Longfin Corp.   2019 SEC $6,755,848
Cutting Edge Business Services, Inc.   2019 SEC $273,336
Omgeo Matching Services US, LLC   2019 SEC $2,000,000
Harding Advisory LLC   2019 SEC $850,000
Pinnacle Companies, LLC   2019 SEC $1,112,000
Three Bridge Wealth Advisors, LLC   2019 SEC $60,000
Amadeus Wealth Advisors, LLC   2019 SEC $40,000
ECP Manager LP   2019 SEC $122,656
BrixInvest, LLC   2019 SEC $300,000
Cetera Investment Advisers LLC   2019 SEC $185,000
Hefren-Tillotson, Inc.   2019 SEC $379,965
Strong Investment Management   2019 SEC $1,061,157
Strategic Planning Group, Inc.   2019 SEC $200,000
HCR Wealth Advisors   2019 SEC $220,000
The Bancorp, Inc.   2019 SEC $1,400,000
Sigma Planning Corp.   2019 SEC $2,546,718
Vandham Securities Corp.   2019 SEC $200,000
Garrison Investment Group LP and Garrison Capital Advisers LLC   2019 SEC $250,000
ED Capital Management, LLC   2019 SEC $75,000
Bio Defense Corp.   2019 SEC $37,475,717
Baystar Capital Management LLC   2011 USAO $12,112,416
Hughes Energy Inc.   2009 USAO $4,261,211
Dinar Corp., Inc. and My Monex, Inc.   2020 CFTC $22,600,000
Catalyst Capital Advisors LLC   2020 CFTC $10,208,481
Mirae Asset Daewoo Co., Ltd.   2020 CFTC $700,000
Propex Derivatives Pty Ltd   2020 DOJ_CRIMINAL $1,000,000
Enigma MPC   2020 SEC $500,000
Blockchain of Things Inc.   2019 SEC $250,000
Palm Beach Atlantic Financial Group, LLC   2019 SEC $75,000
Global Corporate Strategies LLC   2019 SEC $4,120,000
Sica Wealth Management, LLC   2020 SEC $378,693
Fortress Investment Management, LLC   2020 SEC $104,097
Lone Star Value Management LLC   2020 SEC $100,000
BPU Investment Management, Inc.   2020 SEC $927,107
Cannell Capital, LLC   2020 SEC $150,000
Catalyst Capital Advisors, LLC   2020 SEC $10,508,481
Bluefin Trading, LLC   2019 SEC $303,638
Critical Trading, LLC   2019 SEC $219,092
Stonemor Partners L.P. and Stonemor GP LLC   2019 SEC $250,000
Kornitzer Capital Management, Inc.   2019 SEC $3,626,995
Gain Capital UK Limited   2020 CFTC $491,671
FuturesFX   2020 CFTC $1,750,000
Amada Capital Management LLC   2020 CFTC $596,700
Argo Group International Holdings, Ltd.   2020 SEC $900,000
TSP Capital Management Group, LLC   2020 SEC $60,000
Oxbow Advisors, LLC   2020 SEC $321,958
BitClave PTE Ltd   2020 SEC $29,744,197
1Globe Capital, LLC   2020 SEC $200,000
American Bondholders Foundation, LLC   2020 SEC $65,000
Everest Capital LLC   2020 SEC $3,208,226
Monsoon Capital, LLC   2020 SEC $100,000
Semper Capital Management, L.P.   2020 SEC $503,228
Biltmore International Corporation   2020 SEC $125,000
Eagle Strategies LLC   2020 SEC $101,090
Old Ironsides Energy, LLC   2020 SEC $1,000,000
Cozad Asset Management, Inc.   2020 SEC $416,870
Boenning & Scattergood, Inc.   2020 SEC $205,567
Schulman Lobel Zand Katzen Williams & Blackman and LLP   2020 SEC $98,510
Naya Ventures, LLC   2020 SEC $40,000
BMA Securities, LLC   2020 SEC $333,537
Stiefel Laboratories Inc.   2020 SEC $26,510,000
Navellier & Associates, Inc.   2020 SEC $37,478,190
Berkshire Capital Management Company, Inc. and Eat at Joe's, Ltd. (n/k/a SPYR, Inc.)   2020 SEC $3,500,000
International Investment Group, LLC   2020 SEC $35,000,000
The Lighthouse Events, LLC   2020 SEC $3,381,686
Rock and Roll Cycles, LLC and Cycle For Life, Inc.   2020 SEC $236,314
Hologram USA Networks Inc.   2020 SEC $22,419
Strategic Capital Partners Muster Limited and Strategic Wealth Investments, Inc.   2020 SEC $1,031,270
ICOBox   2020 SEC $16,059,428
Coastal Resources Corp.   2001 AK-DBS $50,000
Lotus Management   2003 AK-DBS $50,000
Global Strategies Ltd.   2003 AK-DBS $50,000
Pureinvestor.com Inc.   2005 AK-DBS $75,000
PIPS Inc.   2005 AK-DBS $75,000
PIC Trust Limited   2005 AK-DBS $75,000
Westoby Works   2005 AK-DBS $75,000
Team JollyPIPster, LLC   2005 AK-DBS $75,000
Index Analysis Pool, LP and Index Analysis Services   2006 AK-DBS $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.