Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$76,324,146,231
Number of Penalty Records: 
5,303
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$13,398,055,23575
UBS$11,613,979,90946
Citigroup$8,091,160,13534
JPMorgan Chase$5,023,349,59942
Morgan Stanley$4,104,210,71284
Deutsche Bank$3,984,084,82823
Goldman Sachs$3,738,695,98725
Wells Fargo$2,405,119,26152
American International Group$1,579,000,0004
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.
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Company Parent Parent Major Industrysort icon Year Agency Penalty Amount
Onyx Capital Advisors   2014 SEC $9,100,000
Instinet LLC   2013 SEC $813,280
Greater Wenatchee Regional Events Center Public Facilities District   2013 SEC $20,000
Milan Group Inc.   2013 SEC $4,141,148
Further Lane Asset Management   2013 SEC $150,000
Knelman Asset Management Group   2013 SEC $60,000
GW & Wade   2013 SEC $250,000
Modern Portfolio Management Inc.   2013 SEC $175,000
Equitas Capital Advisers LLC   2013 SEC $225,000
ChinaMedia Express Holdings   2013 SEC $41,144,082
Petro-Suisse Ltd.   2013 SEC $8,370,000
Blackthorn Investment Group   2013 SEC $520,207
Credentia Group   2013 SEC $69,204
D.E. Shaw & Co.   2013 SEC $667,492
Deerfield Management Company   2013 SEC $1,902,224
Hudson Bay Capital Management   2013 SEC $949,453
JGP Global Gestao de Recursos   2013 SEC $3,180,424
M.S. Junior and Swiss Capital Holdings   2013 SEC $427,936
Manikay Partners   2013 SEC $2,551,791
Meru Capital Group   2013 SEC $398,512
Merus Capital Partners   2013 SEC $73,465
Ontario Teachers' Pension Plan Board   2013 SEC $224,835
Pan Capital AB   2013 SEC $662,497
PEAK6 Capital Management   2013 SEC $132,217
Philadelphia Financial Management of San Francisco   2013 SEC $219,443
Polo Capital International Gestao de Recursos a/k/a Polo Capital Management   2013 SEC $282,720
Soundpost Partners   2013 SEC $113,315
Southpoint Capital Advisors   2013 SEC $534,757
Talkot Capital   2013 SEC $84,537
Vollero Beach Capital Partners   2013 SEC $864,427
War Chest Capital Partners   2013 SEC $327,569
Western Standard   2013 SEC $111,807
City Securities Corporation   2013 SEC $580,000
Level Global Investors LP   2013 SEC $21,514,274
211 Ventures LLC   2013 SEC $2,300,000
Sigma Capital Management   2013 SEC $13,944,000
J.C. Reed & Co.   2013 SEC $14,910,003
Ranieri Partners   2013 SEC $375,000
Fiduciary Asset Management LLC   2012 SEC $2,859,858
Well Advantage   2012 SEC $14,245,266
eBX LLC   2012 SEC $800,000
Hold Brothers On-Line Investment Services   2012 SEC $2,535,000
Advanced Equities Inc   2012 SEC $1,000,000
ICP Asset Management   2012 SEC $18,275,033
Worldwide Energy and Manufacturing USA Inc.   2012 SEC $100,000
Focus Point Solutions and The H Group   2012 SEC $1,100,000
Clay Capital Management LLC   2012 SEC $850,000
FalconStor Software, Inc.   2012 SEC $2,900,000
AMMB Consultant Sendirian Berhad   2012 SEC $1,550,000
New Futures Trading International Corporation   2012 SEC $1,433,889
Global Development & Environmental Resources, Inc.   2012 SEC $2,645,798
Martin Currie   2012 SEC $8,300,000
Flatiron Capital Partners, LLC and Flatiron Systems, LLC   2012 SEC $1,817,277
Pentagon Capital Management   2012 SEC $98,600,000
United American Ventures, LLC   2012 SEC $9,079,372
Diamondback Capital Management LLC   2012 SEC $9,000,000
Drake Asset Management LLC   2011 SEC $175,000
Long Term-Short Term Inc., d/b/a BetterTrades   2011 SEC $750,000
Wall Street Capital Funding LLC   2011 SEC $300,000
Locke Capital Management Inc.   2011 SEC $3,673,996
Onele Trading & Finance Ltd.   2011 SEC $5,729,276
Aerokinetic Energy Corporation   2011 SEC $859,571
LandOak Securities LLC   2011 SEC $992,140
Navigators International Management Co., Ltd.   2011 SEC $45,000
Enzyme Environmental Solutions, Inc.   2011 SEC $371,135
Winning Kids Inc.   2010 SEC $2,183,964
Berkshire Resources, L.L.C.   2010 SEC $16,255,846
Prime Time Group Inc.   2010 SEC $325,000
ASMAC Financial, Inc.   2010 SEC $133,995
K&L International Enterprises, Inc., Signature Leisure, Inc., and Signature Worldwide Advisors, LLC   2010 SEC $12,574,582
Thompson Consulting Inc.   2010 SEC $400,000
Pequot Capital Management, Inc.   2010 SEC $28,000,000
CFO-5 LLC   2010 SEC $3,197,222
First Allied Securities, Inc.   2010 SEC $1,950,000
Wealth Management LLC   2010 SEC $1,471,002
AGB Partners LLC   2010 SEC $50,000
Palmyra Capital Advisors LLC,   2010 SEC $330,000
Caledonia Investments   2016 DOJ_ANTITRUST $480,000
ValueAct   2016 DOJ_ANTITRUST $11,000,000
Vault Options, Ltd. and Global Trader 365   2016 CFTC $4,587,371
Atlantas Group, Inc.   2016 CFTC $7,200,000
Agrocorp International Pte Ltd.   2016 CFTC $150,000
Golden Agri International Pte Ltd.   2016 CFTC $150,000
Tech Power Inc.   2016 CFTC $250,000
DG Wealth Management   2016 CFTC $17,499,623
Emini Experts, LLC and Capital Trading Concepts LLC   2016 CFTC $2,795,901
Harvard Assets LLC, London Assets Inc. , and Harvard International Trading, Inc.   2016 CFTC $2,451,568
BFXNA Inc. d/b/a Bitfinex   2016 CFTC $75,000
Cypress Wealth Management, Inc.   2016 CFTC $430,764
Cunningham Commodities, LLC   2016 CFTC $150,000
Galileo Trading LLC   2016 CFTC $1,608,640
Badge Trading LLC   2016 CFTC $280,000
Stroud Capital Management, LLC, TS Capital Partners, LLC, and TS Capital Management, LLC   2016 CFTC $4,723,246
Equinox Fund Management LLC   2016 CFTC $5,654,004
IBFX Inc.   2016 CFTC $1,000,000
Banc de Binary Ltd.   2016 CFTC $9,100,000
4X Solutions Inc.   2016 CFTC $10,980,904
Worth Group Inc.   2016 CFTC $2,500,000
Otkritie Capital International, Ltd.   2016 CFTC $140,000
Sharpe Signa, LLC and Haeres Capital, LLC   2015 CFTC $70,000
Sentry Asset Group, LLC d/b/a Sentry Asset Management, LLC   2015 CFTC $378,767
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(*): 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.