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 (maximum 10,000; for access to larger downloads contact Phil Mattera)
Company Parent Parent Major Industrysort icon Year Agency Penalty Amount
Sentry Asset Group, LLC d/b/a Sentry Asset Management, LLC   2015 CFTC $378,767
Executive Management Advisors L.L.C.   2015 CFTC $31,000,000
Direct Investment Products, Inc.   2015 CFTC $3,851,633
Pure Reason LLC   2015 CFTC $140,000
American Portfolio Asset Management, Inc.   2015 CFTC $578,474
Global Consortiums LLC   2015 CFTC $589,660
Futures International LLC   2015 CFTC $500,000
Nord Capital Advisors LLC   2015 CFTC $280,000
Australia and New Zealand Banking Group Ltd.   2015 CFTC $150,000
Phillips Investment & Trust LLC and Corporate I Communications & Technology Inc.   2015 CFTC $234,500
Brunswick Capital LLC and Brunswick Capital Partners LP   2015 CFTC $1,025,039
Black Diamond Capital Solutions LLC, Life Plus Group LLC and Black Diamond Holdings LLC   2015 CFTC $76,000,000
Double Eagle Enterprises, LLC   2015 CFTC $700,000
Libero Commodities SA   2015 CFTC $480,000
Inter-Global Currency & Precious Metals   2015 CFTC $547,342
Hope Advisors LLC   2015 CFTC $100,000
RFF GP LLC and KGW Capital Management LLC   2015 CFTC $7,515,888
North Hills Management LLC   2015 CFTC $26,000,000
Maize Capital Management, LLC and Maize Asset Management, LLC   2015 CFTC $6,702,818
Paramount Metals Exchange and Paramount Credit   2015 CFTC $2,595,946
Midwest Metals Exchange   2015 CFTC $522,852
Gold Coast Bullion Inc.   2015 CFTC $9,690,124
Lions Wealth Holdings, Lions Wealth Services and 20/20 Precious Metals   2015 CFTC $5,388,730
Olam International Ltd. and Olam Americas Inc.   2015 CFTC $3,000,000
TOTE Fund LLC and MJS Capital Management LLC   2015 CFTC $871,439
Vasquez Global Investments, LLC   2014 CFTC $1,326,224
AlphaMetrix, LLC   2014 CFTC $5,600,000
Champion Management International, LLC   2014 CFTC $2,544,722
IBFX, Inc.   2014 CFTC $600,000
Gold Distributors, Inc.   2014 CFTC $1,349,066
Pinnacle Forex Group LLC   2014 CFTC $819,378
American Bullion Exchange   2014 CFTC $18,000,000
Financial Robotics, Inc.   2014 CFTC $2,481,000
JBW Capital LLC   2014 CFTC $2,860,000
Vertical Integration Group LLC   2014 CFTC $3,120,688
Friedberg Mercantile Group, Inc.   2014 CFTC $70,000
Peak Capital Management Group, Inc.   2014 CFTC $1,600,000
Absa Bank, Ltd.   2014 CFTC $150,000
FXDirectDealer, LLC   2014 CFTC $600,000
WorldPMX, Inc.   2014 CFTC $1,100,000
Zulutrade Inc.   2014 CFTC $150,000
FirstRand Bank, Ltd.   2014 CFTC $150,000
AmeriFirst Management LLC   2014 CFTC $35,000,000
Palm Beach Capital LLC   2014 CFTC $520,960
Parnon Energy Inc., Arcadia Petroleum Ltd., and Arcadia Energy (Suisse) SA   2014 CFTC $13,000,000
Winsome Investment Trust and US Ventures   2014 CFTC $44,000,000
SK Madison Commodities, LLC   2014 CFTC $3,523,846
Tunney & Associates, P.C.   2014 CFTC $100,000
PGS Capital Wealth Management of Sherman Oaks, California, PGS Capital Credit, Inc.   2014 CFTC $462,727
Rockwell Asset Management, Inc.   2014 CFTC $477,210
Capital Market Services, LLC   2014 CFTC $275,000
Newbridge Alliance, Inc. and United States Capital Trust, LLC   2014 CFTC $3,381,179
New Century Investment Management LLC   2014 CFTC $5,700,000
Queen Shoals Consultants, LLC   2014 CFTC $5,760,000
Global Strategic Marketing, Inc.   2014 CFTC $2,292,798
Oxford Capital   2014 CFTC $3,519,309
Altamont Global Partners LLC   2014 CFTC $15,800,000
Worth Asset Management   2014 CFTC $6,200,000
Harbor Light Asset Management   2014 CFTC $5,200,000
Elite Management Holdings Corp. and MJM Enterprises LLC   2014 CFTC $10,000,000
Lloyds Commodities, LLC   2014 CFTC $5,000,000
CTI Group LLC and Cooper Trading   2014 CFTC $29,000,000
Multigrain SA and Agricola Xingu SA   2014 CFTC $500,000
New World Holdings LLC   2014 CFTC $50,000
SHK Management LLC   2013 CFTC $400,000
FXDirectDealer, LLC   2013 CFTC $275,000
R.J. O'Brien & Associates LLC   2013 CFTC $125,000
Vision Financial Markets LLC   2013 CFTC $525,000
iFinix Futures, Inc.   2013 CFTC $1,260,000
Vision Financial Markets LLC   2013 CFTC $140,000
Newbridge Metals, LLC   2013 CFTC $1,500,000
Foremost Trading LLC   2013 CFTC $400,000
FXDirectDealer, LLC   2013 CFTC $2,740,000
Paramount Management, LLC   2013 CFTC $2,400,000
London Metals Market LLC   2013 CFTC $121,000
The Borrowing Station, LLC   2013 CFTC $600,000
Velocity Futures, LLC   2013 CFTC $300,000
Global Precious Metals Trading Company   2013 CFTC $2,200,000
Pan American Metals of Miami and Pan American Metals of Miami Beach   2013 CFTC $4,700,000
Panther Energy Trading LLC   2013 CFTC $2,800,000
Alpha Trade Group S.A.   2013 CFTC $5,779,000
Prestige Capital Advisors and D2W Capital Management   2013 CFTC $11,700,000
ACJ Capital Inc., and Solid View Capital LLC   2013 CFTC $1,500,000
Bentley Equities, LLC   2013 CFTC $2,700,000
Trade, LLC   2013 CFTC $39,800,000
Arjent Capital Markets LLC and Chicago Trading Managers LLC   2013 CFTC $1,800,000
MB Trading Futures Inc.   2013 CFTC $200,000
Complete Developments, LLC and Investment International Inc.   2013 CFTC $23,000,000
Q Wealth Management Inc.   2013 CFTC $5,000,000
The Linn Group, Inc.   2013 CFTC $400,000
PMC Strategy, LLC   2013 CFTC $1,800,000
InovaTrade, Inc.   2013 CFTC $38,000,000
National Equity Holdings, Inc.   2013 CFTC $3,600,000
Forex Global Solutions Inc. and Forex Global Solutions Ltd.   2013 CFTC $750,000
Summit Trading & Capital LLC   2013 CFTC $4,800,000
VFRS LLC   2013 CFTC $3,200,000
Joseph Glenn Commodities LLC and JGCF LLC   2013 CFTC $1,000,000
System Capital, LLC   2013 CFTC $840,000
MXBK Group S.A. de C.V. and MBFX S.A.   2013 CFTC $57,000,000
Capstone FX Quantitative Analysis, Inc. and Beekeepers Fund Capital Management, LLC   2013 CFTC $3,500,000
Madison Dean, Inc.   2013 CFTC $1,400,000
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.