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.
Download results as CSV or XML
Company Parent Parent Major Industrysort icon Year Agency Penalty Amount
TrendsGroup International, Inc.   2003 SEC $445,691
Rhino Advisors Inc.   2003 SEC $1,000,000
Africa Gemstone Corporation   2003 SEC $242,840
Emsanet Internet Services, Inc. and Peter Restivo Inc. d/b/a U.S. Funding   2002 SEC $4,460,634
Anamar Communications, Inc.   2002 SEC $136,917
Basic Capital Management, Inc.   2002 SEC $850,000
Texon Energy Corp. and Lonestar Petroleum Corp.   2002 SEC $1,268,253
W.J. Nolan & Co., Inc.   2002 SEC $192,028
Advance Local Development Corp.   2002 SEC $9,509,736
Commercial Express, LLC and Progressive Financial, Inc.   2002 SEC $23,032,869
Big Country AGS, Inc. d/b/a AGS, Inc.   2002 SEC $242,840
iCapital Markets LLC   2002 SEC $6,300,000
TLC Investments & Trade Co.   2001 SEC $106,600,000
Commonwealth Communications Group   2001 SEC $716,516
21st Century Satellite Communications, Inc.   2001 SEC $6,110,736
Shreveport Wireless Cable Television Partnership, Complete Communications Corporation, Champion Communications Corporation, B.R. Cable Communications Corporation, and Wireless Cable Television of Shreveport Limited Liability Company   2001 SEC $41,727,403
Milan Capital Group, Inc. and Investment Offices d/b/a AC Financial, Inc.   2001 SEC $9,395,066
World Financial & Investment Co., Inc.   2001 SEC $175,000
The Globus Group   2001 SEC $300,000
Pacific Air Transport   2001 SEC $1,364,692
WinterHawk West Indies, Ltd., Funders Marketing Company, Inc., FMCI Trust, Fortune Investments, Ltd., and TREDS Financial Trust   2001 SEC $18,864,116
One Touch Marketing, Inc.   2001 SEC $118,387
Sunset Investment Group, Inc.   2001 SEC $70,000
Future Strategies Srl a/k/a Future Strategies International   2001 SEC $1,500,073
Yes Entertainment, LLC   2000 SEC $14,546,808
First Paragon, Inc.   2000 SEC $1,040,000
EquityAlert.com, Inc.   2000 SEC $20,000
Chemical Trust, U.S. Guarantee Corp., and United Marketing Trust   2000 SEC $20,590,000
JW Charles Financial Services, Inc.   2000 SEC $20,000
Millennium Software Solutions, Inc.   2000 SEC $760,450
New Concepts, L.L.C.   2000 SEC $20,000
Liberty Capital Group, Inc.   2000 SEC $35,000
Assured International, Inc. and Sharp Financial Corp.   2000 SEC $1,407,217
William R. Hough & Co.   2000 SEC $3,264,000
Prime Atlantic, Inc.   2000 SEC $12,682,820
DynamicDaytrader.com   2000 SEC $55,107
International Monetary Metals, Inc.   2016 CFTC $9,800,000
Cindium Inc. and Einstein Exchange Group Inc.   2016 CFTC $601,000
My Global Leverage, LLC   2016 CFTC $1,465,528
JSC VTB Bank   2016 CFTC $5,000,000
Advantage Futures LLC   2016 CFTC $1,500,000
Advanced Trading Workshop, Inc.   2016 CFTC $940,000
Angus Partners LLC   2016 CFTC $250,000
The Yorkshire Group, Inc.   2016 CFTC $1,569,801
IB Capital FX, LLC   2016 CFTC $35,420,000
Caledonia Investments plc   2016 FTC $480,000
Robert W. Baird & Co.   2016 SEC $250,000
Forcerank LLC   2016 SEC $50,000
Artis Capital Management   2016 SEC $8,878,015
EZTD Inc.   2016 SEC $1,700,000
Pacific Investment Management Company (PIMCO)   2016 SEC $19,829,807
Equidate Inc.   2016 SEC $80,000
Adams Capital Management   2017 SEC $45,000
Aisling Capital   2017 SEC $70,456
Alta Communications   2017 SEC $35,000
Commonwealth Venture Management Corporation   2017 SEC $75,000
Cypress Advisors   2017 SEC $35,000
FFL Partners   2017 SEC $75,000
Lime Rock Management   2017 SEC $75,000
NGN Capital   2017 SEC $100,000
Pershing Square Capital Management   2017 SEC $75,000
The Banc Funds Company   2017 SEC $75,000
Citadel Securities LLC   2017 SEC $22,600,000
ITG   2017 SEC $24,400,000
Port Authority of New York and New Jersey   2017 SEC $400,000
Interinvest Corporation   2016 SEC $6,900,000
Vision Financial Partners, LLC   2017 CFTC $6,527,130
Oden Capital Management, LLC   2017 CFTC $100,000
AMG Energy, LLC and R. Thomas?& Co., LLC   2017 SEC $150,000
Arcturus Corporation and Aschere Energy LLC   2017 SEC $15,500,000
Sidoti & Company LLC   2017 SEC $100,000
Oxford City Football Club, Inc.   2017 SEC $6,853,358
Hold Brothers Online Investment Services, LLC   2017 SEC $707,764
TeamVinh.com LLC   2017 SEC $2,681,072
Guardian Asset Group, LLC   2017 CFTC $1,086,033
MakeYourFuture, LLC   2017 CFTC $1,207,294
Momentum Investment Partners LLC dba Avatar Investment Management   2017 SEC $193,676
Rhode Island Commerce Corporation f/k/a Rhode Island Economic Development Corporation   2017 SEC $50,000
Verto Capital Management   2017 SEC $4,158,517
Billionaire Investor Group, The Toole Group Inc., and?Catalyst Traders LLC   2017 CFTC $493,141
Assurance Capital Management, LLC   2017 CFTC $1,969,165
Rosenthal Collins Capital Markets, LLC   2017 CFTC $5,000,000
Marbury Advisors Inc.   2017 CFTC $4,441,652
Huafu HK Co. Ltd.   2017 CFTC $225,000
Wall Street Pirate Management, LLC   2017 CFTC $125,000
McVean Trading & Investments, LLC   2017 CFTC $1,500,000
North American Asset Management, LLC   2017 CFTC $1,626,189
K.B. Concepts Group, LLC   2017 CFTC $607,955
Enviso Capital LLC   2017 SEC $50,000
Ascenergy LLC   2017 SEC $6,859,690
W Resources LLC   2017 CFTC $150,000
Copersucar Trading A.V.V.   2017 CFTC $300,000
7S Oil & Gas, LLC   2017 SEC $750,000
Petroforce Energy, LLC   2017 SEC $300,000
Arab Global Commodities DMCC   2017 CFTC $300,000
Logista Advisors LLC   2017 CFTC $250,000
Tillage Commodities, LLC   2017 CFTC $150,000
Green Tree Investment Group   2017 SEC $770,356
Millennium Management LLC   2017 SEC $630,000
Augustine Capital Management LLC   2017 SEC $878,305
Deerfield Management Company L.P.   2017 SEC $4,600,000
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.