Violation Tracker Summary for Primary Offense Type
Offense Type:
investor protection violation
Penalty Total since 2000:
$78,346,186,381
Number of Penalty Records:
5,568
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 Companies | Total Penalty $ | Number of Records |
|---|
| Bank of America | $13,424,705,235 | 77 |
| UBS | $11,623,979,909 | 47 |
| Citigroup | $8,095,660,135 | 35 |
| JPMorgan Chase | $5,978,549,599 | 44 |
| Morgan Stanley | $4,122,853,726 | 105 |
| Deutsche Bank | $3,994,334,828 | 25 |
| Goldman Sachs | $3,888,695,987 | 26 |
| Wells Fargo | $2,425,119,261 | 53 |
| American International Group | $1,618,900,000 | 5 |
| MF Global | $1,324,000,000 | 3 |
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 
or
XML (maximum 10,000; for access to larger downloads contact
Phil Mattera)
|
Company |
Parent |
Parent Major Industry |
Year |
Agency |
Penalty Amount |
|
Nautilus Hyosung Holdings Inc. |
|
|
2011 |
DOJ_ANTITRUST |
$200,000 |
|
Luca International Group, LLC |
|
|
2016 |
SEC |
$68,300,000 |
|
Ethiopian Electric Power |
|
|
2016 |
SEC |
$6,448,854 |
|
First Mortgage Corporation |
|
|
2016 |
SEC |
$12,700,000 |
|
Uni-Pixel Inc. |
|
|
2016 |
SEC |
$750,000 |
|
Westlands Water District |
|
|
2016 |
SEC |
$125,000 |
|
Marwood Group Research LLC |
|
|
2015 |
SEC |
$375,000 |
|
Sands Brothers Asset Management LLC |
|
|
2015 |
SEC |
$1,000,000 |
|
Fenway Partners LLC |
|
|
2015 |
SEC |
$8,716,471 |
|
DBRS Inc. |
|
|
2015 |
SEC |
$5,814,482 |
|
Premiere Power LLC |
|
|
2015 |
SEC |
$2,587,523 |
|
Auriga Global Investors, Sociedad de Valores, S.A. |
|
|
2015 |
SEC |
$618,401 |
|
Harvest Capital Strategies LLC |
|
|
2015 |
SEC |
$84,454 |
|
Sabby Management LLC |
|
|
2015 |
SEC |
$278,747 |
|
War Chest Capital Partners LLC |
|
|
2015 |
SEC |
$351,818 |
|
Wolverine Trading LLC and Wolverine Asset Management LLC |
|
|
2015 |
SEC |
$1,153,303 |
|
Briargate Trading LLP |
|
|
2015 |
SEC |
$912,842 |
|
Spencer Pharmaceutical Inc. |
|
|
2015 |
SEC |
$1,000,000 |
|
Focus Media Holding Limited |
|
|
2015 |
SEC |
$55,600,000 |
|
First Eagle Investment Management and FEF Distributors |
|
|
2015 |
SEC |
$39,748,260 |
|
8000 Inc. |
|
|
2015 |
SEC |
$6,500,000 |
|
Taberna Capital Management |
|
|
2015 |
SEC |
$21,500,000 |
|
EnviraTrends, Inc. |
|
|
2015 |
SEC |
$150,000 |
|
Colonial Tidewater Realty Income Partners |
|
|
2015 |
SEC |
$1,319,386 |
|
ITG Inc. |
|
|
2015 |
SEC |
$20,300,000 |
|
ABS Manager |
|
|
2015 |
SEC |
$1,087,648 |
|
The Baker Group, LP |
|
|
2015 |
SEC |
$250,000 |
|
B.C. Ziegler and Company |
|
|
2015 |
SEC |
$250,000 |
|
Benchmark Securities, LLC |
|
|
2015 |
SEC |
$100,000 |
|
Bernardi Securities, Inc. |
|
|
2015 |
SEC |
$100,000 |
|
BOSC, Inc. |
|
|
2015 |
SEC |
$250,000 |
|
Central States Capital Markets, LLC |
|
|
2015 |
SEC |
$60,000 |
|
City Securities Corporation |
|
|
2015 |
SEC |
$250,000 |
|
Davenport & Company LLC |
|
|
2015 |
SEC |
$80,000 |
|
Dougherty & Co. LLC |
|
|
2015 |
SEC |
$250,000 |
|
First National Capital Markets, Inc. |
|
|
2015 |
SEC |
$100,000 |
|
George K. Baum & Company |
|
|
2015 |
SEC |
$250,000 |
|
L.J. Hart and Company |
|
|
2015 |
SEC |
$100,000 |
|
Loop Capital Markets, LLC |
|
|
2015 |
SEC |
$60,000 |
|
Martin Nelson & Co., Inc. |
|
|
2015 |
SEC |
$100,000 |
|
Merchant Capital, L.L.C. |
|
|
2015 |
SEC |
$100,000 |
|
Robert W. Baird & Co. Incorporated |
|
|
2015 |
SEC |
$500,000 |
|
Siebert Brandford Shank & Co., LLC |
|
|
2015 |
SEC |
$240,000 |
|
Smith Hayes Financial Services Corporation |
|
|
2015 |
SEC |
$40,000 |
|
Stephens Inc. |
|
|
2015 |
SEC |
$400,000 |
|
Sterne, Agee & Leach, Inc. |
|
|
2015 |
SEC |
$80,000 |
|
Wells Nelson & Associates, LLC |
|
|
2015 |
SEC |
$100,000 |
|
William Blair & Co., L.L.C. |
|
|
2015 |
SEC |
$80,000 |
|
Sand Hill Exchange |
|
|
2015 |
SEC |
$20,000 |
|
China Valves Technology Inc. |
|
|
2015 |
SEC |
$575,000 |
|
BioChemics Inc. |
|
|
2015 |
SEC |
$17,897,887 |
|
H.D. Vest Investment Securities |
|
|
2015 |
SEC |
$225,000 |
|
VCAP Securities |
|
|
2015 |
SEC |
$1,477,332 |
|
F-Squared Investments |
|
|
2014 |
SEC |
$35,000,000 |
|
APT MotoVox Group Inc. |
|
|
2014 |
SEC |
$25,000 |
|
CoroWare Inc. |
|
|
2014 |
SEC |
$25,000 |
|
ERF Wireless Inc. |
|
|
2014 |
SEC |
$50,000 |
|
Green Automotive Company |
|
|
2014 |
SEC |
$50,000 |
|
MineralRite Corporation |
|
|
2014 |
SEC |
$25,000 |
|
Mondial Ventures Inc. |
|
|
2014 |
SEC |
$50,000 |
|
Monster Arts Inc. |
|
|
2014 |
SEC |
$25,000 |
|
Red Giant Entertainment Inc. |
|
|
2014 |
SEC |
$25,000 |
|
Seaniemac International Ltd. |
|
|
2014 |
SEC |
$50,000 |
|
Worthington Energy Inc. |
|
|
2014 |
SEC |
$25,000 |
|
Hapoalim Securities USA |
|
|
2014 |
SEC |
$54,000 |
|
Lebenthal & Co. |
|
|
2014 |
SEC |
$54,000 |
|
National Securities Corporation |
|
|
2014 |
SEC |
$60,000 |
|
Riedl First Securities Co. of Kansas |
|
|
2014 |
SEC |
$130,000 |
|
OTC Solutions LLC |
|
|
2014 |
SEC |
$373,239 |
|
Athena Capital Research |
|
|
2014 |
SEC |
$1,000,000 |
|
Tradebot Systems Inc. |
|
|
2014 |
SEC |
$50,000 |
|
Lincolnshire Management |
|
|
2014 |
SEC |
$2,300,000 |
|
Strategic Capital Group LLC |
|
|
2014 |
SEC |
$586,290 |
|
Latour Trading LLC |
|
|
2014 |
SEC |
$16,000,000 |
|
Advent Capital Management |
|
|
2014 |
SEC |
$144,128 |
|
Antipodean Advisors |
|
|
2014 |
SEC |
$93,672 |
|
East Side Holdings II |
|
|
2014 |
SEC |
$157,010 |
|
Explorador Capital Management |
|
|
2014 |
SEC |
$155,658 |
|
Formula Growth |
|
|
2014 |
SEC |
$111,743 |
|
Great Point Partners |
|
|
2014 |
SEC |
$109,597 |
|
Indaba Capital Management |
|
|
2014 |
SEC |
$304,185 |
|
Ironman Capital Management |
|
|
2014 |
SEC |
$87,226 |
|
Midwood Capital Management |
|
|
2014 |
SEC |
$142,947 |
|
RA Capital Management |
|
|
2014 |
SEC |
$3,624,359 |
|
Rockwood Investment Management |
|
|
2014 |
SEC |
$237,988 |
|
Seawolf Capital |
|
|
2014 |
SEC |
$296,937 |
|
Solus Alternative Asset Management |
|
|
2014 |
SEC |
$105,495 |
|
SuttonBrook Capital Management |
|
|
2014 |
SEC |
$70,000 |
|
Troubh Partners |
|
|
2014 |
SEC |
$408,710 |
|
Vinci Partners Investimentos |
|
|
2014 |
SEC |
$448,707 |
|
Whitebox Advisors |
|
|
2014 |
SEC |
$1,202,924 |
|
Advanced Cell Technology |
|
|
2014 |
SEC |
$375,000 |
|
Linkbrokers Derivatives LLC |
|
|
2014 |
SEC |
$14,000,000 |
|
AIC Inc. |
|
|
2014 |
SEC |
$66,760,521 |
|
Liquidnet Inc. |
|
|
2014 |
SEC |
$2,000,000 |
|
Rafferty Capital Markets |
|
|
2014 |
SEC |
$849,626 |
|
Empire Stock Transfer Inc. |
|
|
2014 |
SEC |
$50,000 |
|
A Chicago Convention Center, LLC and Intercontinental Regional Center Trust of Chicago, LLC |
|
|
2014 |
SEC |
$12,950,000 |
|
CITIC Securities International Investment Management (HK) Limited |
|
|
2014 |
SEC |
$6,600,000 |
|
China Shenghai Investment Management Limited |
|
|
2014 |
SEC |
$4,300,000 |
|
Onyx Capital Advisors |
|
|
2014 |
SEC |
$9,100,000 |
Download results as 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.
