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 Parentsort icon Parent Major Industry Year Agency Penalty Amount
Insurance Trends, Inc.   2020 CT-SEC $100,000
Financial Vision Advisory Services, LLC   2020 CT-SEC $5,375
The Hansbury Group, LLC   2020 CT-SEC $5,000
Quint Wealth Management, Inc.   2020 CT-SEC $5,000
Solace Investments, LLC   2020 CT-SEC $300,000
Wilmington Capital Securities, LLC   2020 CT-SEC $11,275
All-Star Staffing, LLC   2021 ID-SEC $51,210
Region Home Buyers, LLC   2021 IN-SEC $5,000
Skytec Security Midwest LLC and Skytec Security Operations LLC   2021 MO-SEC $488,669
Joseph Stone Capital, LLC   2021 NH-BSR $305,000
FCG Advisors, LLC   2021 NJ-AG $250,000
MS Chamberlain Partners, Inc. et al.   2021 NJ-BOS $5,000
StratagemEq, Inc.   2021 NJ-BOS $110,000
The Short Interest, LLC and The Short Manager, LLC   2021 OR-FIN $25,000
Cunningham Energy, LLC   2021 SC-SEC $5,000
Greenway Capital Management, LLC   2021 TN-SEC $5,000
PFM Management Services, Inc.   2021 TN-SEC $10,000
Form Advisory Group, LLC   2021 TN-SEC $6,000
Financial Planning Center, LLP   2021 TN-SEC $7,500
Independent Financial Group, LLC   2021 TX-SEC $75,000
BDT & Associates, Inc.   2021 VA-SEC $11,000
First Command Advisory Services, Inc.   2021 VA-SEC $20,500
F.C. Franchising Systems, Inc. d/b/a Fresh Coat   2021 VA-SEC $8,000
360 Painting, LLC   2021 VA-SEC $11,000
Gateway Financial & Estate Planning, Inc.   2021 WA-SEC $10,000
Svaram Group, Inc. and Svaram Global, LLC   2021 WA-SEC $6,000
Lasting Connections, LLC   2021 WA-SEC $5,000
SummerHaven Investment Management LLC   2021 CFTC $500,000
J Squared LLC   2021 CFTC $198,555
The Alista Group, LLC   2021 CFTC $2,242,162
Circle Society, Corp.   2021 CFTC $32,141,375
Negus Capital Incorporated   2021 CFTC $1,178,180
Coinbase Inc.   2021 CFTC $6,500,000
Fortem Resources, Inc.   2021 SEC $25,000
TruTankless, Inc.   2021 SEC $25,000
ShiftPixy, Inc.   2021 SEC $25,000
Rokk3r, Inc.   2021 SEC $50,000
Daniels Corporate Advisory Company, Inc.   2021 SEC $25,000
HQDA Elderly Life Network Corp.   2021 SEC $50,000
Asta Funding, Inc.   2021 SEC $50,000
Igen Networks Corp.   2021 SEC $25,000
Legacy Group, Inc.   2021 SEC $502,726
Students of Strength, Inc.   2021 SEC $222,517
VII Peaks Capital, LLC   2021 SEC $1,030,699
Emperor Investments, Inc.   2021 SEC $25,000
Centaurus Financial, Inc.   2021 SEC $1,281,396
Mason Investment Advisory Services, Inc   2021 SEC $975,057
Ettro Capital Management Corp.   2021 SEC $60,000
Allergan Inc. AbbVie pharmaceuticals 2017 SEC $15,000,000
ABN AMRO Clearing Chicago LLC ABN AMRO financial services 2013 CFTC $1,000,000
ABN AMRO Bank, N.V. ABN AMRO financial services 2013 SEC $5,547,408
ABN AMRO Clearing Chicago LLC ABN AMRO financial services 2018 CFTC $160,000
ABN AMRO Incorporated ABN AMRO financial services 2001 SEC $200,000
ABN AMRO Clearing Chicago LLC ABN AMRO financial services 2020 SEC $586,000
ABN AMRO Incorporated ABN AMRO financial services 2005 FINRA $220,000
Advanced Drainage Systems, Inc. Advanced Drainage Systems building materials 2018 SEC $1,000,000
Advanced Emissions Solutions, Inc. Advanced Emissions Solutions miscellaneous energy products and systems 2017 SEC $500,000
Transamerica Financial Advisors Aegon financial services 2014 SEC $1,107,248
World Group Securities, Inc. Aegon financial services 2010 SEC $200,000
AEGON USA Investment Management LLC et al. Aegon financial services 2018 SEC $97,600,000
Transamerica Financial Advisors, Inc. Aegon financial services 2019 SEC $6,023,072
World Group Securities, Inc. Aegon financial services 2010 AZ-SEC $853,501
World Group Securities, Inc. Aegon financial services 2004 ID-SEC $15,000
World Group Securities, Inc. Aegon financial services 2006 MO-SEC $228,600
Transamerica Asset Management, Inc. Aegon financial services 2020 SEC $5,946,782
Transamerica Financial Advisors, Inc. Aegon financial services 2020 FINRA $8,800,000
World Group Securities, Inc. Aegon financial services 2004 FINRA $150,000
AG Processing Inc Ag Processing Inc. agribusiness 2021 CFTC $400,000
Davisco Foods International, Inc. Agropur food products 2017 CFTC $150,000
Fred Alger Management, Inc. Alger Associates financial services 2007 SEC $40,000,000
Fred Alger Management, Inc. Alger Associates financial services 2007 NY-AG (*) $45,000,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLC Allianz financial services 2004 SEC $11,600,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLC Allianz financial services 2004 SEC $50,000,000
Allianz Dresdner Asset Management of America LP Allianz financial services 2004 NJ-AG $18,000,000
Allianz Life Insurance Company of North America Allianz financial services 2007 MN-AG $500,000
Allstate Financial Services, LLC Allstate financial services 2002 FL-OFR $21,300
Allstate Financial Services LLC Allstate financial services 2004 FINRA $150,000
Altaba Inc. Altaba diversified 2018 SEC $35,000,000
Presstek Inc. American Industrial Partners private equity (including portfolio companies) 2010 SEC $400,000
American International Group, Inc. American International Group financial services 2006 SEC $800,000,000
American International Group, Inc. American International Group financial services 2004 SEC $46,000,000
American International Group American International Group financial services 2010 OH-AG $725,000,000
American International Group Inc. American International Group financial services 2010 OR-AG $8,000,000
SUNAMERICA SECURITIES, INC. American International Group financial services 2006 VA-SEC $10,000
VALIC Financial Advisors Inc. American International Group financial services 2020 SEC $39,900,000
VALIC Financial Advisors, Inc. American International Group financial services 2016 FINRA $1,750,000
SunAmerica Securities, Inc. American International Group financial services 2009 FINRA $300,000
SunAmerica Securities, Inc. American International Group financial services 2005 FINRA $2,500,000
SunAmerica Securities, Inc. American International Group financial services 2004 FINRA $100,000
Allied Home Mortgage Capital Corp. Americus Mortgage financial services 2009 AR-SEC $10,000
Investment Professionals Inc. Ameriprise Financial financial services 2014 SEC $67,800
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2009 SEC $17,300,000
Ameriprise Financial, Inc. Ameriprise Financial financial services 2005 SEC $15,000,000
Ameriprise Financial, Inc. Ameriprise Financial financial services 2005 SEC $30,000,000
Columbia Management Advisors Inc. and Columbia Funds Distributor Inc. Ameriprise Financial financial services 2005 SEC $140,000,000
American Express Financial Advisors Inc. Ameriprise Financial financial services 2004 SEC $3,706,693
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2017 SEC $8,750,000
Columbia Management Investment Services Corp. Ameriprise Financial financial services 2017 SEC $250,000
Ameriprise Financial Services Ameriprise Financial financial services 2018 SEC $230,000
Ameriprise Financial Services Inc. Ameriprise Financial financial services 2018 SEC $4,500,000
American Express Financial Advisors Inc. Ameriprise Financial financial services 2005 NJ-AG $5,000,000
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.