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 Parentsort icon Parent Major Industry Year Agency Penalty Amount
Deerfield Management Company L.P.   2017 SEC $4,600,000
Mintco LLC   2017 CFTC $250,000
FTS Financial, Inc.   2017 CFTC $4,800,000
Mohlman Asset Management, LLC and Mohlman Asset Management Fund, LLC   2017 SEC $100,937
Capital Financial Partners, LLC et al.   2017 SEC $15,700,000
Credit Karma, Inc.   2018 SEC $160,000
Valor Capital Asset Management, LLC   2018 SEC $715,871
Financial Fiduciaries, LLC   2018 SEC $40,000
Equitystar Capital Management, LLC   2018 SEC $2,890,518
Dynamic Intelligence, Inc.   2018 SEC $228,552
Americafirst Capital Management, LLC   2018 SEC $50,000
Gemini Fund Services, LLC   2018 SEC $400,000
LKL Investment Counsel LLC   2018 SEC $100,000
Train, Babcock Advisors LLC   2017 SEC $1,700,725
Southwind Associates of NJ, Inc. d/b/a Villafranco Wealth Management   2017 SEC $50,000
Packerland Brokerage Services, Inc. and Atlas Capital Management Corp.   2017 SEC $536,886
Coastal Equities, Inc. and Coastal Investment Advisors, Inc.   2017 SEC $80,000
Horter Investment Management, LLC   2017 SEC $778,804
Institutional Investor Advisers, Inc.   2017 SEC $200,000
Brahman Capital Corp.   2017 SEC $250,000
Gray Financial Group, Inc.   2017 SEC $401,298
Millennium Management LLC   2017 SEC $638,709
Canterbury Consulting, Inc.   2017 SEC $172,986
Loop Capital Markets, LLC   2017 SEC $25,000
Success Holding Group International, Inc.   2017 SEC $139,737
SIX Financial Information USA Inc.   2017 SEC $107,707
LBMZ Securities, Inc.   2017 SEC $240,000
VisionPoint Advisory Group, LLC   2017 SEC $45,000
360 Financial, Inc.   2017 SEC $40,000
TRH Financial LLC   2017 SEC $35,000
Sagent Wealth Management, LLC   2017 SEC $181,110
Platinum Equity Advisors, LLC   2017 SEC $3,402,132
Howarth Financial Services, LLC   2017 SEC $203,444
JL Capital Management   2017 SEC $278,289
Potomac Asset Management Company, Inc   2017 SEC $300,000
Envoy Advisory, Inc.   2017 SEC $51,892
Municipal Finance Services, Inc.   2017 SEC $50,000
O'Connor & Company Securities, Inc.   2017 SEC $150,000
Vertical Capital Asset Management, LLC   2017 SEC $9,034,957
Ironridge Global Partners, LLC and Ironridge Global IV, Ltd.   2017 SEC $4,400,000
Institutional Investors Advisory Company   2017 SEC $843,187
Capital Dynamics, Inc.   2017 SEC $275,000
Coachman Energy Partners LLC   2017 SEC $941,507
Cadaret and Grant & Co., Inc.   2017 SEC $3,048,000
Columbia River Advisors, LLC   2017 SEC $80,000
Windsor Street Capital, L.P. fka Meyers Associates   2017 SEC $200,000
Bradway Financial, LLC and Bradway Capital Management, LLC   2017 SEC $150,000
Umbrella Research, LLC   2017 SEC $16,676
Paramount Group Real Estate Advisor LLC   2017 SEC $250,000
Landwin Management, LLC   2017 SEC $75,000
Bantry Bay Capital, LLC   2017 SEC $100,000
Resilience Management, LLC   2017 SEC $250,000
Wm Smith & Co.   2017 SEC $50,000
Bonwick Capital Partners, LLC   2017 SEC $50,000
New York REIT, Inc. and New York Recovery Advisors, LLC   2017 SEC $165,000
Windsor Street Capital, L.P. fka Meyers Associates   2017 SEC $10,000
Tellone Management Group, Inc.   2017 SEC $75,000
Calvert Investment Distributors, Inc. and Calvert Investment Management, Inc.   2017 SEC $22,614,534
William Blair & Company, L.L.C.   2017 SEC $4,500,000
Lebenthal & Co., LLC   2017 SEC $150,000
Wilson-Davis & Company, Inc.   2017 SEC $310,713
Lion Biotechnologies, Inc.   2017 SEC $100,000
Lawson Financial Corporation   2017 SEC $396,652
Cygs, LLC   2017 SEC $60,879
Covenant Financial Services, LLC   2017 SEC $144,845
Louis Capital Markets, LP   2017 SEC $2,500,000
MKJJ Consulting LLC   2017 SEC $2,973,916
Angel Oak Capital Partners, LLC   2017 SEC $3,666,370
Lone Star Value Management and Heartland Advisors   2017 SEC $300,000
Jaypee International, Inc.   2017 SEC $25,000
Jeffrey Slocum & Associates, Inc.   2017 SEC $300,000
Olde Monmouth Stock Transfer Co., Inc.   2017 SEC $126,183
Palestra Capital Management LLC   2017 SEC $180,968
Mer Telemanagement Solutions Ltd.   2017 SEC $50,000
Centre Partners Management, LLC   2017 SEC $50,000
Essex Financial Services, Inc.   2017 SEC $183,181
Berman & Company, P.A.   2017 SEC $25,000
Empire Stock Transfer, Inc.   2016 SEC $154,239
M2 Law Professional Corp.   2016 SEC $154,267
TPG Advisors LLC   2016 SEC $328,437
New Silk Route Advisors, L.P.   2016 SEC $275,000
Grassi & Co., CPAs and P.C.   2016 SEC $401,510
PMB Helin Donovan, LLP   2016 SEC $160,000
OTC Global Partners, LLC   2016 SEC $87,499
Henning-Carey Proprietary Trading, LLC   2016 SEC $110,000
Hope Capital, Inc.   2016 SEC $579,747
Dupree Financial Group, LLC   2016 SEC $25,000
Elray Resources, Inc.   2016 SEC $50,000
Moloney Securities Co., Inc.   2016 SEC $41,500
Altair Nanotechnologies, Inc.   2016 SEC $250,000
Connexus Corporation   2016 SEC $50,000
Aviva Investors Americas, LLC   2016 SEC $250,000
Wilmington Savings Fund Society, FSB   2016 SEC $375,000
3C Advisors & Associates, Inc.   2016 SEC $7,500
First Reserve Management, L.P.   2016 SEC $3,500,000
Orinda Asset Management, LLC   2016 SEC $75,000
AssetMark, Inc.   2016 SEC $500,000
Congress Wealth Management LLC   2016 SEC $100,000
Constellation Wealth Advisors LLC   2016 SEC $100,000
Risk Paradigm Group, LLC   2016 SEC $100,000
Executive Monetary Management, LLC   2016 SEC $100,000
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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.