Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$80,470,232,936
Number of Penalty Records: 
6,468
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$13,547,438,962115
UBS$11,679,855,33361
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 Parent Parent Major Industry Yearsort icon Agency Penalty Amount
Stifel, Nicolaus & Company, Inc. Stifel Financial financial services 2010 MO-SEC $211,617
Greenleaf Companies, LLC and The Real Estate Company of Missouri   2010 MO-SEC $47,472
Boulder Wealth Management, LLC   2010 MO-SEC $5,000
The Hubbard Group, PC and Holding Group International, Ltd.   2010 MO-SEC $27,450
Petro America Corp.   2010 MO-SEC $28,660
Legacy Financial Assurance Group, Inc.   2010 MO-SEC $5,500
Edward D. Jones & Co. L.P. Jones Financial financial services 2010 MO-SEC $40,500
Bankers Life and Casualty Co. CNO Financial financial services 2010 MO-SEC $789,600
LPL Financial Corp. LPL Financial financial services 2010 MO-SEC $37,540
Citigroup Global Markets, Inc. Citigroup financial services 2010 MO-SEC $277,500
AXA Advisors, LLC Equitable Holdings financial services 2010 MO-SEC $92,015
Huntleigh Securities Corp.   2010 MO-SEC $120,400
I. P. Holding, L.L.C.   2010 MO-SEC $21,470
American General Securities Inc. Reverence Capital Partners private equity (including portfolio companies) 2010 MS-SEC $215,000
Lampton Street Church Financial Services, Inc. and Lampton Street Church of Christ, Inc.   2010 MS-SEC $54,954
Financial Assets Corp.   2010 MT-SEC $11,794
Style N'Tile International   2010 MT-SEC $1,596,750
NobelTrading.com   2010 MT-SEC $6,943
Global Sports Marketing Corp.   2010 MT-SEC $1,700,242
Fortune Hi-Tech Marketing, Inc.   2010 MT-SEC $150,000
Strasbourger Pearson Tulcin Wolff Inc.   2010 MT-SEC $92,000
NEXT Financial Group, Inc. Atria Wealth Solutions financial services 2010 MT-SEC $5,000
KMS Financial Services, Inc. Reverence Capital Partners private equity (including portfolio companies) 2010 MT-SEC $1,025,722
Edward Jones Jones Financial financial services 2010 MT-SEC $100,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2010 NC-SEC $7,800,000
RAHFCO Management Group LLC   2010 ND-SEC $14,000
Shields Capital Corporation   2010 NE-DBF $5,180
QA3 Financial Corporation   2010 NE-DBF $22,500
Stifel Nicolaus & Company, Inc. Stifel Financial financial services 2010 NJ-BOS $5,415,381
T.S. Phillips Investment Inc.   2010 OK-SEC $5,000
Bank Watch   2010 OR-FIN $220,000
MBS Clearing   2010 OR-FIN $200,000
Hold Brothers Online Investment Services LLC   2010 RI-FIN $20,300
Morgan Keegan & Co. Inc. Raymond James Financial financial services 2010 RI-FIN $20,000
Navigant Advisors LLC   2010 TX-SEC $5,000
Halter Global Opportunity Fund Management LLC   2010 TX-SEC $12,000
UBS Securities LLC UBS financial services 2010 TX-SEC $6,640,432
Citigroup Global Markets Inc. Citigroup financial services 2010 TX-SEC $130,000
Lincoln Financial Securities Corporation Lincoln National financial services 2010 TX-SEC $40,000
Sarker Investments LLC   2010 TX-SEC $5,000
H. Beck Inc.   2010 TX-SEC $9,500
LOG CABIN BBQ, LLC   2010 VA-SEC $59,216
THE SENIOR'S CHOICE INC.   2010 VA-SEC $17,500
SEDONA OIL & GAS CORPORATION   2010 VA-SEC $7,000
CAPITOL SECURITIES MANAGEMENT   2010 VA-SEC $15,000
LIFE PARTNERS, INC.   2010 VA-SEC $170,000
DREAM DINNERS, INC.   2010 VA-SEC $5,400
DOUGLAS AQUATICS, INC.   2010 VA-SEC $17,300
THE GLOVE LADY, LLC   2010 VA-SEC $54,472
PLAY N TRADE FRANCHISE, INC.   2010 VA-SEC $15,000
Skin Appeal Day Spa, Inc.   2010 VA-SEC $244,100
GREAT AMERICAN ADVISORS, INC.   2010 VA-SEC $20,000
Cellairis Franchise, Inc.   2010 VA-SEC $20,000
UBS FINANCIAL SERVICES, INC. UBS financial services 2010 VA-SEC $625,000
Lincoln Financial Securities Corporation Lincoln National financial services 2010 VT-FIN $10,000
Tradeology.com, Inc.   2010 WA-FIN $7,000
Meridian Mortgage Investors Fund V, LLC et al.   2010 WA-FIN $190,000
bVisual, S.A. and bVisual Group, Ltd.   2010 WA-FIN $16,000
CS Note Holdco, LLC   2010 WA-FIN $25,000
Dorothy of Oz, LLC   2010 WA-FIN $12,000
Iron Horse Petroleum, Inc.   2010 WA-FIN $11,000
Cherokee Gas Systems, Inc.   2010 WA-FIN $11,000
Olympic Coast Investment, Inc.   2010 WA-FIN $13,000
Pioneer Property Group, LLC and Queen's Court Building, LLC   2010 WA-FIN $5,000
Mike Watson Investments, LLC and Mike Watson Capital, LLC   2010 WA-FIN $30,000
Energy Automation Systems, Inc.   2010 WA-FIN $5,000
American General Securities Incorporated Reverence Capital Partners private equity (including portfolio companies) 2010 MULTI-FIN $215,000
Citigroup Global Markets Inc. Citigroup financial services 2010 MULTI-FIN (*) $100,000,000
Merrill Lynch Bank of America financial services 2010 MULTI-FIN $26,563,094
Goldman, Sachs & Co. Goldman Sachs financial services 2010 FINRA $650,000
Ferris, Baker Watts LLC Royal Bank of Canada financial services 2010 FINRA $690,000
Trillium Brokerage Services, LLC   2010 FINRA $1,000,000
Zions Direct, Inc. Zions Bancorporation financial services 2010 FINRA $225,000
HSBC Securities (USA) Inc. HSBC financial services 2010 FINRA $375,000
Merrill Lynch Bank of America financial services 2010 FINRA $2,500,000
Morgan Stanley & Co., Inc. Morgan Stanley financial services 2010 FINRA $800,000
SunTrust Investment Services, Inc. Truist Financial financial services 2010 FINRA $1,440,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2010 FINRA $7,500,000
Phoenix Derivatives Group, LLC   2010 FINRA $3,000,000
Citigroup Global Markets Inc. Citigroup financial services 2010 FINRA $1,500,000
Piper Jaffray & Co. Piper Sandler financial services 2010 FINRA $700,000
Deutsche Bank Securities Deutsche Bank financial services 2010 FINRA $575,000
National Financial Services   2010 FINRA $350,000
Westpark Capital, Inc.   2010 FINRA $400,000
Fagenson & Co., Inc.   2010 FINRA $165,000
RBC Capital Markets Corporation Royal Bank of Canada financial services 2010 FINRA $135,000
Alpine Securities Corporation   2010 FINRA $40,000
Equity Station, Inc.   2010 FINRA $25,000
Olympus Securities, LLC   2010 FINRA $20,000
HSBC Securities (USA) HSBC financial services 2010 FINRA $1,500,000
US Bancorp Investments, Inc. U.S. Bancorp financial services 2010 FINRA $275,000
D.A. Davidson & Co.   2010 FINRA $375,000
Citigroup Global Markets, Inc. Citigroup financial services 2010 FINRA $650,000
Scottrade, Inc. Charles Schwab Corp. financial services 2010 FINRA $200,000
H&R Block Financial Advisors, Inc. H&R Block financial services 2010 FINRA $200,000
Nautilus Hyosung Holdings Inc.   2011 DOJ_ANTITRUST $200,000
Morgan Stanley Investment Management Morgan Stanley financial services 2011 SEC $3,300,000
UBS Securities LLC UBS financial services 2011 SEC $8,000,000
RBC Capital Markets LLC Royal Bank of Canada financial services 2011 SEC $30,400,000
Janney Montgomery Scott LLC Penn Mutual financial services 2011 SEC $850,000
TD Ameritrade Inc. Charles Schwab Corp. financial services 2011 SEC $10,000,000
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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.