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 Parent Parent Major Industry Yearsort icon Agency Penalty Amount
Caledonia Investments plc   2016 FTC $480,000
RBC Capital Markets LLC Royal Bank of Canada financial services 2016 SEC $2,500,000
Raymond James & Associates Raymond James Financial financial services 2016 SEC $600,000
Robert W. Baird & Co.   2016 SEC $250,000
BOK Financial Corporation BOK Financial financial services 2016 SEC $1,667,720
Merrill Lynch Bank of America financial services 2016 SEC $12,500,000
UBS Financial Services UBS financial services 2016 SEC $15,025,882
Deutsche Bank Securities Deutsche Bank financial services 2016 SEC $9,500,000
Forcerank LLC   2016 SEC $50,000
Artis Capital Management   2016 SEC $8,878,015
Bank Leumi Bank Leumi financial services 2016 SEC $1,600,000
EZTD Inc.   2016 SEC $1,700,000
Pacific Investment Management Company (PIMCO)   2016 SEC $19,829,807
Equidate Inc.   2016 SEC $80,000
Stifel, Nicolaus & Co., Inc. Stifel Financial financial services 2016 SEC $24,500,000
Deutsche Bank Deutsche Bank financial services 2016 SEC $18,500,000
NeuStar Inc Golden Gate Capital private equity (including portfolio companies) 2016 SEC $180,000
Morgan Stanley & Co. LLC Morgan Stanley financial services 2016 SEC $7,500,000
Interinvest Corporation   2016 SEC $6,900,000
SandRidge Energy, Inc. SandRidge Energy oil and gas 2016 SEC $1,400,000
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
Bluefire Renewables, Inc. BlueFire Renewables utilities and power generation 2016 SEC $25,000
Connexus Corporation   2016 SEC $50,000
Aviva Investors Americas, LLC   2016 SEC $250,000
Wilmington Savings Fund Society, FSB   2016 SEC $375,000
Nu Skin Enterprises, Inc. Nu Skin Enterprises household and personal care products 2016 SEC $765,688
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
BB&T Securities, LLC Truist Financial financial services 2016 SEC $200,000
Constellation Wealth Advisors LLC   2016 SEC $100,000
Risk Paradigm Group, LLC   2016 SEC $100,000
Executive Monetary Management, LLC   2016 SEC $100,000
W.L. Lyons, LLC   2016 SEC $200,000
Ladenburg Thalmann Asset Management Inc. Reverence Capital Partners private equity (including portfolio companies) 2016 SEC $200,000
HT Partners LLC   2016 SEC $100,000
Banyan Partners, LLC   2016 SEC $200,000
Prospera Financial Services, Inc.   2016 SEC $100,000
Schneider Downs Wealth Management Advisors, LP   2016 SEC $100,000
Shamrock Asset Management LLC   2016 SEC $200,000
WL Ross & Co. LLC Invesco financial services 2016 SEC $2,300,000
Delaney Equity Group LLC   2016 SEC $20,000
Fortius Financial Advisors, LLC   2016 SEC $94,070
Concert Global Group Limited and Concert Wealth Management, Inc.   2016 SEC $120,000
Washington Wealth Management, LLC   2016 SEC $50,000
Advantage Investment Management, LLC   2016 SEC $60,000
Riverfront Investment Group, LLC   2016 SEC $300,000
Secondmarket, Inc.   2016 SEC $53,755
WFG Advisors, L.P.   2016 SEC $100,000
Ross, Sinclaire & Associates, LLC   2016 SEC $903,574
Simpson Hughes Financial, LLC   2016 SEC $287,119
Feltl & Company, Inc.   2016 SEC $183,128
Apex Fund Services (US), Inc.   2016 SEC $171,836
2 West, Inc., et al.   2016 SEC $2,025,179
School Business Consulting, Inc   2016 SEC $30,000
Keygent LLC   2016 SEC $100,000
American Life, Inc.   2016 SEC $1,000,000
Blackstreet Capital Management, LLC   2016 SEC $2,622,737
Federated Global Investment Management Corp.   2016 SEC $1,500,000
Biscayne Capital International, LLC   2016 SEC $158,087
American Registrar & Transfer Company   2016 SEC $25,649
MaloneBailey, LL   2016 SEC $100,000
Santos, Postal & Company, P.C.   2016 SEC $29,076
Innovative Business Solutions, LLC   2016 SEC $357,986
Craig Scott Capital, LLC   2016 SEC $100,000
Thakkar CPA, PLLC   2016 SEC $359,487
Cambridge Investment Research Advisors, Inc.   2016 SEC $225,000
Canaccord Genuity Inc.   2016 SEC $550,198
Central States Capital Markets, LLC   2016 SEC $374,827
First Southwest Company, LLC   2016 SEC $222,400
Marco Investment Management, LLC   2016 SEC $232,345
Cantella & Co.   2016 SEC $100,000
IBC Funds, LLC   2016 SEC $2,482,850
United Bankers' Bank   2016 SEC $160,000
Wells Fargo Bank N.A. Municipal Products Group Wells Fargo financial services 2016 SEC $440,000
Roosevelt & Cross, Incorporated   2016 SEC $250,000
Mitsubishi UFJ Securities (USA), Inc. Mitsubishi Group diversified 2016 SEC $20,000
Municipal Capital Markets Group, Inc.   2016 SEC $60,000
TD Securities (USA) LLC Toronto-Dominion Bank financial services 2016 SEC $500,000
Hilltop Securities Inc. Hilltop Holdings financial services 2016 SEC $360,000
Janney Montgomery Scott LLC Penn Mutual financial services 2016 SEC $500,000
Keybanc Capital Markets Inc. KeyCorp financial services 2016 SEC $440,000
Jefferies LLC Jefferies Financial Group diversified 2016 SEC $500,000
D.A. Davidson & Co.   2016 SEC $500,000
Boenning & Scattergood, Inc.   2016 SEC $250,000
First Midstate Incorporated   2016 SEC $100,000
Barclays Capital Inc. Barclays financial services 2016 SEC $500,000
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.