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 CompaniesTotal Penalty $Number of Records
Bank of America$13,424,705,23577
UBS$11,623,979,90947
Citigroup$8,095,660,13535
JPMorgan Chase$5,978,549,59944
Morgan Stanley$4,122,853,726105
Deutsche Bank$3,994,334,82825
Goldman Sachs$3,888,695,98726
Wells Fargo$2,425,119,26153
American International Group$1,618,900,0005
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
ARMKAT LLC   2019 CFTC $140,000
Heraeus Metals New York LLC Heraeus diversified 2019 CFTC $130,000
Tullett Prebon Americas Inc.   2019 CFTC $13,000,000
Phillip Capital Inc.   2019 CFTC $1,500,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2019 CFTC $300,000
Third Point LLC   2019 DOJ_ANTITRUST $609,810
Channing Capital Management, LLC   2019 SEC $50,000
Portfolio Advisors Alliance   2019 SEC $1,259,721
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2019 SEC $1,545,758
Golden California Regional Center, LLC   2019 SEC $50,295,232
Capital Source Lending LLC   2019 SEC $5,720,451
XBT Corp Sarl dba First Global Credit   2019 SEC $131,952
UQM Technologies, Inc. Danfoss industrial equipment 2019 SEC $500,000
Northwest Biotherapeutics, Inc.   2019 SEC $250,000
Lek Securities Corp.   2019 SEC $1,525,892
PlexCorps   2019 SEC $4,911,613
Block.one   2019 SEC $24,000,000
Bill Few Associates Inc.   2019 SEC $2,398,304
Cargile Investment Management Inc.   2019 SEC $70,140
Comprehensive Capital Management Inc.   2019 SEC $93,631
Equity Services Inc.   2019 SEC $587,017
Essex Financial Services Inc.   2019 SEC $645,000
Folger Nolan Fleming Douglas Capital Management Inc.   2019 SEC $59,478
Henley & Company Wealth Management LLC   2019 SEC $36,866
Hilltop Securities Inc. and Hilltop Securities Independent Network Inc. Hilltop Holdings financial services 2019 SEC $810,785
IC Advisory Services Inc.   2019 SEC $1,195,186
Independent Financial Group LLC   2019 SEC $1,426,150
Investment Partners Ltd.   2019 SEC $43,384
IPG Investment Advisors LLC   2019 SEC $85,294
Michigan Advisors Inc.   2019 SEC $327,976
Saxony Capital Management LLC   2019 SEC $230,220
Wedbush Securities Inc. Wedbush Securities financial services 2019 SEC $1,852,540
Founders Financial Securities, LLC   2019 SEC $1,475,465
Outset Global LLP   2019 SEC $207,409
Virtu Americas LLC Virtu Financial financial services 2019 SEC $1,500,000
Nebulous, Inc.   2019 SEC $224,601
Mid Atlantic Financial Management, Inc.   2019 SEC $300,000
Longfin Corp.   2019 SEC $6,755,848
Cutting Edge Business Services, Inc.   2019 SEC $273,336
BMO Harris Financial Advisors Inc. and BMO Asset Management Corp. Bank of Montreal financial services 2019 SEC $37,980,000
Mylan N.V. Viatris pharmaceuticals 2019 SEC $30,000,000
Omgeo Matching Services US, LLC   2019 SEC $2,000,000
GFI Securities LLC BGC Partners financial services 2019 SEC $4,300,000
Harding Advisory LLC   2019 SEC $850,000
Pinnacle Companies, LLC   2019 SEC $1,112,000
Three Bridge Wealth Advisors, LLC   2019 SEC $60,000
Amadeus Wealth Advisors, LLC   2019 SEC $40,000
ECP Manager LP   2019 SEC $122,656
BrixInvest, LLC   2019 SEC $300,000
Cetera Investment Advisers LLC   2019 SEC $185,000
Hefren-Tillotson, Inc.   2019 SEC $379,965
Strong Investment Management   2019 SEC $1,061,157
Strategic Planning Group, Inc.   2019 SEC $200,000
PricewaterhouseCoopers LLP PricewaterhouseCoopers business services 2019 SEC $7,944,055
HCR Wealth Advisors   2019 SEC $220,000
The Bancorp, Inc.   2019 SEC $1,400,000
Sigma Planning Corp.   2019 SEC $2,546,718
Raymond James & Associates, Inc. et al. Raymond James Financial financial services 2019 SEC $15,000,000
Morgan Stanley Smith Barney, LLC Morgan Stanley financial services 2019 SEC $225,000
Stifel, Nicolaus & Co., Inc. Stifel Financial financial services 2019 SEC $2,700,000
BMO Capital Markets Corp. Bank of Montreal financial services 2019 SEC $1,950,000
Prudential Financial Inc. Prudential Financial financial services 2019 SEC $32,600,000
Vandham Securities Corp.   2019 SEC $200,000
Garrison Investment Group LP and Garrison Capital Advisers LLC   2019 SEC $250,000
ED Capital Management, LLC   2019 SEC $75,000
Bio Defense Corp.   2019 SEC $37,475,717
Goldman Sachs & Co. LLC Goldman Sachs financial services 2019 CFTC $1,000,000
MetLife, Inc. MetLife financial services 2019 SEC $10,000,000
Blockchain of Things Inc.   2019 SEC $250,000
Jefferies LLC Jefferies Financial Group diversified 2019 SEC $3,918,000
Palm Beach Atlantic Financial Group, LLC   2019 SEC $75,000
Global Corporate Strategies LLC   2019 SEC $4,120,000
Quantum Corporation   2019 SEC $1,000,000
Bluefin Trading, LLC   2019 SEC $303,638
Critical Trading, LLC   2019 SEC $219,092
Stonemor Partners L.P. and Stonemor GP LLC   2019 SEC $250,000
Kornitzer Capital Management, Inc.   2019 SEC $3,626,995
Calumet Specialty Products Partners, L.P. Calumet Specialty Products chemicals 2019 SEC $250,000
LPL Financial LLC LPL Financial financial services 2019 AK-DBS $499,000
Prominence Homes, LLC   2019 AL-SEC $100,000
Paul Winkler, Inc.   2019 AL-SEC $62,954
LPL Financial LLC LPL Financial financial services 2019 AR-SEC $40,000
Crews and Associates, Inc.   2019 AR-SEC $5,000
Wilshire-Pennington Group, Inc.   2019 AR-SEC $12,500
Alexander Capital, L.P.   2019 AR-SEC $15,000
Solium Financial Services LLC Morgan Stanley financial services 2019 AR-SEC $5,000
QVG, LLC   2019 AR-SEC $8,000
Imagine Enterprises, LLC   2019 AZ-SEC $1,217,793
Real Estate Finance Corp. and WIN Opportunity Fund, LLC   2019 AZ-SEC $3,668,565
Tital Funding Group 1, LLC and Titan Capital Holdings LLC   2019 AZ-SEC $39,740
CoverLugg LLC and Birdie Media LLC   2019 AZ-SEC $1,328,090
Concordia Financing Company, Ltd. and ER Financial & Advisory Services, LLC   2019 AZ-SEC $4,007,986
Pacific Capital Enterprises LLC   2019 AZ-SEC $1,326,872
Titan Capital Real Estate Fund I, LLC   2019 AZ-SEC $3,076,315
Partisan Alliance Corp.   2019 AZ-SEC $103,000
JG Enterprise, LLC   2019 AZ-SEC $19,772
BAIC, Inc.   2019 AZ-SEC $2,004,649
SoBell Corp.   2019 AZ-SEC $779,450
IDIAZ, LLC   2019 AZ-SEC $113,000
Wealth Creator Private Equity, LLC   2019 AZ-SEC $35,000
Native American Water, L.L.C. dba NATAWA et al.   2019 AZ-SEC $5,874,215
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.