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
Capsource, Inc.   2020 MI-SEC $110,000
Black Box Fund   2020 MI-SEC $20,000
11th Hour Funding, LLC   2020 MI-SEC $20,000
Accura Transaction Management, LLC   2020 MI-SEC $10,000
Environ-Chem Inc.   2020 MN-FIN $5,067
Beacon Capital Distributors, Inc.   2020 MO-SEC $6,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2020 NH-BSR $26,250,000
Cantone Research, Inc.   2020 NJ-BOS $10,000
First Standard Financial Company, LLC   2020 NJ-BOS $75,000
Practical Wealth Advisors, LLC   2020 PA-BKG $25,000
Secure Money Advisors   2020 PA-BKG $200,000
Gordon Fed Financial   2020 PA-BKG $6,000
Gerring Capital Partners, LLC   2020 PA-BKG $40,000
OTR, Inc.   2020 SEC $10,000
Genesis E&P, Inc.   2020 SEC $192,768
Tierion, Inc.   2020 SEC $250,000
Pruco Securities, LLC Prudential Financial financial services 2020 SEC $18,252,341
First Midstate Inc.   2020 SEC $175,000
Voya Financial Advisors, Inc. Voya Financial financial services 2020 SEC $22,919,155
Virtu ITG Canada Corp.   2020 SEC $200,000
Cormark Securities Inc.   2020 SEC $800,000
ShipChain, Inc.   2020 SEC $2,050,000
India Globalization Capital, Inc.   2020 SEC $175,000
Robinhood Financial LLC   2020 SEC $65,000,000
Dentsply Sirona Inc. Dentsply Sirona medical equipment and supplies 2020 SEC $1,000,000
Belden Inc. Belden industrial equipment 2020 SEC $650,000
ICE Data Pricing & Reference Data LLC   2020 SEC $8,000,000
BlueCrest Capital Management Limited   2020 SEC $170,000,000
Covia Holdings Corp. and Fairmount Santrol Holdings Inc.   2020 SEC $1,000,000
Applied BioSciences Corp.   2020 SEC $25,000
Bancwest Investment Services, Inc.   2020 SEC $406,432
SCANA Corp. Dominion Energy utilities and power generation 2020 SEC $137,500,000
S.G. Long & Company   2020 TX-SEC $15,000
Ironwood Wealth Management, LLC   2020 TX-SEC $15,442
Cornerstone Asset Management, Inc.   2020 VA-SEC $19,500
American Equities, Inc.   2020 WA-SEC $115,000
SB Financial Group   2020 WI-FIN $25,000
UAB Mid West Group   2020 WI-FIN $250,000
Geaux Global   2020 WI-FIN $155,000
CTOption   2020 WI-FIN $24,000
Dragonchain, Inc.   2021 WA-SEC $60,000
Wesleyan Investment Foundation   2021 WA-SEC $11,500
Fiduciary Investment Funds, LLC   2021 SD-SEC $7,500
Fiduciary Investment Funds, LLC   2021 ND-SEC $7,500
Retire Happy, LLC et al.   2021 MO-SEC $5,596,783
Solium Financial Services Morgan Stanley financial services 2021 DC-DISB $9,879
Bolton Securities Corporation   2021 SEC $224,994
World Tree Financial, LLC   2021 SEC $647,947
Sun State Property Preservation, LLC and Wattenberg, LLC   2021 AZ-SEC $901,030
Chrysology Capital Group, L.L.C.   2021 AZ-SEC $10,000
The Joseph Project   2021 AZ-SEC $75,000
General Motors General Motors motor vehicles 2021 CA-AG $5,750,000
AG Processing Inc Ag Processing Inc. agribusiness 2021 CFTC $400,000
Volumetric Fund, Inc.   2021 CT-BKG $10,000
Lead Point Wealth Management, LLC   2021 KY-FIN $10,000
E*Trade Securities LLC Morgan Stanley financial services 2021 NH-BSR $5,000
MKT Investments, LLC   2021 NH-BSR $17,500
iFinex Inc. et al.   2021 NY-AG $18,500,000
ACP Investment Group, LLC et al.   2021 NY-AG $6,871,904
Kadee, LLC and Crossroads Investments, LLC   2021 SC-SEC $36,267
Winslow and Evans & Crocker, Inc.   2021 SEC $1,851,787
Premier Holding Corp.   2021 SEC $9,691,500
Lightspeed Trading, LLC   2021 SEC $100,000
Wireline, Inc.   2021 SEC $650,000
ConTXT, Inc   2021 SEC $571,153
Savannah Solar International, Inc. and Savannah Solar International, LLC   2021 VA-SEC $61,611
Strategic Wealth Partners, LLC   2021 VA-SEC $20,000
PV Wealth Advisors, LLC   2021 WI-FIN $204,737
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.