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
FRA Wealth Management LLC   2019 TX-SEC $20,000
Grove Capital Management Inc.   2019 TX-SEC $5,000
Lowell & Company Inc.   2019 TX-SEC $40,000
Frugal Financial Retirement Planning Services, LLC   2019 TX-SEC $5,000
UBS Financial Services Inc. UBS financial services 2019 VA-SEC $288,970
Lombard Advisers, Inc.   2019 VA-SEC $45,000
Downunder Horsemanship Franchising, LLC   2019 VA-SEC $6,000
Hartquist & Noblet, LLC   2019 VA-SEC $53,220
Moonlighting, Inc.   2019 VA-SEC $7,000
Biery, LLC d/b/a Madsen Donuts   2019 VA-SEC $27,000
Harvest Financial Group, LLC   2019 VA-SEC $7,500
World Trend Financial Planning Services, Ltd   2019 VA-SEC $40,000
SuperGlass Windshield Repair, Inc.   2019 VA-SEC $86,667
360 Tour Designs & Marketing, LLC   2019 VA-SEC $6,000
Iron Valley Real Estate, LLC   2019 VA-SEC $8,000
Clear Sky Financial, LLC   2019 VA-SEC $6,000
Dental Fix Rx, LLC   2019 VA-SEC $17,000
Slagel Investment Management   2019 VA-SEC $7,500
Lionsgate Investments, Incorporated   2019 VA-SEC $285,786
McLawhorn Financial Advisors, Inc.   2019 VA-SEC $13,000
Solium Financial Services LLC Morgan Stanley financial services 2019 VA-SEC $10,000
Global Mining and Mint Corporation   2019 VT-FIN $125,000
Retirement and College Financial Services of Vermont LLC   2019 VT-FIN $35,000
Retirement Base Camp   2019 WA-FIN $10,000
Urban Traffic   2019 WA-FIN $35,000
Strix Leviathan I, LLC   2019 WA-FIN $18,000
Franchise Equity Group, Inc. and Franchise Equity Consortium   2019 WA-FIN $73,643
Pacific Rim Energy, Inc.   2019 WA-FIN $13,350
WebRotator, Inc.   2019 WA-FIN $65,000
New Wave Innovations Ltd.   2019 WA-FIN $12,500
Property Damage Appraisers, Inc.   2019 WA-FIN $6,000
North America Real Estate Investment Group, Inc.   2019 WA-FIN $6,000
Thomson Financial Advisors LLC   2019 WA-FIN $22,000
HRC Wealth Management LLC   2019 WA-FIN $12,000
AlderEgo Holdings, Inc. and Carfield Family, Inc.   2019 WA-FIN $35,000
Conestoga Settlement Services LLC   2019 WI-FIN $300,000
Wisconsin Retirement & Insurance Advisors, LLC   2019 WI-FIN $72,651
Legacy Financial Network and Retirement Services, Inc.   2019 WI-FIN $177,937
Dreambuilder Investments, LLC   2019 WI-FIN $5,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2019 FINRA $4,600,000
Citigroup Global Markets Inc. Citigroup financial services 2019 FINRA $280,000
J.P. Morgan Securities LLC JPMorgan Chase financial services 2019 FINRA $280,000
LPL Financial LLC LPL Financial financial services 2019 FINRA $280,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2019 FINRA $280,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2019 FINRA $280,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2019 FINRA $6,500,000
Robinhood Financial, LLC   2019 FINRA $1,250,000
Lek Securities Corporation   2019 FINRA $900,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2019 FINRA $4,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial financial services 2019 FINRA $8,000,000
UBS Financial Services Inc. UBS financial services 2019 FINRA $2,000,000
J.P. Morgan Securities LLC JPMorgan Chase financial services 2019 FINRA $1,100,000
Citigroup Global Markets Inc. Citigroup financial services 2019 FINRA $1,250,000
Summit Brokerage Services, Inc.   2019 FINRA $880,000
AXA Advisors, LLC Equitable Holdings financial services 2019 FINRA $772,000
Buckman, Buckman & Reid, Inc.   2019 FINRA $205,000
Cantor Fitzgerald & Co. Cantor Fitzgerald financial services 2019 FINRA $2,000,000
Dinar Corp., Inc. and My Monex, Inc.   2020 CFTC $22,600,000
Catalyst Capital Advisors LLC   2020 CFTC $10,208,481
Mirae Asset Daewoo Co., Ltd.   2020 CFTC $700,000
Propex Derivatives Pty Ltd   2020 DOJ_CRIMINAL $1,000,000
Wells Fargo Clearing Services and Wells Fargo Advisors Financial Network Wells Fargo financial services 2020 SEC $35,000,000
Wells Fargo & Co. Wells Fargo financial services 2020 SEC (*) $500,000,000
Enigma MPC   2020 SEC $500,000
Diageo plc Diageo beverages 2020 SEC $5,000,000
ABN AMRO Clearing Chicago LLC ABN AMRO financial services 2020 SEC $586,000
Sica Wealth Management, LLC   2020 SEC $378,693
Fortress Investment Management, LLC   2020 SEC $104,097
Lone Star Value Management LLC   2020 SEC $100,000
BPU Investment Management, Inc.   2020 SEC $927,107
Cannell Capital, LLC   2020 SEC $150,000
Catalyst Capital Advisors, LLC   2020 SEC $10,508,481
J.P. Morgan Securities LLC JPMorgan Chase financial services 2020 SEC $1,822,438
Gain Capital UK Limited   2020 CFTC $491,671
FuturesFX   2020 CFTC $1,750,000
Amada Capital Management LLC   2020 CFTC $596,700
Argo Group International Holdings, Ltd.   2020 SEC $900,000
TSP Capital Management Group, LLC   2020 SEC $60,000
U.S. Bancorp Investments, Inc. U.S. Bancorp financial services 2020 SEC $15,992,441
Oxbow Advisors, LLC   2020 SEC $321,958
BitClave PTE Ltd   2020 SEC $29,744,197
Ares Management LLC Ares Management private equity (including portfolio companies) 2020 SEC $1,000,000
Morningstar Credit Ratings, LLC Morningstar Inc. miscellaneous services 2020 SEC $3,500,000
1Globe Capital, LLC   2020 SEC $200,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2020 SEC $5,000,000
Bloomberg Tradebook LLC Bloomberg information technology 2020 SEC $5,000,000
American Bondholders Foundation, LLC   2020 SEC $65,000
Everest Capital LLC   2020 SEC $3,208,226
Monsoon Capital, LLC   2020 SEC $100,000
Semper Capital Management, L.P.   2020 SEC $503,228
RBC Capital Markets LLC Royal Bank of Canada financial services 2020 SEC $3,889,007
Biltmore International Corporation   2020 SEC $125,000
Monomoy Capital Management, L.P. Monomoy Capital Partners private equity (including portfolio companies) 2020 SEC $1,926,579
Eagle Strategies LLC   2020 SEC $101,090
Merrill Lynch, Pierce and Fenner & Smith, Incorporated Bank of America financial services 2020 SEC $325,376
Old Ironsides Energy, LLC   2020 SEC $1,000,000
Cozad Asset Management, Inc.   2020 SEC $416,870
Boenning & Scattergood, Inc.   2020 SEC $205,567
Schulman Lobel Zand Katzen Williams & Blackman and LLP   2020 SEC $98,510
Cantor Fitzgerald & Co. Cantor Fitzgerald financial services 2020 SEC $3,200,000
HSBC Securities (USA) Inc. HSBC financial services 2020 SEC $725,000
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.