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
Mizuho Bank, Ltd. Mizuho Financial financial services 2018 CFTC $250,000
Geneva Trading USA, LLC   2018 CFTC $1,500,000
Victory Asset   2018 CFTC $1,800,000
Global Asset Advisors LLC d/b/a Daniels Trading   2018 CFTC $300,000
Honouround (HK) International Trade Co. Ltd.?   2018 CFTC $300,000
NatWest Markets Plc NatWest Group PLC financial services 2018 CFTC $750,000
ABN AMRO Clearing Chicago LLC ABN AMRO financial services 2018 CFTC $160,000
Mobius Risk Group LLC   2018 CFTC $75,000
Retirement Capital Strategies, Inc.?   2018 SEC $50,000
CarrierEQ Inc. (Airfox)   2018 SEC $250,000
Paragon Coin Inc.   2018 SEC $250,000
ITG Inc.   2018 SEC $12,000,000
Citibank N.A. Citigroup financial services 2018 SEC $38,700,000
Tesla Inc. Tesla Inc. motor vehicles 2018 SEC $20,000,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2018 SEC $5,000,000
LendingClub Asset Management LLC LendingClub Corp. financial services 2018 SEC $5,000,000
Walgreens Boots Alliance Inc. Walgreens Boots Alliance retailing 2018 SEC $34,500,000
Voya Financial Advisors Inc. Voya Financial financial services 2018 SEC $1,000,000
SG Americas Securities LLC (Societe Generale) Societe Generale financial services 2018 SEC $800,000
CMB Export LLC   2018 SEC $5,150,000
Cardiff Lexington Corporation   2018 SEC $25,000
Cool Technologies Inc.   2018 SEC $75,000
Dasan Zhone Solutions Inc.   2018 SEC $50,000
First Hartford Corporation   2018 SEC $50,000
Infrax Systems Inc.   2018 SEC $50,000
Clovis Oncology Inc. Clovis Oncology pharmaceuticals 2018 SEC $20,000,000
SeaWorld Entertainment Inc. SeaWorld Entertainment entertainment 2018 SEC $4,000,000
Citigroup Global Markets Inc. Citigroup financial services 2018 SEC $12,937,475
Crypto Asset Management LP   2018 SEC $200,000
TokenLot LLC   2018 SEC $478,929
Cadaret, Grant & Co. Inc. Atria Wealth Solutions financial services 2018 SEC $513,194
NW Capital Markets Inc.   2018 SEC $87,065
TelexElectric, LLLP   2018 SEC $2,022,239
Telex Mobile Holdings, Inc.   2018 SEC $500,870
FX & Beyond Corporation   2018 SEC $1,392,656
Hope Advisors, LLC   2018 SEC $1,487,235
WealthCFO, LLC   2018 SEC $409,405
Retirement Capital Strategies, Inc.?   2018 SEC $50,000
Pennant Management, Inc.   2018 SEC $400,000
Putnam Investment Management, LLC Power Financial Corporation financial services 2018 SEC $1,000,000
Hudson Housing Capital LLC   2018 SEC $65,000
Lichter, Yu and Associates, Inc., et al.?   2018 SEC $64,900
TD Ameritrade, Inc. Charles Schwab Corp. financial services 2018 SEC $500,000
Heartland Payment Systems, LLC Global Payments Inc. financial services 2018 SEC $2,160,000
Ophrys, LLC   2018 SEC $500,000
Primoris Services Corporation Primoris Services construction and engineering 2018 SEC $200,000
Eric Hall & Associates, LLC   2018 SEC $54,761
Creative Planning, Inc.   2018 SEC $200,000
Abtech Holdings, Inc.?   2018 SEC $133,414
Cushing Asset Management, LP   2018 SEC $100,000
Capital Analysts, LLC   2018 SEC $1,820,349
Holthouse Carlin & Van Trigt LLP?   2018 SEC $300,000
Harbour Investments, Inc.   2018 SEC $241,479
Crypto Asset Management, LP   2018 SEC $200,000
BB&T Securities, LLC Truist Financial financial services 2018 SEC $100,000
VSS Fund Management LLC   2018 SEC $200,000
Newport Private Capital LLC   2018 CFTC $315,000
Wright Time Capital Group LLC   2018 CFTC $1,485,000
Phaetra Capital GP LLC, Phaetra Capital Management LP, and Argenta Group LLC   2018 CFTC $23,117,551
E-Slate, Inc.   2018 CFTC $11,183,497
JPMorgan Chase Bank N.A. JPMorgan Chase financial services 2018 SEC $135,100,000
American Portfolios Advisers Inc.   2018 SEC $1,145,353
PPS Advisors Inc.   2018 SEC $706,746
Wealthfront Advisers LLC   2018 SEC $250,000
Hedgeable Inc.   2018 SEC $80,000
Bank of New York Mellon Bank of New York Mellon financial services 2018 SEC $54,000,000
America Modern Green Senior (Houston) LLC, America Modern Green Community (Houston) LLC, and America Modern Green Residential (Houston) LLC   2018 SEC $51,400,000
Citadel Securities LLC   2018 SEC $3,500,000
Natixis Securities Americas LLC Natixis financial services 2018 SEC $1,250,000
MUFG Securities Americas Inc. Mitsubishi Group diversified 2018 SEC $1,400,000
Hertz Global Holdings, Inc. Hertz miscellaneous services 2018 SEC $16,000,000
ADT Inc. Apollo Global Management private equity (including portfolio companies) 2018 SEC $100,000
Lightyear Capital LLC   2018 SEC $400,000
BioElectronics, Corp.   2018 SEC $191,640
Thoroughbred Financial Services, LLC   2018 SEC $1,108,618
Sterling Global Strategies LLC   2018 SEC $175,000
Ancora Advisors LLC   2018 SEC $100,000
NB Alternatives Advisers LLC   2018 SEC $2,733,608
Santander Consumer USA Holdings Inc. Banco Santander financial services 2018 SEC $1,500,000
UBS Financial Services Inc. UBS financial services 2018 SEC $5,000,000
Yucaipa Master Manager, LLC   2018 SEC $2,934,312
Landaas & Company   2018 SEC $598,941
Frontier Oilfield Services, Inc.   2018 SEC $25,000
CoinAlpha Advisors LLC   2018 SEC $50,000
Fifth Street Management, LLC   2018 SEC $3,983,660
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2018 NJ-AG $375,000
Bank of America Merrill Lynch Bank of America financial services 2018 NY-AG $42,000,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2018 NY-AG (*) $10,000,000
Wells Fargo & Company Wells Fargo financial services 2018 NY-AG $65,000,000
LPL Financial LLC LPL Financial financial services 2018 AL-SEC $80,000
Wesleyan Investment   2018 AR-SEC $10,000
Edward D. Jones & Co., L.P. Jones Financial financial services 2018 AR-SEC $50,000
Oak Capital Partners, LLC   2018 AZ-SEC $1,198,851
Dental Support Plus Franchise, LLC   2018 AZ-SEC $13,614,954
USA Barcelona Realty Advisors, LLC   2018 AZ-SEC $3,965,700
Clear Energy Group, LLC   2018 AZ-SEC $865,000
Guardian Wealth Management, LLC   2018 AZ-SEC $6,000
GenTecnics, LLC and iCorp LLC   2018 AZ-SEC $734,120
Delta FX Trade   2018 AZ-SEC $15,000
Howard Price Wealth Management, LLC   2018 AZ-SEC $806,994
DrHorsepower, Inc.   2018 AZ-SEC $166,149
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.